EOR2.tpgsV8 11/10/04 11:10 AM Page 1
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

EOR2.tpgsV8 11/10/04 11:10 AM Page 3
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
8
KAcBAH
LINDSAY JONES
•
EDITOR IN CHIEF
MARX, KARL
eorel_fm 3/2/05 8:36 AM Page iv
Encyclopedia of Religion, Second Edition
Lindsay Jones, Editor in Chief
© 2005 Thomson Gale, a part of The
For permission to use material from this
Since this page cannot legibly accommodate
Thomson Corporation.
product, submit your request via Web at
all copyright notices, the acknowledgments
http://www.gale-edit.com/permissions, or you
constitute an extension of the copyright
Thomson, Star Logo and Macmillan Reference
may download our Permissions Request form
notice.
USA are trademarks and Gale is a registered
and submit your request by fax or mail to:
trademark used herein under license.
While every effort has been made to
Permissions
ensure the reliability of the information pre-
For more information, contact
Thomson Gale
sented in this publication, Thomson Gale
Macmillan Reference USA
27500 Drake Rd.
does not guarantee the accuracy of the data
An imprint of Thomson Gale
Farmington Hills, MI 48331-3535
contained herein. Thomson Gale accepts no
27500 Drake Rd.
Permissions Hotline:
payment for listing; and inclusion in the pub-
Farmington, Hills, MI 48331-3535
248-699-8006 or 800-877-4253 ext. 8006
lication of any organization, agency, institu-
Or you can visit our Internet site at
Fax: 248-699-8074 or 800-762-4058
tion, publication, service, or individual does
http://www.gale.com
not imply endorsement of the editors or pub-
lisher. Errors brought to the attention of the
ALL RIGHTS RESERVED
publisher and verified to the satisfaction of
No part of this work covered by the copyright
the publisher will be corrected in future
hereon may be reproduced or used in any
editions.
form or by any means—graphic, electronic, or
mechanical, including photocopying, record-
ing, taping, Web distribution, or information
storage retrieval systems—without the writ-
ten permission of the publisher.
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) —
ISBN 0-02-865734-9 (V. 1) — ISBN 0-02-865735-7 (v. 2) —
ISBN 0-02-865736-5 (v. 3) — ISBN 0-02-865737-3 (v. 4) —
ISBN 0-02-865738-1 (v. 5) — ISBN 0-02-865739-X (v. 6) —
ISBN 0-02-865740-3 (v. 7) — ISBN 0-02-865741-1 (v. 8) —
ISBN 0-02-865742-X (v. 9) — ISBN 0-02-865743-8 (v. 10)
— ISBN 0-02-865980-5 (v. 11) — ISBN 0-02-865981-3 (v.
12) — ISBN 0-02-865982-1 (v. 13) — ISBN 0-02-865983-X
(v. 14) — ISBN 0-02-865984-8 (v. 15)
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
eorel_fm 3/2/05 8:36 AM Page v
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
eorel_fm 3/2/05 8:36 AM Page vi
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
eorel_fm 3/2/05 8:36 AM Page vii
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
eorel_fm 3/2/05 8:36 AM Page viii
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
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
eorel_fm 3/2/05 8:36 AM Page ix
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
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
eorel_fm 3/2/05 8:36 AM Page x
x
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 e i g h t
p p r o p r i
a
A a
P P t
R OiP o
R I n
A T I
O N A N D
a n d i d e n t i t yIDENTITY
Whatever else they are, images are always deposits of previ-
ous forms of image-making, traces of visual thought inherited
from the past. This fact makes any given image a particular configuration of preserva-
tive or backward-looking impulses and present or even forward-looking ones. In the
case of religious imagery, this means that images are something like cultural fossils
that are especially useful to religious belief because of their ability to appropriate old
motifs for new uses. It is possible, therefore, to plot the changes and cultural develop-
ments of religious thought and practice in the material record of art and architecture.
Images (as well as song, dance, verse, and music) are not merely incidental to religion,
but often the very medium in which belief takes shape.
Images live long lives. Their features and motifs travel far, are copied and often
modified by successive generations of artisans, and are used as patterns for new ideas
and put to purposes for which they were
not originally intended. In some cases, there
is no question of intentional appropriation
of a visual motif. Haitian Vodou makes
explicit use of Catholic iconography and
the cult of saints in its imagery and visual
practices. Vodou societies possess flags, such
as the one illustrated here (a), to represent
their group and the gods or goddesses whom
they worship. The flag of Sen Jak or Ogou is
clearly taken from imagery of Saint Jacques
or Saint James, the mounted soldier well
known for his pilgrimage church, Santiago
de Compostella, in Spain. Ogou is the prin-
cipal male deity in Vodou, the master of
iron and lord of battle who is invoked dur-
(a) A Haitian Vodou flag (drapo sevis), sewn by
Silva Joseph for the male deity Ogou (Sen Jak).
[UCLA Fowler Museum of Cultural History; photo-
graph by Don Cole]
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
V8.indd 1
V8.indd 1
10/15/04 6:13:12 PM
10/15/04 6:13:12 PM

APPROPRIATION AND IDENTITY
ing times of crisis and conflict. Among the many Haitians
who practice both Vodou and Catholicism, the duality
of the image is important. As a consequence of French
colonialism, the dual nature of the image signifies both
the authority of the dominant religion and the strategy of
resistance adopted by Haitians. In other instances, origi-
nal meanings are readily lost or detached from images and
new significance discerned within them. The frontispiece
of a medieval Muslim manuscript (not pictured) offered
protection from snakebite and did so by combining origi-
nally Babylonian iconography (the symbol of the moon
in the center) with the visual organization
of a Buddhist man.d.ala. It has been said of
this image that popular belief understood
an eclipse to occur when a celestial monster
swallowed the sun or moon. It is known
that the manuscript was written during an
eclipse, which may have been thought to
enhance the power of the image and the
text’s prescriptions to protect against snake-
bite. Registered in the image, therefore, are
pre-Muslim beliefs and an archive of non-
Muslim visual motifs that may or may not
be associated with the image’s meaning.

In yet a third scenario, images (in
this case, architectural styles and decorative
iconography) offer the select appropriation
of many traditions and their deliberate
integration into a new religious ideal, as
in the case of the Bahācī religion. This reli-
gion teaches that a single, universal deity
has been revealed by important messen-
gers, including Moses, Buddha, Jesus, and
Muh.ammad, and that a single, univer-
sal religion is being progressively revealed.
Unity of belief and diversity of believers goes
to the heart of the faith and is visually con-
veyed by the architectural design of Bahācī
temples around the world (b), each of which
integrates elements from many faiths.
(b) The Bahā c ī House of Worship in Wilmette,
Illinois. [©Richard Hamilton Smith/Corbis]
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
V8.indd 2
V8.indd 2
10/15/04 6:13:16 PM
10/15/04 6:13:16 PM


APPROPRIATION AND IDENTITY

As Buddhism developed in northern India and else-
where, the life of Siddārtha Gautama was understood
in terms borrowed from Hinduism, the parent religion
of Buddhism. The Buddha himself maintained major
features of Hindu thought and practice in his new way,
so it is not surprising that elements used to define and
affirm the distinctiveness of Buddhism clearly derive
from Hinduism, such as the serpent Mucalinda, who
arose to protect Siddārtha from the rain as he meditated
(c). The small company of Hindu ascetics with whom
he had practiced for several years saw in the act of the
serpent something that might have reminded them of
Vis.n.u (d), who was often shown recumbent on a bed
of a multiheaded serpent, which provided shade for the
resting deity. Emerging from Buddhist and Hindu tradi-
tions, Jainism borrowed the motif for portraying the Jina
named Parshvanatha, one of the religion’s enlightened few
(c) RIGHT. Buddha sheltered by the serpent Mucalinda
during meditation, eleventh to twelfth century, Nepal,
Kathmandu. [The James W. and Marilynn Alsdorf Collection,
193.1997; photograph by Michael Tropea; reproduction, The Art
Institute of Chicago] (d) B OTTOM. Vis.n.u and Laks.mī resting on
the multiheaded serpent Garud.a, Kangra school, c. 1870.
[©Victoria & Albert Museum, London/Art Resource, N.Y.]
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
V8.indd 3
V8.indd 3
10/15/04 6:13:19 PM
10/15/04 6:13:19 PM


APPROPRIATION AND IDENTITY
(the equivalent of a bodhisattva) who lead the way out of
rebirth (e).

Buddhism is an especially resourceful religious tradi-
tion, adapting itself to locale and cultural milieu to great
effect. As with the saints in many other religions, such as
Catholicism and Vodou, the bodhisattvas often assume the
greatest variety of accommodation. Avalokiteśvara, the
bodhisattva of compassion, who enjoyed enormous popu-
larity among Mahāyāna Buddhists in India and the Hima-
layan regions (often receiving even greater attention than
the Buddha himself ), was portrayed with many heads
and arms to signify the watchfulness and abundance of
his compassion (f ). When Buddhism took root in China,
however, Avalokiteśvara morphed into a female equiva-
(e) TOP. Ninth-century bronze of the Jain teacher
Parshvanatha flanked by attendants, beneath the canopy of a
multiheaded serpent, Maitraka region, India. [©Angelo Hornak/
Corbis] (f ) RIGHT. Eleven-headed Avalokiteśvara, 1800, bronze
and silver gilt, polychromed and inlaid with semiprecious stones,
Eastern Tibet. [The Walters Art Museum, promised gift of John &
Berthe Ford]
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
V8.indd 4
V8.indd 4
10/15/04 6:13:24 PM
10/15/04 6:13:24 PM


APPROPRIATION AND IDENTITY
lent known as Guanyin, the bodhisattva of mercy (g), a
pre-Buddhist figure who had been dedicated to assist-
ing mothers in the birth and care of children. As often
happens in the history of Buddhism, this transformation
was effected by imperial influence: Avalokiteśvara became
female when the portrait of an empress was inserted into
his depictions in the decorations of her tomb. A Japanese
counterpart, Kannon, accompanied the rise of Buddhism
in Japan and served as the meeting point of Christianity
and Japanese Buddhism when Jesuit missionaries por-
trayed the Madonna and Child for Japanese converts to
Roman Catholicism in the sixteenth century.

It will always be a matter of debate among specialists
(as well as among believers, perhaps) what such borrow-
ings and transformations mean. Is the Egyptian motif
of Isis suckling Horus on her lap (h) the source of early
(g) ABOVE. Guanyin, the Chinese bodhisattva of mercy, Yuan
dynasty, c. 1279–1369, polychromed wood. [©Burstein Collection/
Corbis] (h) LEFT. Bronze sculpture of the ancient Egyptian
goddess Isis suckling the infant Horus. [©Réunion des Musées
Nationaux/Art Resource, N.Y.]
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
V8.indd 5
V8.indd 5
10/15/04 6:13:28 PM
10/15/04 6:13:28 PM

APPROPRIATION AND IDENTITY
(i) A Roman catacomb image depicting the Magi with Mary
Christianity’s portrayal of the Virgin and Child? If so,
and the infant Jesus, from the Catacomb of Priscilla in Rome,
does any of the meaning of the Egyptian motif remain in
c. 200 ce. [©Scala/Art Resource, N.Y.]
its Christian appropriation? By the same token, the three
figures approaching the seated Madonna in a Roman
catacomb painting (i) are the magi mentioned in the
Gospel of Luke, wise men from the East, possibly Zoro-
astrian priests from Persia (modern Iran), who practiced
a monotheistic faith that maintained understandings of
soul, conflict of good and evil, afterlife, and eschaton that
were shared by Christianity. As an early competitor of
Christianity, Zoroastrianism may have deliberately been
portrayed in the subordinating motif of the wise men’s
visit to the newborn Christ. If so, the representation of the
three figures, whose form recalls the repetitive silhouettes
of Persian relief sculpture, may have been keyed to the
visual and theological sensibilities of Zoroastrian converts
to Christianity in third-century Rome. Sometimes images
may be intended to retain their older associations as a way
of subordinating them to their new religious contents.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
V8.indd 6
V8.indd 6
10/15/04 6:13:33 PM
10/15/04 6:13:33 PM


APPROPRIATION AND IDENTITY

But the survival of visual features does not always
mean a continuity of meaning or specific intention.
Winged figures, for instance, are a familiar aspect of many
different religions and might be historically traced in a
long descent from antiquity to the present. In ancient
Nimrud winged creatures were depicted on the palace
walls of Assyrian kings as divine protectors (j). Winged
figures were reported in the Hebrew Bible when writers
described angels or messengers of God and apocalyptic
figures such as those in the Book of Ezekiel. Zoroastrian-
ism portrays the human soul with a winged figure (k),
and angels perform important roles in both Islam and
Christianity. Gabriel appears to Mary to announce the
birth of the messiah and, according to the Qur c ān, to
many prophets from Adam to Muh.ammad. And it was
Gabriel who brought to Muh.ammad the revelations that
(j) ABOVE. Limestone relief of Ashurnasirpal II offering protec-
tion to the Assyrian kings, 875 bce, Nimrud, Assyria. [©The
Trustees of the British Museum] (k) RIGHT. Iranian relief of Ahura
Mazdā, the chief Zoroastrian deity, c. sixth century bce, Persepo-
lis, Iran. [©Charles & Josette Lenars/Corbis]
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
V8.indd 7
V8.indd 7
10/15/04 6:13:34 PM
10/15/04 6:13:34 PM

APPROPRIATION AND IDENTITY
are recorded in the Qur c ān. Another function of winged
angels occupies popular Christian piety in the modern
age: the benevolent guardian angels who accompany their
charges in daily life in order to protect them from mishap
or evil (l).
BIBLIOGRAPHY
Davis, Richard H. Lives of Indian Images. Princeton, 1997.
Hillenbrand, Robert. Islamic Art and Architecture. London, 1999.
Ning, Qiang. Art, Religion, and Politics in Medieval China: The
Dunhuang Cave of the Zhai Family. Honolulu, 2004.
Pal, Pratapaditya. The Peaceful Liberators: Jain Art from India. Los
Angeles and New York, 1994.
Polk, Patrick Arthur. Haitian Vodou Flags. Jackson, Miss., 1997.
Shafer, Byron E., ed. Religion in Ancient Egypt: Gods, Myths, and
Personal Practice. Ithaca, N.Y., 1991.
Weidner, Marsha, ed. Latter Days of the Law: Images of Chinese
Buddhism, 850–1850. Lawrence, Kans., and Honolulu, 1994.
David Morgan ()
(l) Pietro da Cortona, The Guardian Angel, seventeenth
century. [©Araldo de Luca/Corbis]
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
V8.indd 8
V8.indd 8
10/15/04 6:13:39 PM
10/15/04 6:13:39 PM


K
KAEBAH. The KaEbah (cube), located in Mecca, is the shrine at the center of the Mus-
lim world. Referred to as the “House of God,” (bayt Alla¯h), it is the central point (qiblah)
on earth toward which all Muslims face when performing daily prayers (sala¯t). Making
pilgrimage (h:a¯jj) to the KaEbah at least once in a Muslim’s life if able, is one of the major
religious obligations in Islam. It is also referred to in the Qur’a¯n (5:95, 97), where it is
called al-bayt (his house), and also masjid al-h:aram (the sacred mosque).
The present KaEbah is a cubelike building made of local Meccan granite and Yemeni
mortar. It is 50 feet high, 40 feet on its longest side and about 33 feet on its shorter walls.
It is hollow, with a door on the long side about 7 feet above the ground, necessitating
rolling stairs to enter. The corners are situated roughly on the points of the compass, with
the eastern corner containing the Black Stone (al-h:ajar al-aswad ) that has been the major
feature of the structure since pre-Islamic times. Inside the KaEbah, there are gold and silver
lamps hanging from a ceiling supported by wooden pillars. The KaEbah is covered by a
black cloth brocaded in gold and silver, called the Kiswah (curtain), containing the words
of the declaration of faith (shaha¯dah) and quotations from the Qur’a¯n. This covering is
renewed each year, with the old cloth cut into pieces as relics for the pilgrims.
The history of the KaEbah demonstrates that the Black Stone is the primary focal
point of Muslim veneration, but is not an object of worship, since only the aniconic Alla¯h
is worshiped. While there is only slight mention outside of Muslim accounts of the history
of the KaEbah, the story told is that it was destroyed and rebuilt several times in
Muh:ammad’s lifetime and afterward by war, fire, and flood. In one incident, the Black
Stone, which is really a dark reddish brown, was cracked into three pieces and several frag-
ments, and is now encased in a heavy silver bezel. During Muh:ammad’s farewell pilgrim-
age, he kissed the Stone during his circumambulation (t:awa¯f ), which action has become
customary for pilgrims since. The circumambulation, which is counter clockwise, is made
as close to the KaEbah as possible on a pavement of granite called the mata¯f.
The pre-Islamic records of the KaEbah indicate that it was an ancient shrine and place
of sacrifice. The geographer Ptolemy refers to Mecca as Macoraba, a term that is likely
C LOCKWISE FROM TOP LEFT CORNER. Kr:s:n:a playing the flute. Kanchipuram, India. [©Lindsay Hebberd/
Corbis]; Relief of a winged, lion-headed goddess from Meroe, Sudan. Sudan Archaeological
Museum, Khartoum. [©Werner Forman/Art Resource, N.Y.]; Stone victory stele of Naram-Sin,
c. twenty-third century BCE. [©Gianni Dagli Orti/Corbis]; A time-exposure photograph of
devout Muslims performing t:awa¯f, the circumambulation of the KaEbah in Mecca, during the
h:a¯jj. [Photo by Keystone Features/Getty Images]; The Khmer horse-headed god Vajimukha, sixth-
century, Cambodia. Musée des Arts Asiatiques-Guimet, Paris. [©Scala/Art Resource, N.Y.] .
5049
5050
KABALLAH
cognate with South Arabian mikrab (temple), and Northwest
relayed, an electric lighting system replaced the oil lamps,
Semitic qurba¯n (sacrifice). Arabic records indicate that the
water taps have been provided and the walkway between Safa¯
KaEbah was a place of pagan sacrifice until the arrival of
and Marwah used for the Sa’y has been covered by a tall ceil-
Islam. QurDanic verses and Muslim legends assign an impor-
ing. In keeping with Nahhabi doctrines, the improvements
tance to the KaEbah similar to the position of the Jerusalem
in the KaEbah have resulted in the elimination of saint-
Temple for Judaism. Many Western scholars have pointed
shrines and other historical and religious spaces.
to similarities among stories about the two shrines. It is said
Nearly all branches of Islam near the KaEbah regard the
to be at the center of the earth and the location at which
KaEbah as a central part of Islamic religious practice. In addi-
Adam first performed worship of God. It is thought to be
tion to facing th KaEbah during sala¯t, Muslims also bury the
directly beneath a heavenly counterpart that some hold to be
dead facing towards it. In the Islamic mystical tradition, its
the “real” KaEbah. Under heavenly guidance, it is said to have
importance has been reinterpreted and linked with a heaven-
been first constructed by Abraham (Ibra¯h¯ım) and his son
ly KaEbah that is, according to some, directly above the earth-
Ishmael (Ishma¯’¯ıl) when the Sak¯ınah circled the spot and in-
ly shrine. Above all, the experience of visiting the KaEbah is
structed them to build. The Black Stone is believed to have
not veneration of the building or the Black Stone, but an aid
been brought from heaven by the angel Gabriel (Jibr¯ıl), giv-
to contemplation of God.
ing rise to modern, secular speculation that the stone is a me-
teorite. The nearby well of Zamzam was the source of water
SEE ALSO H:aram and Hawtah; Pilgrimage, article on Mus-
for Ishmael and Hagar when they were cast into the desert.
lim Pilgrimage.
Abraham was the first to institute the pilgrimage (h:a¯jj), and
it is held to be the location of the graves of Abraham, Ishma-
BIBLIOGRAPHY
el, Hagar and a number of prophets. In the process of re-
Descriptions of the KaEbah are readily found in pilgrim accounts
building the KaEbah in Muh:ammad’s early life, a pry bar was
of the h:a¯jj, some of which are available on the Internet. A
placed under the foundation stone to move it, and the whole
comprehensive study of the pilgrimage with an extensive bib-
liography is F. E. Peters, The Hajj (Princeton, 1994). Also
earth is said to have shook, indicating that it was the founda-
recommended is his Jerusalem and Mecca: The Typology of the
tion of the world. In this reconstruction, Muh:ammad acted
Holy City in the Near East (New York, 1987). Beverly White
to resolve a conflict over who would have the honor of restor-
Spicer’s The Ka Ebah (Lanham, Md., 2003), examines the in-
ing the Black Stone by placing it in his cloak and having a
tersection of the KaEbah and human psycho-physiology. For
representative of each Meccan clan lift the stone into place.
a concise summary of the rites associated with the KaEbah,
see Noah Ha Mim Keller, ed. and trans., The Reliance of the
With Muh:ammad’s conquest of Mecca in 8/629, the
Traveler; A Classic Manual of Islamic Sacred Law by Ahmad
accretions and numerous pagan idols that had become asso-
ibn Naqib al-Misri (Dubai, 1991). For literary accounts of
ciated with the KaEbah were purged, and Islamic worship es-
the h:a¯jj and descriptions of the KaEbah, see Michael Wolfe’s
tablished. It is believed that there were over 360 different
One Thousand Roads to Mecca: Ten Centuries of Travelers
idols that had been moved into the KaEbah. According to tra-
Writing about the Muslim Pilgrimage (New York, 1997). See
dition, Muh:ammad left an image of Maryam, the mother of
also Gerald Hawting’s “Ka’ba,” in Encyclopedia of the
Jesus, intact inside of the cleansed KaEbah, put there by the
Qur Da¯n, Vol. III (Leiden, 2003). For a recent film, see Hajj,
Coptic craftsman who helped the Meccans rebuild the
The Pilgrimage: A Videorecording (Princeton, 2003). The pre-
sentation in art is reflected in Ann Parker’s Hajj Paintings:
shrine. This image was destroyed in the civil wars during the
Folk Art of the Great Pilgrimage (Washington, D.C., 1995).
Umayyad period. The sacred precinct around the KaEbah
thus became the place that Muslims perform the h:a¯jj and the
GORDON D. NEWBY (2005)
lesser pilgrimage (umrah), including the annual ritual sacri-
fice.
KABALLAH SEE QABBALAH
In 64/683, during the attempt of EAbd Alla¯h b. al-
Zubayr to gain the caliphate, the KaEbah was nearly de-
stroyed in the siege, and a subsequent fire cracked the Black
Stone into three pieces. When the siege was lifted, the Black
KABERRY, PHYLLIS M. Phyllis Mary Kaberry
Stone was repaired with a silver bezel, and the KaEbah was
(1910–1977), the first anthropologist to study religion and
rebuilt and enlarged. In 74/693, the Umayyad conquered
culture from the vantage point of Aboriginal women in Aus-
Mecca, killed al-Zubayr, and undid many of the alterations,
tralia, showed that the benefits and responsibilities of the
returning the KaEbah to a simpler form, which it still retains.
Ngarrangkarni—spelled by Kaberry as Narungani and trans-
In 317/929, the Qaramatians (Qara¯mitah) carried off the
lated by her to mean “The Time Long Past”—were equally
Black Stone, which was restored after twenty years. While
relevant to women as they were to men. Ngarrangkarni, or
the KaEbah itself has retained the general size and form it had
“The Dreaming,” as it is known in the Kimberley, northern
in Muh:ammad’s lifetime, much work has been done to im-
Australia, embraces a profound body of Aboriginal religion
prove the surrounding areas to accommodate the h:a¯jj visi-
and law. Often described as a creative epoch that lives on in
tors. Since 1376/1956, the stones that paved the mata¯f were
the present via myth, ritual, art, and oral traditions, the pow-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KAB¯IR
5051
ers of the Dreaming ancestors formed the human and physi-
Mourning taboos restricted the consumption of meat, leav-
cal world, while also revealing a way of life for humankind
ing vegetable foods or small fish, grubs, and so on to be
to follow. Arguing against peers such as Bronislaw Malinow-
eaten. Such taboos could be removed only when the required
ski (1913), Géza Róheim (1933), and especially W. Lloyd
period for mourning was over.
Warner (1937) that Aboriginal religion was an all-male do-
Kaberry paid some attention to religious rites associated
main, and critical of Émile Durkheim’s (1915) sociological
with the initiation of young men, but as a female observer
thesis that religious beliefs and behaviors could be organized
of and participant in a society where both joint and gender-
into distinct secular and nonsecular spheres, Kaberry made
specific activities occurred, her account of men’s rituals was
her findings explicit in Aboriginal Woman, Sacred and Pro-
understandably limited. She described, however, the role of
fane, first published in 1939.
women during the initiation of male kin (such as men related
A graduate of Sydney University and the London
to them as sons or brothers) and about women-only ceremo-
School of Economics, Kaberry worked among Bunuba,
nies, including yoelyu.
Gooniyandi, Jaru, Kija, Malgnin, Nyikina, and Walmajarri
There are several features that define Kaberry’s contri-
groups between 1934 and 1936. According to Kaberry, the
bution to the study of religious beliefs and practices. Firstly,
Time Long Past encompassed various totemic beliefs (such
she analyzed the Narungani as a rich body of religion, law,
as conception, birth, and clan totems) and complementary
and lore central to the reproduction of Aboriginal society and
symmetrical social divisions or moieties, which provided
human/land/water relationships. Secondly, in contrast to
connections between people and all other life forms. She in-
Durkheim, she argued that cosmological and temporal be-
terpreted conception totems and the animation of spirit chil-
liefs, ideas, and actions merged into and were dependent
dren, ultimately born as human beings, as central to the cul-
upon each other. Kaberry rejected entirely the notion that
turally complex and integrated nature of Aboriginal religion
Aboriginal religion could be demarcated into disparate reli-
and law (Kaberry, 1936, 1937, 1937a, 1939).
gious and secular domains. Thirdly, Kaberry challenged Ma-
linowski, Róheim, and Warner who, when writing about
Mythological narratives (given expression through per-
Australian Aboriginal religion, portrayed women as “pro-
formance, song cycles, trading, and artworks) were also de-
fane.” It is the latter for which Kaberry is most well known,
scribed by Kaberry as a medium through which the cosmolo-
an assessment that has perhaps restricted a full appreciation
gy occupied a practical socializing role. She wrote, for
of her contribution to the study of Australian Aboriginal
example, about the mythic rainbow snake, or kalpurtu, as the
religion.
maker of rivers and rain, about social classifications known
as subsections, and about marriage laws. Rainmaking also fell
B
into the category of “increase ceremonies,” where rituals or-
IBLIOGRAPHY
Durkheim, Émile. The Elementary Forms of the Religious Life. Lon-
dained by ancestral beings were enacted to ensure the stabili-
don, 1915.
ty and replenishment of food and other resources.
Kaberry, Phyllis M. “Death and Deferred Mourning Ceremonies
In keeping with a holistic approach to Aboriginal reli-
in the Forest River Tribes.” Oceania 6, no. 1 (1935): 33–47.
gion, Kaberry discussed death as well as birth. She recorded
Kaberry, Phyllis M. “Spirit Children and Spirit Centres of the
how death and grieving were incorporated into the “sacred
North Kimberley Divisions.” Oceania 6, no. 4 (1936): 392–
and profane” lives of men and women (Kaberry, 1935,
400.
1939). Death in old age was often accepted, but when a child
Kaberry, Phyllis M. “Subsections in the East and South Kimberley
or young adult died, relatives sought reason in the supernatu-
Tribes of North-west Australia.” Oceania 7, no. 1 (1937):
ral, such as that a taboo had been broken, an avoidance rela-
436–458.
tionship ignored, or that unauthorized contact with sacred
Kaberry, Phyllis M. “Totemism in East and South Kimberley.”
objects had occurred. Kaberry claimed that spirits had the
Oceania 8, no. 1 (1937a): 265–288.
power to influence the living in positive or negative ways. If
Kaberry, Phyllis M. Aboriginal Woman, Sacred and Profane. Lon-
the deceased was old or very young, for instance, the corpse
don, 1939.
was buried in the ground. When this was not the case and
Malinowski, Bronislaw. The Family among the Australian Aborigi-
the cause of death was unclear, the body was placed on a plat-
nes: A Sociological Study. London, 1913.
form in a tree, covered with soft bark, and then left for as
Róheim, Géza. “Women and Their Life in Central Australia.”
long as it took for the flesh to disintegrate. The purpose of
Royal Anthropological Institute Journal 63 (1933): 259–265.
this kind of burial was to allow the deceased’s juices to fall
Warner, W. Lloyd. A Black Civilization: A Social Study of an Aus-
on stones placed beneath the corpse so that the cause or mur-
tralian Tribe. New York, 1937.
derer could be divined. While this took place, the husband
or wife and in-laws would smear themselves with mud.
SANDY TOUSSAINT (2005)
Other kin, such as the mother, father, sisters, sons, and
daughters, would be painted by grieving family members
with ochre. Wives shaved their hair and the belongings of
KAB¯IR (fifteenth century CE) was one of the most famous
the deceased were distributed to distant kin or burnt.
saints and mystics in the Indian tradition. Kab¯ır is unique
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5052
KAB¯IR
in that he is revered by Hindus and Muslims alike, yet his
Kab¯ırpanth¯ıs, although Kab¯ır himself never founded a sect.
personality and his biography remain shrouded in mystery.
The Bijak represents the eastern recension of Kab¯ır’s words.
The only certain fact about him is that he was born a Jula¯ha¯,
A fair idea of Kab¯ır’s teachings, however, can be inferred
a low-caste Muslim weaver, in or near the city of Banaras to-
only from a comparison of the three main recensions.
ward the middle of the fifteenth century CE, at a time when
Some Muslims in the past tended to view Kab¯ır as a
North India was under the rule of the Lodi dynasty. The
S:u¯f¯ı, because many of his “words” are somewhat similar to
Jula¯ha¯s were probably recent converts to Islam, and it is not
those of the most liberal and unorthodox Indian S:u¯f¯ıs. Mod-
certain that Kab¯ır himself was circumcised. He refers to the
ern Hindus and Muslims tend to see him as the champion
Muslims as “Turks.”
of Hindu-Muslim unity, although Kab¯ır himself expressed
The legendary biography of Kab¯ır includes his alleged
outright rejection of the “two religions” and bitterly castigat-
persecution by the Muslim ruler Sikander Lodi and his initi-
ed their official representatives: pandits and pa¯n:d:es on the
one side, mullas and ka¯zis on the other. For Kab¯ır, there
ation (presumably in the Ra¯ma¯ite faith) by a rather mysteri-
could be no revealed religion at all—no Veda, no QurDa¯n.
ous Hindu saint known as Ra¯ma¯nand. The most famous
All scriptural authority he emphatically denied, and he
story about Kab¯ır, however, concerns the saint’s death and
warned people against searching for truth in “holy books”:
burial-cremation at Magahar, a small town of ill repute in
“Reading, reading, the whole world died—and no one ever
northeastern Uttar Pradesh, near Gorakhpur. As Kab¯ır was
became learned!”
about to die, two armed parties of his followers allegedly con-
verged on Magahar, ready to fight in order to secure posses-
There is a tendency in modern times, especially among
sion of the saint’s body. Kab¯ır retired into a small tent to die,
Hindu scholars with Vais:n:ava leanings, to view Kab¯ır as a
and immediately after his death his body disappeared. Noth-
“liberal” Vais:n:ava, one opposed—as indeed he was—to caste
ing was found but a heap of flowers, which was divided be-
distinctions as well as to “idol worship,” but a Vais:n:ava all
tween the two parties: The Muslims buried their share of the
the same, because he made use of several Vais:n:ava names to
flowers on the spot and erected a cenotaph over it; the Hin-
speak of God. Actually, Kab¯ır’s notion of God seems to go
dus cremated their share and later built a sama¯dhi (memorial
beyond the notion of a personal god, despite the fact that he
tomb) over it, although most sectarian devotees of Kab¯ır be-
may call on Ra¯m or Khuda¯. If he often mentions Hari, Ra¯m,
lieve the flowers were cremated at the important Kab¯ır
or the “name of Ra¯m,” the context most often suggests that
Chaura¯ Mat:h in Banaras itself. In later times, Kab¯ır’s fame
these are just names for the all-pervading Reality—a reality
continued to grow among Hindus. In an attempt to “Hind-
beyond words, “beyond the beyond,” that is frequently iden-
uize” the saint, devotees told of his having been born miracu-
tified with ´su¯nya (“the void”) or the ineffable state that he
lously of a brahman virgin widow; she committed the child
calls sahaj. In the same way, though Kab¯ır often speaks of
to the Ganges, but he was saved and reared by Jula¯ha¯s.
the satguru (the “perfect guru”) it is clear that he is not allud-
ing to Ra¯ma¯nand, his putative guru, nor to any human guru.
There is no fully authoritative version of the Kab¯ırva¯n:¯ıs,
For Kab¯ır, the satguru is the One who speaks within the soul
the “words of Kab¯ır.” The poet was probably illiterate, and
itself. Although he often borrows the language of Tantric
it is certain that he himself never committed anything to
yoga and its paradoxical style to suggest the “ineffable word,”
writing. His utterances took the form of the popular couplets
Kab¯ır held all yogic exercises to be absurd contortions and
known as doha¯s, or the equally popular form of short songs
the yogis’ pretention to immortality as utter nonsense.
(padas) set to a refrain. His language was a nondescript form
Kab¯ır’s view of the world is a tragic one. Life is but a
of Old Hindi, which may have served as a sort of lingua fran-
fleeting moment between two deaths in the world of trans-
ca for the wandering holy men of his time. So great was his
migration. Family ties are insignificant and rest on self-
eloquence, however, that his “words” spread like fire over a
interest. Woman is “a pit of hell.” Death encompasses all:
large area of Hindustan, at least from Bihar in the east to the
Living beings are compared to “the parched grain of Death,
Panjab and Rajasthan in the west. Immensely popular, the
some in his mouth, the rest in his lap.” There is no hope,
Kab¯ırva¯n:¯ıs were largely imitated and interpolated even be-
no escape for man but in his own innermost heart. Man must
fore they could be written down. The oldest dated written
search within himself, get rid of pride and egoism, dive with-
record is found in the Guru Granth of the Sikhs, compiled
in for the “diamond” that is hidden within his own soul.
by Guru Arjun in the Panjab around 1604. In the Granth,
Then only may the mysterious, ineffable stage be achieved
Kab¯ır’s utterances are recorded as the words of the foremost
within the body itself—a mystery that Kab¯ır suggests in
among the bhagats (devotees or saints) who were the pre-
terms of fusion:
decessors of Guru Na¯nak, the founder of the Sikh Panth
(“path” or “way”). Two more undated recensions of Kab¯ır’s
When I was, Hari was not.
“words” are known: one in Rajasthan, preserved in the
Now Hari is and I am no more.
Pa¯ñcava¯n:¯ıs compiled by the Da¯du¯panth¯ıs of Rajasthan
For one who has found the hidden “diamond,” for one who
(c. 1600) and known as Kab¯ır Grantha¯val¯ı, and the other,
has passed “the unreachable pass,” eternity is achieved. Mor-
known as the B¯ıjak, popularized, if not compiled, in Bihar
tal life seems to linger, though in truth nothing remains but
by putative disciples of Kab¯ır who called themselves
a fragile appearance. In Kab¯ır’s own words:
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KAGAWA TOYOHIKO
5053
The yogin who was there has disappeared:
his marriage at the age of seventeen (which was normal for
Ashes alone keep the posture.
his circle), he moved to Radun, the hometown of his wife.
In its rugged, terse, fulgurant brilliance, Kab¯ır’s style is
At first he devoted himself to study while being supported
unique. His striking metaphors and powerful rhythms cap-
by his wife, who ran a grocery store. For a short time after-
ture the heart of the listener. His scathing attacks on brah-
ward he served as the town rabbi, but he left the position
mans and the “holy men” of his time have never been forgot-
when he found himself unsuited for it.
ten by the downtrodden people of India. Probably no greater
At the age of twenty-six, Kagan took a position as a Tal-
voice had been heard on Indian soil since the time of the
mud teacher in Minsk, and in 1869 he returned to Radun
Buddha, whom Kab¯ır resembles in more ways than one. His
and opened a yeshivah there. A few years later he published
pessimistic view of worldly life, his contempt for holy books
his first book, H:afets h:ayyim (Seeker of life), the title of which
and human gurus, his insistent call to inwardness have not
is the epithet by which he became best known. It is an im-
been forgotten. His own brand of mysticism may appear
pressive work on the seriousness of the sins of gossip and tale-
godless if one takes “God” as a divine personality. In one
bearing as violations of Jewish law. His concern with morali-
sense, Kab¯ır is not only an iconoclast, he may even be called
ty attracted many students to him and gave him a position
irreligious—and yet he appears as a master of the “interior
of leadership in the developing Jewish Orthodoxy of eastern
religion.”
Europe.
His messianic beliefs led Kagan to set up a program in
SEE ALSO Adi Granth; Hindi Religious Traditions; Poetry,
his yeshivah in which students descended from the priestly
article on Indian Religious Poetry.
clan studied intensively the laws of the Temple so that they
would be prepared upon its rebuilding. He also published a
BIBLIOGRAPHY
compilation of laws and texts dealing with the Temple ser-
For the Kab¯ır Grantha¯val¯ı, see the editions prepared by Shyam
vice. At the end of the century he began to publish a com-
Sundar Das (Banaras, 1928); by Mata Prasad Gupta (Allah-
mentary on the parts of the Shulh:an Earukh (a standard code
abad, 1969), which includes a modern Hindi paraphrase;
of Jewish law) that deal with rituals, ceremonies, and holi-
and by Parasnath Tiwari (Allahabad, 1965), which is a criti-
days. This commentary, known as the Mishnah berurah
cal edition. The Kab¯ır B¯ıjak has been edited a number of
(Clear teaching), incorporated the views of the later legal de-
times. The standard edition is by S. Shastri and M. Prasad
cisors and became the authoritative commentary.
(Barabanki, 1950), and has been partially translated into En-
glish by Linda Hess and Shukdev Singh as The Bijak of Kab¯ır
After spending the years of World War I in Russia,
(San Francisco, 1983). Kab¯ır’s words in the Guru Granth
Kagan returned in 1921 to newly independent Poland,
have been collected and edited by S. K. Varma in Sant Kab¯ır
where he reestablished his yeshivah. In his later years he was
(Allahabad, 1947); this edition includes a paraphrase in
active in Agudat YisraDel (the world Orthodox organization),
modern Hindi.
and during the interwar period he was probably the most in-
For a translation of Kab¯ır’s doha¯s in the Western recensions, see
fluential rabbi in Poland. His influence was due not so much
my Kab¯ır (Oxford, 1974) and my Kab¯ır-va¯ni; The Words of
to his intellect as to his absolute honesty, his modesty, and
Kab¯ır in the Western Tradition (Pondicherry, 1983). See also
his energy.
my “Kab¯ır and the Interior Religion,” History of Religions 3
(1964).
SEE ALSO Musar Movement.
New Sources
Mehta, Rohit. J. Krishnamurti and Sant Kabir: A Study in Depth.
BIBLIOGRAPHY
The first full-scale biography, which still has value and charm,
Delhi, 1990.
though it is clearly hagiographical, is Moses M. Yoshor’s
A Touch of Grace: Songs of Kabir. Translated by Linda Hess and
Saint and Sage (New York, 1937). A more recent treatment,
Shukdev Singh. Boston, 1994.
with an academic apparatus, though still somewhat hagio-
C
graphical, is Lester S. Eckman’s Revered by All (New York,
HARLOTTE VAUDEVILLE (1987)
Revised Bibliography
1974). At least one of Kagan’s works has been translated into
English: see Leonard Oschry’s translation Ahavath Chesed:
The Love of Kindness as Required by G-D, 2d rev. ed. (New
York, 1976).
KAGAN, YISRADEL MEDIR (c. 1838–1933), also
New Sources
known as H:afets H:ayyim, was a rabbi, ethical writer, and
Fishbane, Simcha. The Method and Meaning of the Mishnah
Talmudist. Born in Zhetel, Poland, YisraDel MeDir Kagan (or
Berurah. Hoboken, N.J., 1991.
ha-Kohen) revealed his scholarly abilities at an early age, and
SHAUL STAMPFER (1987)
his father decided to devote his life to developing the talents
Revised Bibliography
of his son. He took the ten-year-old YisraDel to Vilna; there
the boy studied Talmud and came under the influence of the
Musar movement, which sought the revitalization of the eth-
KAGAWA TOYOHIKO (1888–1960) was a Japanese
ical life within the framework of traditional Judaism. After
Christian novelist, social worker, statesman, and evangelist.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5054
KAIBARA EKKEN
He alerted a whole generation of Japanese to the need for a
used royalties from the sixteen printings of Shisen o koete to
practical expression of Christian ethics and symbolized to
help start the Japanese labor movement. He led and assisted
non-Japanese the power of faith in action.
groups that worked to alleviate various social wrongs and
thereby gained the respect of many individuals who other-
Both of Kagawa’s parents died before the boy entered
wise had little interest in Christianity. He had the highest
school. As a middle-school student he was befriended by
profile among Japanese Christian leaders. In contrast to most
American missionaries who converted him to Christianity
of them, Kagawa also showed respect to foreign missionaries,
and treated him like a son. Extremely gifted mentally but
a number of whom translated his writings for publication in
weak physically, he spent four months in the hospital and
their homelands and arranged speaking tours for him. With
then nine months alone in a hut recuperating shortly after
more than a dozen titles in English, he remains one of the
he had entered a theological seminary. His close encounter
most translated Japanese writers. During the thirties his mes-
with death became the basis of his later novel Shisen o koete
sage of faithful economic improvement brought hope to
(translated as both Across the Death Line and Before the
North American communities whose self-confidence had
Dawn). For the rest of his life, glaucoma and tuberculosis
been severely eroded by the Great Depression. His name,
threatened his many activities.
along with those of other world figures such as Mahatma
Back in the seminary, Kagawa concurrently started so-
Gandhi and Jiang Gaishek, became a household word as an
cial work in the Kobe slums. After ordination into the Japa-
example of the fruits of Christian mission.
nese Presbyterian church and marriage, he traveled to the
Events near the end of World War II tarnished Kaga-
United States to study at Princeton University and Princeton
wa’s saintly image. He broadcast over the Japanese national
Theological Seminary. This experience abroad began a pat-
radio network, invoking Lincoln’s second inaugural address
tern that developed into frequent lecture trips to many parts
(1865) as he urged American troops to lay down their arms.
of the world. To the West he brought a message of hope
Other Japanese, themselves concerned with war responsibili-
based on his experience; in Japan he threw himself into social
ty, felt that this cooperation with the government, however
reform. He supported his slum work by royalties from his
well intentioned, had compromised Kagawa’s pacifism. Yet
writing. He also organized both urban workers and farmers
only four decades later his countrymen began to reassess his
to improve their livelihoods.
true worth. More than any other Japanese Christian of his
In the late 1920s Kagawa moved to Tokyo, which be-
generation, Kagawa tried to implement the Christian gospel
came his headquarters. There he helped found consumer co-
in everyday life and formed a bond with Christians through-
operatives and led pacifist movements. On a 1941 trip to the
out the world.
United States, he vigorously opposed militarism. Back in
Japan, police incarcerated him several times; his foreign
BIBLIOGRAPHY
friends made him suspect. Then, when World War II ended,
The works of Kagawa Toyohiko are collected in Kagawa Toyohiko
he was made a member of the cabinet formed to proffer
zenshu, 24 vols. (Tokyo, 1962–1964), which forms the basis
Japan’s surrender. In the liberal postwar climate after 1945,
for all further studies. Kagawa Toyohiko den (Tokyo, 1959),
Kagawa helped form the Socialist party and worked to return
by Haruichi Yokoyama, is considered the standard biogra-
Japan to the world community under the United Nations.
phy. Charley May Simon’s A Seed Shall Serve: The Story of
Toyohiko Kagawa, Spiritual Leader of Modern Japan (New
In 1955 he was nominated for the Nobel Peace Prize. Until
York, 1958) presents a summary Western view of the man
his death, he served as the pastor of a Tokyo congregation.
and his work. George Bikle, Jr.’s The New Jerusalem: Aspects
Kagawa’s thought reflected the accomplishments born
of Utopianism in the Thought of Kagawa Toyohiko (Tucson,
of his great energy. Quick to analyze a problem, he would
1976) deals with Kagawa’s ideas. Yuzo Ota’s “Kagawa Toyo-
hiko: A Pacifist?” in Pacifism in Japan: The Christian and So-
form an organization to remedy it, assign it to trusted asso-
cialist Tradition, edited by Nobuya Bamba and me (Kyoto,
ciates, and move on, giving his friends the sense that he con-
1978), discusses the quite differing attitudes in Japan and
sidered the problem solved. Those who questioned problems
abroad toward Kagawa’s work.
more deeply found his expression of faith facile. Neverthe-
less, they could not disagree with his postmillenarian convic-
JOHN F. HOWES (1987)
tion that work in service of the Social Gospel would help re-
alize his aims. His writings all reflected this combination of
faith and the need for hard work. The novel Mugi no hitotsu-
KAIBARA EKKEN (1630–1714) was a Japanese Neo-
bo (A grain of wheat) showed how an individual could
Confucian scholar. Ekken was born in Fukuoka on the island
change the moral climate of a whole village through his dedi-
of Kyushu in southern Japan. Although he was the son of
cation to reform. Kagawa’s nonfiction works included analy-
a samurai family, he had early contacts with townspeople and
ses of economics that showed how cooperation serves the in-
farmers of the province. This no doubt influenced his later
terests of the community better than competition.
decision to write in simplified Japanese in order to make
Kagawa’s tireless writing and other activities drew atten-
Confucian teachings available to a wide audience. His father
tion to the very practical aspects of the Christian gospel. He
taught him medicine and nutrition, awakening a lifelong 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
KALA¯BA¯DH¯I, AL-
5055
terest in matters of health that would culminate in the com-
SEE ALSO Confucianism in Japan.
position of his well-known book Yo¯jo¯kun (Precepts for
Health Care), completed in 1713. It was his older brother
BIBLIOGRAPHY
Sonzai, however, who urged Ekken to abandon his early in-
Kaibara Ekken’s works are collected in Ekken zenshu, 8 vols.
terest in Buddhism and to immerse himself in the Confucian
(Tokyo, 1910–1911) and Kaibara Ekken, Muro Kyu¯so¯,
classics. Under Sonzai’s tutelage, Ekken became well versed
“Nihon shiso taikei,” vol. 34, edited by Araki Kengo and
in the classics and in the Neo-Confucian writings of Zhu Xi.
Inoue Tadashi (Tokyo, 1970). Works on Ekken include
During a seven-year stay in Kyoto under the patronage of the
Inoue Tadashi’s Kaibara Ekken (Tokyo, 1963); Kaibara
Ekken, Nihon no meicho, vol. 14, edited by Matsuda Michio
lord of the Kuroda domain, he came into contact with the
(Tokyo, 1969).
leading Confucian scholars of his time, including Nakamura
Tekisai, Kinoshita Jun’an, the botanist Mukai Gensho, and
MARY EVELYN TUCKER (1987)
the agronomist Miyazaki Yasusada. These contacts contin-
ued throughout his life by virtue of Ekken’s numerous trips
to Kyoto and Edo. Ekken’s tasks as a Confucian scholar in-
KALA¯BA¯DH¯I, AL- (d. AH 380/5, 990/5 CE), more fully
cluded lecturing to the lord of the Kuroda domain and tutor-
Abu¯ Bakr Muh:ammad ibn Ish:a¯q ibn Ibra¯h¯ım al-Kala¯ba¯dh¯ı;
ing his heir. In addition, he was commissioned to produce
was the author of a famous treatise on early Sufism. As his
lineage of the Kuroda family that required some sixteen years
name indicates, he was a native of the Kala¯ba¯dh district of
of research and writing. He also recorded the topography of
Bukhara. Details of his biography are lacking, but he is stated
Chikuzen Province, in a work that is still considered a model
to have been a pupil of the S:u¯f¯ı Abu¯ al-H:usayn al-Fa¯ris¯ı and
of its kind. Ekken’s other major research project, entitled Ya-
a H:anaf¯ı jurist with pro-Ma¯tur¯ıd¯ı views who studied juris-
mato honzo¯, consisted of a classification and description of
prudence (fiqh) under Muh:ammad ibn Fad:l.
the various types of plants in Japan. It has been praised by
Japanese and Western scholars alike as a seminal work in the
Of the works attributed to al-Kala¯ba¯dh¯ı, two are extant.
history of botany in Japan.
The Ma Ea¯n¯ı al-akhba¯r, also known as Bah:r al-fawa¯Did and
by other titles, was compiled in 985 and remains as yet un-
Ekken’s enduring interest, however, was the populariza-
published. It consists of a brief ethical commentary, S:u¯f¯ı in
tion of Confucian ethics and methods of self-cultivation for
coloring, on 222 selected traditions of the Prophet and in-
a wide audience. Accordingly, he wrote a number of kun-
cludes parallel passages cited in al-Kala¯ba¯dh¯ı’s principal
mono, instructional treatises for various groups such as the
work, the Kita¯b al-ta Earruf li-madhhab ahl al-tas:awwuf. This
samurai, the lord, the family, women, and children. His
masterpiece has been edited several times, most reliably by
work Onna Daigaku (Learning for Women) is especially well
A. J. Arberry (Cairo, 1933), who also translated it into En-
known. In addition, he wrote on methods of study, on litera-
glish with a detailed introduction as The Doctrine of the Sufis.
ture, on writing, on precepts for daily life, and on the five
The work is a principal source for the development of
Confucian virtues. Although a devoted follower of Zhu Xi,
early Sufism (second/eighth to fourth/tenth centuries). It is
toward the end of his life he wrote Taigiroku, a work that
divided into seventy-five chapters that fall into two parts. Be-
records his “great doubts” about Zhu’s dualism of Principle
ginning with a sketchy introductory survey of important
(li) and material force (qi). Ekken’s ideas were influenced by
early S:u¯f¯ıs, the first part sets out the tenets of Islam as accept-
the thought of the Ming scholar Luo Qinshun (1416–1547),
ed by the S:u¯f¯ıs; these can be traced back to the articles of
who had articulated a monistic theory of qi. Ekken felt that
faith elaborated in the creed known as Al-fiqh al-akbar II
the dynamic quality of Confucianism had been lost by cer-
(The Greater Understanding II), which, it seems,
tain Song and Ming thinkers, and he hoped through the
al-Kala¯ba¯dh¯ı quotes directly. The second part discusses the
monist theory of qi to reformulate a naturalism and vitalism
ascetic endeavors, spiritual experiences, technical terms, and
that he, like Luo, viewed as essential to Confucian thought.
miraculous phenomena of the S:u¯f¯ıs, based on their sayings
Consequently, Ekken was concerned to articulate the vital
and verses.
impulse of the material force that suffused all reality. His
thought can thus be described as a naturalist religiosity root-
Throughout the work it is al-Kala¯ba¯dh¯ı’s stated purpose
ed in profound reverence and gratitude toward Heaven as the
to stave off the decay of Sufism and to prove that Sufism lies
source of life and earth as the sustainer of life. He felt that
within the boundaries of Islamic orthodoxy. As a primary
by recognizing one’s debt to these “great parents,” human
source for the history of early Sufism, al-Kala¯ba¯dh¯ı’s
beings activated a cosmic filiality toward all living things.
Ta Earruf may rank with the works of al-Sarra¯j (d. 988), Abu¯
This idea of filiality implied that one should preserve nature,
T:a¯lib al-Makk¯ı (d. 996), and al-Sulam¯ı (d. 1021).
not destroy it. The highest form of filiality was humaneness
The Ta Earruf reflects the S:u¯f¯ı tradition that became
(jin), through which humans formed an identity with all
current in Transoxiana during Samanid times. It soon
things. Ekken, then, was a reformed Zhu Xi scholar whose
achieved the status of an authoritative treatise on Sufism, and
broad interests, voluminous writings, and naturalist religiosi-
commentaries were written on it. The most important of
ty mark a high point in Japanese Neo-Confucian thought.
these is the Persian Nu¯r al-mur¯ıdin wa-fa-z¯ıhat al-mudda D¯ın,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5056
KA¯LACAKRA
also known as Sharh:-i Ta Earruf (Commentary on the
of these are S´a¯khya and Jainism. Likewise, a number of non-
Ta Earruf), of Abu¯ Ibra¯h¯ım Isma¯E¯ıl ibn Muh:ammad ibn EAbd
Buddhist Indian deities encountered in Hindu tantric sys-
Alla¯h al-Mustaml¯ı (d. 1042), a S:u¯f¯ı of Bukhara. The work
tems have a place in the Ka¯lacakra pantheon. Although the
is the oldest surviving S:u¯f¯ı treatise in Persian prose and is ex-
Ka¯lacakra Tantra shares some general characteristics with
tant in several manuscripts, one of them copied in 1081. The
other Unexcelled Yoga Tantras in terms of tantric yogic prac-
value of this voluminous source for the development of Su-
tice, it differs from others in its goal of the attainment of the
fism in Transoxiana lies in its copious comments on each
empty form (´su¯nyata¯-bimba) that is devoid of matter, and
S:u¯f¯ı statement quoted in the Ta Earruf, and in the fact that
in the path to that goal, namely, the Ka¯lacakra Tantra’s six-
it was compiled with apparently no motive other than the
phased yoga.
instruction of S:u¯f¯ı disciples. From the point of view of the
Another unique feature of the Ka¯lacakra tradition is its
Persian language, the work gives testimony to dialectal forms
close affiliation with the mythical land of S´ambhala and its
of tenth-century Persian, with an extraordinarily frequent
kings, not only in terms of its history but also in its future
occurrence of Arabic words.
role in Buddhism. It prophesizes an apocalyptic battle be-
The commentary on the Ta Earruf ascribed to EAbd
tween Raudra Cakri, the King of S´ambhala, and the malevo-
Alla¯h ibn Muh:ammad al-Ans:a¯r¯ı (d. 1089) appears to be lost,
lent King of the barbarians, whom Raudra Cakri will defeat.
while the H:usn Al-ta Earruf, an Arabic commentary on the
The calculations pertaining to the time of the battle are con-
work written by the Sha¯fiE¯ı judge EAla¯D al-D¯ın EAl¯ı ibn
tained in Ka¯lacakra’s elaborate astrological system.
Isma¯E¯ıl al-Qu¯naw¯ı (d. 1327 or 1329), is extant in manu-
Regarding the individual, the term ka¯lacakra signifies
script. There is also an anonymous Arabic commentary that
the circulation of vital energies (pra¯n:a) within the circular
is erroneously ascribed to Yah:ya¯ Suhraward¯ı (d. 1191), who
passages in the body; in terms of the cosmos, it designates
nonetheless summed up the importance of the Ta Earruf in
the passing of days, months, and years in the cycle of time.
the watchword: “But for the Ta Earruf we should not have
Regarding the ultimate reality, the term ka¯lacakra refers to
known of Sufism.”
the nonduality of the two facets of enlightened awareness-
emptiness (´su¯nyata¯) and compassion (karun:a¯), or wisdom
BIBLIOGRAPHY
(prajña¯) and method (upa¯ya). It further denotes the unity of
Anawati, Georges C., and Louis Gardet. Mystique musulmane. 3d
the Buddha’s mind, or the supreme, indestructible knowl-
ed. Paris, 1976.
edge, and his body, or a phenomenal world, which is the ob-
Arberry, A. J. The Doctrine of the Sufis. Cambridge, 1935.
ject of that knowledge. Ka¯lacakra’s consort is Vi´svama¯ta¯
Lazard, Gilbert. La langue des plus anciens monuments de la prose
(Tib., Sna tshogs yum; Mong., Visiyamada), who is the per-
persane. Paris, 1963. See pages 67–71.
sonified perfection of wisdom.
Nwyia, Paul. “Al-Kala¯ba¯dh¯ı.” In The Encyclopaedia of Islam, new
HISTORY OF THE KA¯LACAKRA TRADITION. The early history
ed., vol. 4. Leiden, 1978.
of the Ka¯lacakra tradition in India is abstruse, since the earli-
est holders of the tradition remain shrouded by pseudonyms.
GERHARD BÖWERING (1987)
The most prominent early masters of the Ka¯lacakra tradition
in India were Pin:d:o, D¯ıpam:kara´sr¯ıjña¯na (also known as
At¯ı´sa), Na¯ro, S´r¯ıbhadrabodhi, Somana¯tha, Anupamaraks:ita,
KA¯LACAKRA (“Wheel of Time”; Tib., dus kyi ’khor lo;
Abhaya¯ka¯ragupta, Ravi´sr¯ıjña¯na, S´akya´sr¯ıbhadra, and
Mong., ˇcay-un kürdü) is the Sanskrit name for the principal
Vibhu¯ticandra. An important reference for establishing the
male deity and personification of the Ka¯lacakra Tantra, an
period of the propagation of the Ka¯lacakra tradition in India
Indian Buddhist esoteric treatise belonging to the class of un-
is found in the Ka¯lacakra Tantra (chap. 1, v. 27) and in the
excelled yoga-tantras (anuttarayoga-tantra). In this Tantric
Vimalaprabha¯ (Stainless light) commentary. These two
tradition, the deity Ka¯lacakra represents spiritual knowledge
sources mention the end of the sexagenary cycle that comes
(vidya¯) and the state of immutable bliss, which is attainable
403 years after the Hijir¯ı era of 623 CE as the earliest period
only through the yogic practices that are specific to the
in which the Ka¯lacakra Tantra was promulgated in India.
Ka¯lacakra tradition. Ka¯lacakra is a single, unified reality,
Thus, the year 1026 CE, which was the last year of the reign
which is given different names in the Ka¯lacakra tradition:
of King Mah¯ıpa¯la of Bengal, a great supporter of Buddhism
A¯dibuddha (Primordial Buddha), sahajaka¯ya (innate body),
in India, is established as the year of the Ka¯lacakra Tantra’s
jña¯naka¯ya (gnosis body), vi´suddhaka¯ya (pure body), vajrayo-
composition.
ga (indestructible union), and the like. This nondual reality
According to the legendary accounts of the Ka¯lacakra
has two main aspects: the phenomenal world of multiplicity
tradition, the existing version of the Ka¯lacakra Tantra is said
(sam:sa¯ra) and the unitary ultimate reality (nirva¯n:a).
to be an abridged version of a larger original Tantra called
The Ka¯lacakra tradition is the latest Buddhist tantric
the Parama¯dibuddha Tantra (Tantra of the primordial Bud-
system to appear in India. While retaining its distinctive
dha), which reportedly consisted of twelve thousand verses.
Buddhist tradition, the Ka¯lacakra tradition integrates a vari-
According to the Vimalaprabha¯ (chap. 1), the extant version
ety of non-Buddhist Indian elements. The most prominent
of the Ka¯lacakra Tantra was taught by Buddha S´a¯kyamuni
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KA¯LACAKRA
5057
to Sucandra, the king of S´ambhala, and an emanation of Bo-
shes rab rgyal mtshan (Dölbupa sherap gyaltsan; 1292–
dhisattva Vajrapa¯n:i in the Dha¯n:yakat:aka stupa, situated in
1361) of the Jonang school. It was later transmitted by
the vicinity of the present-day village of Amara¯vat¯ı in An-
Ta¯ra¯na¯tha (1575–1643), through whom it reached the
dhra Pradesh. Having returned to S´ambhala, King Sucandra
Zhang pa Bka’ brgyud (Zhangpa Kagyu) school.
wrote it down and disseminated it throughout his kingdom.
An important figure in bringing together the Rwa and
Sucandra’s six successors continued to maintain the
’Bro lineages was Bu ston rin chen grub (Butön rinchendrub,
Ka¯lacakra tradition, and the eighth king of S´ambhala,
1290–1364). His disciple transmitted both traditions to Rje
Mañju´sr¯ı Ya´sas, composed the abridged version, known as
Tsong kha pa (1357–1419), the founder of the Dge lugs
the Laghuka¯lacakratantrara¯ja (Sovereign abridged Ka¯lacakra
(Geluk) pa school, who in turn transmitted it to his disciple
Tantra). Existent Sanskrit variants of the abridged version
Mkhas grub Dge legs dpal bzang (1385–1438).
are written in the ´sradghara¯ meter (four lines of twenty-one
A later tradition called Tsami was established by Tsa mi
syllables each) and contain between 1,030 and 1,037 verses.
sangs rgyas grags pa (Tsami sangye drakpa) and Siddha Or-
The tradition holds that Mañju´sr¯ı Ya´sas’s successor
gyen pa, who passed it on to the third Karma pa Rang byung
Pun:d:ar¯ıka, an emanation of the Bodhisattva Avalokite´svara,
rdo rje (Rangjung Dorje, 1284–1339). Gyi jo zla ba’i ’od zer
composed the Vimalaprabha¯, an extensive 12,000-line com-
(Gyijo dawei özer), who was the first to translate Ka¯lacakra
mentary on the Ka¯lacakra Tantra.
texts into Tibetan under the guidance of Indian pan:d:ita
S´r¯ıbhadrabodhi in 1026 CE, established the earliest
Tibetan sources on the history of the Ka¯lacakra Tantra
Ka¯lacakra lineage in Tibet. His lineage was passed on to
differ in their accounts of the Ka¯lacakra Tantra’s history in
’Brom lo tsa ba padma ’od zer (Drom lotsawa padma özer),
India. According to the Tibetan Rwa tradition, Indian Bud-
and it reached the Jonang pa school through Jonang Kun
dhist master Cilupa¯ of Orissa, after studying the Ka¯lacakra
spang thugs brtson ’grus (Jonang Künpang tuk tsöndrü)
Tantra in Ratnagiri in the second half of the tenth century,
(1243–1313), the founder of Jonang monastery.
set out on a journey to S´ambhala to receive further teachings
Among the Tibetan scholars who produced an extensive
on the text. Having returned to India in 966 CE, Cilupa¯
amount of commentarial literature on the Ka¯lacakra Tantra,
taught the Ka¯lacakra Tantra to his three disciples and wrote
Rgyal tshab dar ma rin chen (Gyaltsap darma rinchen; 1364–
a commentary on it. His most important disciple, Pin:d:o
1432), Stag tshang lo tsa ba (Taktsang lot sawa), and ’Ju Mi
A¯ca¯rya, later taught the Tantra to Ka¯lacakrapa¯da the Senior,
pham rgya mtsho (Ju mipan gyatso; 1846–1912) are also
from Bengal, who in turn passed on the tradition to his disci-
worthy of mention.
ples, among whom the most important is Ka¯lacakrapa¯da the
Junior. To facilitate the propagation of the Ka¯lacakra tradi-
CONTENT OF THE KA¯LACAKRA TANTRA. The Ka¯lacakra Tan-
tion in all of the regions of India, Ka¯lacakrapa¯da the Junior
tra is divided into five chapters, which are categorized by the
built a Ka¯lacakra temple at Na¯landa¯ in the present-day state
Tibetan tradition into three main divisions—the Outer,
of Bihar, where he taught the Ka¯lacakra Tantra and where-
Inner, and Alternative Ka¯lacakra.
from the Ka¯lacakra tradition widely spread. A disciple of
1. The Inner Ka¯lacakra (chap. 1: “The Cosmos”) deals
Ka¯lacakrapa¯da the Junior by the name of Mañjuk¯ırti passed
with cosmology, astrology, chronology, and eschatology. It
on the tradition to the Newari pan:d:ita Samanta´sribhadra,
describes in detail the nature of time and the elementary par-
who in the later part of the eleventh century assisted the Ti-
ticles of the cosmos, along with the origination, configura-
betan translator Rwa lo tsa ba rdo rje grags pa (Ra lotsawa
tion, measurements, and dissolution of the cosmos and its
dorje drak pa) in translating the Ka¯lacakra Tantra and
constituents. It interprets the cosmos as a four-tiered
Vimalaprabha¯ into Tibetan. This translation marked the be-
man:d:ala and as the cosmic body of the Buddha.
ginning of the Ka¯lacakra Rwa lineage in Tibet, which be-
2. The Outer Ka¯lacakra (chap. 2: “The Individual”)
came influential in the Sa skya (S´a¯kya) school of Tibetan
deals with human embryology and subtle psychophysiology,
Buddhism.
astro-medicine, medical botany, yogic and ritual therapies,
and alchemy. It discusses the formation, functions, and dis-
According to the Tibetan ’Bro tradition, the Ka¯lacakra
integration of the human body, speech, and mind. It inter-
Tantra was brought to India during the reign of Kalk¯ı
prets the individual as a microcosmic representation of the
S´r¯ıpa¯la in S´ambhala. He gave
a transmission to
cosmic man:d:ala, as a cycle of time, and as an abode of the
Ka¯lacakrapa¯da the Senior, from whom the Ka¯lacakra tradi-
four bodies of the Buddha (sahajaka¯ya, dharmaka¯ya,
tion was successively transmitted through Ka¯lacakrapa¯da the
sam:bhogaka¯ya, and nirma¯n:aka¯ya).
Junior to the Ka¯´smiri pan:d:ita Soma¯na¯tha. In the early elev-
enth century, Soma¯na¯tha assisted Tibetan translator ’Bro
3. The Alternative Ka¯lacakra (chaps. 3–5: “Initiation,”
shes rab grags (Dro sherap drak) in translating the Ka¯lacakra
“Sa¯dhana,” and “Gnosis”) deals with the practice of
literature into Tibetan. This initiated the Ka¯lacakra ’Bro lin-
Ka¯lacakra, which is generally divided into three main
eage in Tibet, which was passed on to Bsgom pa dkon mchog
stages—initiation (abhis:eka), the stage of generation (utpat-
gsum (Gompa Könchok sum) of the Bka’ gdams (Kadam)
tikrama), and the stage of completion (sam:pannakrama).
pa school, subsequently to the eighth Karma pa, Mi bskyod
Ka¯lacakra initiation involves the initiate’s entrance into
rdo rje (Mikyo Dorje, 1507–1554), and then to Dol bu pa
the Ka¯lacakra man:d:ala, purification and empowerment 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
5058
KA¯LACAKRA
the deities in the man:d:ala, a series of meditations and recita-
Since the 1980s, the Ka¯lacakra tantric system has been
tions of mantras, and the taking of Tantric vows and pledges.
gaining popularity in Europe and the United States, in part
The stage of initiation consists of eleven successive initia-
because the Dalai Lama has offered initiations each year in
tions. The first seven initiations are the water, crown, crown
Western countries in the belief that the time of S´ambhala is
pendant, vajra and bell, conduct, name, and permission ini-
approaching and in order to generate a karmic connection
tiations; the four higher initiations are the vase, secret, wis-
for Buddhist practitioners to S´ambhala.
dom, and gnosis. The successive initiations are analogous to
the individual’s progression on the Buddhist path from a
BIBLIOGRAPHY
layperson to a buddha.
Broido, Michael M. “Killing, Lying, Stealing, and Adultery: A
Problem of Interpretation in the Tantras.” In Buddhist Her-
The stage of generation involves the practice of concep-
meneutics, edited by Donald S. Lopez Jr., pp. 71–118. Hono-
tual meditation in which one mentally creates the Ka¯lacakra
lulu, 1988. Addresses a hermeneutical problem in Buddhist
man:d:ala with its various deities and imagines oneself as the
Tantric literature by concentrating on specific passages from
Ka¯lacakra deity standing in the center of the man:d:ala, hold-
the Ka¯lacakra literature and on the variety of interpretations
ing the vajra and bell, and embracing Vi´svama¯ta¯. The
given to them in different sources.
man:d:ala represents a sublimated cosmos and a mother’s
Gen Lamrimpa. Transcending Time: An Explanation of the
body insofar as the mental creation of the man:d:ala and its
Ka¯lacakra Six-Session Guru Yoga. Translated by B. Alan Wal-
deities is analogous to the individual’s conception, develop-
lace. Boston, 1999. Discusses in detail the three areas of the
ment in the mother’s womb, and birth. The deities in the
Ka¯lacakra practice—preliminary practices, six-session guru
man:d:ala represent the purified aspects of the Buddha’s four
yoga, and the stage of completion—as they are interpreted
by the Tibetan Dge lugs pa tradition.
bodies, or the sublimated aspects of the individual’s gnosis,
mind, speech, and body. The man:d:ala embodies the
Geshe Lhundup Sopa, Roger Jackson, and John Newman, eds.
Ka¯lacakra mantra: om: ham: ks:a ma la ca ra ya sva¯ha¯. The stage
The Wheel of Time: The Kalachakra in Context. Madison,
Wis., 1985. Contains five articles by different authors giving
of generation also involves certain sexual yogic practices with
a brief summary of the broader context of the Ka¯lacakra Tan-
either an actual consort or an imagined consort. The goal of
tra and its history and practice.
this stage of practice is the accumulation of merit and further
Gyatso, Tenzin (Dalai Lama XIV), and Jeffrey Hopkins.
purification through the transformation of the individual’s
Kalachakra Tantra: Rite and Initiation. London, 1989. This
conception of the world.
volume consists of the three main parts: (1) a general intro-
The stage of completion involves meditation on the
duction to the Ka¯lacakra rite of initiation and its preliminary
form of emptiness (´su¯nyata¯-bimba) by means of the practice
practices; (2) an English translation of Kay drup ge lek bel
sang bo’s text, Ka¯lacakra Initiation Rite: Stage of Generation,
of the six-phased yoga (s:ad:-an˙gayoga). This six-phased yoga
with the Dalai Lama’s commentary; and (3) a translation of
of Ka¯lacakra consists of the following phases: retraction
the Dalai Lama’s composition on the three versions of the
(pratya¯ha¯ra), meditative stabilization (dhya¯na), breath
six-session yoga.
control (pra¯n:a¯ya¯ma), retention (dha¯ran:a¯), recollection
Harrington, Laura, ed. Kalachakra. 2d ed. Rome, 1999. A pictori-
(anusmr:ti), and sama¯dhi. The sama¯dhi phase is characterized
al guide with explanatory notes to the Ka¯lacakra man:d:ala
by the generation of 21,600 moments of the immutable bliss,
and its deities.
which, coursing through the six bodily chakras, eliminate the
Newman, John. “The Outer Wheel of Time: Vajraya¯na Buddhist
material aspects of the four drops in the individual’s body
Cosmology in the Ka¯lacakra Tantra.” Ph.D. diss., University
and facilitate their manifestation as the four bodies of the
of Wisconsin, Madison, 1987. This dissertation concentrates
Buddha. Thus, 21,600 moments of bliss transform the mate-
primarily on the analysis of the first chapter of the Ka¯lackra
rial and perishable nature of the individual’s body and mind
Tantra. It contains a translation of several cosmological and
into the empty form and the gnosis of imperishable bliss,
eschatological passages of the Ka¯lacakra Tantra and the
called Ka¯lacakra.
Vimalaprabha¯; in footnotes, it gives useful interpretations
from several Tibetan commentaries on those passages.
ICONOGRAPHY OF KA¯LACAKRA. In Buddhist iconography,
Newman, John. “The Parama¯dibuddha (The Ka¯lacakra-
Ka¯lacakra is depicted as standing on a lotus, which is on the
mu¯la-tantra) and Its Relation to the Early Ka¯lacakra Litera-
disks of the sun, moon, and Ra¯hu, with the right knee ad-
ture.” Indo-Iranian Journal 30 (1987): 93–102.
vanced and the left leg retracted (the a¯l¯ıd:ha posture), crush-
Newman, John. “Buddhist Siddha¯nta in the Ka¯lacakra Tantra.”
ing Ka¯madeva and Rudra with his two feet. He has a dark
Wiener Zeitschrift für die Kunde Südasiens 36 (1992):
blue body, symbolizing day and night; three throats, each of
227–234. Analyzes philosophical statements found in the
which represent four zodiac signs; four faces, each of which
second chapter of the Ka¯lacakra Tantra from historical and
represent three zodiac signs; twelve shoulders, representing
philological perspectives.
the twelve months of the year; twenty-four arms holding var-
Newman, John. “Eschatology in the Wheel of Time Tantra.” In
ious weapons; and 360 joints of the hands, symbolizing 360
Buddhism in Practice, edited by Donald S. Lopez Jr., Prince-
days of the year. He is embraced by a yellow, twelve-eyed
ton, 1995. Includes brief introductory notes and a transla-
Vi´svama¯ta¯, standing with the left foot advanced and the right
tion of a short, eschatological passage from the first chapter
leg retracted (the pratya¯lid:ha posture).
of the Ka¯lacakrata Tantra.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KALA¯M
5059
Steams, Cyrus. The Buddha from Dolpo: A Study of the Life and
those who deal with questions of physics. The Greek term
Thought of the Tibetan Master Dolpopa Sherab Gyaltsen. Alba-
theologoi is translated by as:h:a¯b al-kala¯m al-ila¯h¯ı or
ny, N.Y., 1999. Offers an insight into the Tibetan zhan stong
al-mutakallimu¯n f¯ı ila¯h¯ıya¯t (i.e., those who deal with the di-
view based on teachings in the Ka¯lacakra Tantra and unique
vine). Gradually, the term came to signify the specific, per-
teachings of Dolpopa, a great Ka¯lacakra master from the Ti-
fectly defined science that is the object of the present study.
betan Jonang tradition.
Wallace, Vesna A. “The Buddhist Tantric Medicine in the
In his renowned Muqaddimah, Ibn Khaldu¯n gives the
Ka¯lacakratantra.” Pacific Journal of the Institute of Buddhist
following definition of Eilm al-kala¯m: “The science of kala¯m
Studies, n.s. 10–11 (1995): 155–174. Discusses the concept
is a science that involves arguing with logical proofs in de-
of science in the Ka¯lacakra Tantra, the Ka¯lacakra Tantra’s
fense of the articles of faith and refuting innovators who de-
medical theories and practices, and their soteriological signif-
viate in their dogmas from the early Muslims and Muslim
icance.
orthodoxy. The real core (sirr) of the articles of faith is the
Wallace, Vesna A. The Inner Ka¯lacakratantra: A Buddhist Tantric
oneness of God” (Cairo, n.d., p. 321; trans. Rosenthal, New
View of the Individual. New York, 2001. Analyses the
York, 1958, vol. 3, p. 34).
Ka¯lacakra tradition’s various interpretations of the individual
and the individual’s place in the universe. It discusses the in-
This role of defensive apologia and of apologetics attri-
dividual in terms of the Ka¯lacakra deity’s cosmic, social,
buted to the science of kala¯m has remained standard in
gnostic, and transformative bodies.
Islam. The modernist shaykh Muh:ammad EAbduh wrote that
VESNA A. WALLACE (2005)
the purpose of kala¯m was the “fixing of religious beliefs for
the aim of working to conserve and consolidate religion”
(Ris:a¯lat al-tawh:¯ıd, p. 5; trans., p. 5).
KALA¯M. In common usage kala¯m signifies speech, lan-
Al-¯Ij¯ı (d. 1356), commented on at length and intelli-
guage, sentence, proposition, words, but in the field of Mus-
gently by al-Jura¯jn¯ı (d. 1413), initially defines the function
lim religious thought it has two particular meanings: the
of kala¯m as seeking “to guarantee the proof (of the existence)
word of God (kala¯m Alla¯h) and the science of kala¯m ( Eilm
of the Creator and of his unicity” (Mawa¯qif, vol. 1, p. 26).
al-kala¯m), which may be understood as dogmatic theology
Later in the same work he explains that “kala¯m is the science
or more precisely the defensive apologetics of Islam. Apart
that bears the responsibility of solidly establishing religious
from a few preliminary remarks on kala¯m as the word of
beliefs by giving proofs and dispelling doubts” (pp. 34–35).
God, the present article is devoted to kala¯m in the latter
He goes on to state explicitly the purpose, the usefulness, the
sense.
degree of excellence, the questions treated, and the explana-
E
tion of the chosen term.
TYMOLOGY AND DEFINITIONS. Kala¯m Alla¯h is mentioned
several times in the QurDa¯n (for example, su¯rahs 2:75, 9:6,
Finally, to cite a nineteenth-century popular manual,
48:15). God spoke to the Prophets (2:253). He “spoke clear-
al-Ba¯ju¯r¯ı’s gloss on the Jawharat al-tawh:¯ıd, kala¯m or tawh:¯ıd
ly to Moses” (4:164, 7:143, and elsewhere). However, one
is defined as “the science that enables one to establish clearly
finds neither kala¯m nor mutakallim (speaking) in the list of
religious beliefs, based on definite proofs of these beliefs”
the most beautiful names of God (asma¯ D Alla¯h al-h:usna¯).
(H:a¯shiyah Eala¯ Jawharat al-tawh:¯ıd, p. 8). For al-Ba¯ju¯r¯ı this
Rather, it was the theologians who, on the basis of QurDanic
definition is the first of the ten “foundations” that converge
evidence, ascribed the attribute of kala¯m to God and desig-
to form each branch of knowledge. The second element is
nated the QurDa¯n as kala¯m Alla¯h. From this development
the subject: God, the envoys and the prophets, the contin-
arose the very controversial problem of the relationship of
gent being insofar as he serves to give existence to his Maker,
the QurDa¯n to the Word as a divine attribute. Here it may
and the sam E¯ıya¯t, or traditionally accepted truths. The third
be mentioned in passing that during the European Middle
element is its utility: the knowledge of God supported by de-
Ages, Thomas Aquinas described the mutakallimu¯n (whose
cisive proofs and the acquiring of “eternal happiness.” The
occasionalism and negation of causality he refuted) as “lo-
fourth is the degree of excellence, and the fifth, the relation-
quentes in lege maurorum” (“those who speak on behalf of
ship of this science to the other disciplines. The people of
Islam”).
kala¯m consider their science to be the most noble of all be-
As for the science of kala¯m, this term came to mean
cause of its subject and see it as the basis of all other fields
Muslim dogmatic theology. In his effort to determine the or-
of knowledge. The sixth element specifies the founders of the
igin of the usage, Harry A. Wolfson suggests that the word
science: for orthodox kala¯m, al-AshEar¯ı (d. 935) and
kala¯m was used to translate into Arabic the different mean-
al-Ma¯tur¯ıd¯ı (d. 956), who “coordinated the writings related
ings of the Greek term logos as “word,” “reason,” “argu-
to this science and refuted the specious ambiguities intro-
ment.” It was also used to signify the act of expounding or
duced by the MuEtazilah.” The seventh element is the name:
discussing a specific science, and the mutakallimu¯n became
tawh:¯ıd or kala¯m. The eighth is the means used, namely ratio-
those who deal with this science, for example al-kala¯m
nal and traditional arguments. The ninth is its legal category,
al-t:ab¯ı E¯ı, peri phuseos logoi. The “physicians” (phusikoi, phu-
because the study of kala¯m is considered obligatory by its ad-
siologoi) are sometimes called al-mutakallimu¯n f¯ı al-tab¯ı E¯ıyat,
herents. Finally, the tenth includes the questions treated,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5060
KALA¯M
which deal with what is necessary and impossible to attribute
nor of the incarnation, nor of the redemption, and therefore
to God and to the prophets.
no mystery of the church or of the sacraments. Quite the
ORIGINS AND SOURCES OF THE SCIENCE OF KALA¯M. Among
contrary, the very idea of the incarnation is vigorously reject-
the influences that can be detected in the science of kala¯m,
ed. Thus the theologians, those knowledgeable in kala¯m,
direct sources include the QurDa¯n, h:ad¯ıth, consensus of the
have only to organize the elements of a natural theodicy in
community, and reason, while indirect sources can be traced
their attempt at synthesis. If one disregards the pejorative
to the pre-Islamic religions of the Byzantine and Sasanid em-
connotation that the word rationalism has acquired in West-
pires and Greek philosophy as well as political dissensions of
ern Christian milieus since the eighteenth century, one can
the early Islamic period.
say that Muslim theology is basically rationalist: In practice
it denies the possibility of access to an order of supernatural
The QurDa¯n. This is the primary element on which the
mysteries. For its clearest representatives who are not neces-
science of kala¯m is built. Islam is first of all the religion of
sarily always the most religious, Muslim theology is essential-
the Book: It is a surrender to a God who, in the eyes of the
ly a superior metaphysical system to which are added, in an
believers, reveals himself in the book par excellence, the
incidental manner, a few positive notions relating to matters
QurDa¯n, his uncreated word. The QurDa¯n is neither a history
of cult, which are revealed by God in the QurDa¯n.
of the people of God nor a life of Muh:ammad; it is rather
a “discourse” that God holds with humanity in the first
Finally, the QurDa¯n was revealed in Arabic. For Muslim
person.
theologians this fact indicates an essential link between the
religious notion and the nature of God. The Arabic QurDa¯n
The QurDa¯n presents itself in effect as an absolute begin-
is the very word of God himself. Consequently the Arabic
ning of revelation. The earlier revelations (Jewish and Chris-
language is seen as itself revealed, or at least as the one that
tian) have not been preserved in the authentic versions and
best expresses the word of God. This explains the primary
thus cannot serve a “given.” Consequently Muslim theology
role played by language in the elaboration of Muslim theolo-
finds itself before an all-encompassing document, transmit-
gy and the importance of the schools of grammar in the in-
ted by a single man and corresponding to a very limited peri-
terpretation of the sacred texts.
od of time. There is no progressive revelation, no preparatio
coranica according to a divine plan, no development compa-
H:ad¯ıth. This term refers to the corpus of words and ac-
rable to that of the Old Testament in relation to the New,
tions of the Prophet, the “perfect model” whose least word
or that within the New Testament itself. All the dogma is
assumes normative value. In dogmatic and moral authority,
explicitly given in the QurDanic text.
the canonical collections of these h:ad¯ıth are second only
to the QurDa¯n, at least according to traditional Muslim
This QurDanic core, the starting point of the science of
thinkers.
kala¯m, is not systematic. It is essentially a collection of “reve-
lations” stretched out over approximately twenty years, in
The consensus of the community (Ijma¯E). This con-
which the Prophet informs his followers of the orders of God
sensus of the community as represented by its doctors is an
according to the circumstances, some of which are political.
internal factor of regulation. According to Henri Lammens,
it is a kind of instinct of the people, who when faced with
A person knowledgeable in kala¯m finds four elements
certain innovations react according to the spirit of Islam. The
in the QurDa¯n. First there is a theodicy: the existence of God,
Prophet had said, “My community will never agree on an
his unity, his eternal self, his omnipotence, the source of life
error,” and from this his disciples concluded that the com-
and death, his fixity, his omniscience, and his mercy. God
munity is infallible as far as its beliefs and religious practices
is endowed with speech and with will. He is the Creator. Sec-
are concerned.
ond comes an anthropology: God created humankind from
dust. He breathed his spirit into humanity (wa-nafakha f¯ıhi
The idea of ijma¯ E, although quite complex in theory,
min ru¯h:ihi). The human intelligence is superior to that of
showed itself to be effective in practice to maintain a tradi-
the angels. Adam disobeyed God, but his sin is not passed
tional line of orientation through the stirrings caused by new
down to his descendants; thus, there is no original sin in
conditions. Because Islam has neither an official ministry nor
Islam. The human being is the vicegerent of God (khal¯ıfat
an advisory body, the ijma¯ E exercises more or less tacitly the
Alla¯h) on earth, the ruler of the created world, which must
role of regulator within the Muslim community. Qualified
be submitted to God’s will. Third there is an eschatology:
reformers aroused by God could legitimately undertake to
the judgment of the individual, heaven, hell, and the Last
reestablish the Muslim community in the purity of its origi-
Judgment; God is the master of death. Finally there is moral-
nal line or could propose solutions to the demands of the
ity: personal, familial, social; the rights of God.
modern world in conformity with the religious law.
Although the QurDa¯n presents itself as a divine revela-
Reason. For a certain number of narrow traditionists,
tion, it nonetheless communicates no mysteries that are truly
especially in the early period, the only acceptable attitude
supernatural. There is the global mystery of the divine being
from the religious point of view was an exclusive loyalty to
(al-ghayb), which is transcendent and entirely inaccessible in
the QurDa¯n and the h:ad¯ıth with no rational elaboration. Nev-
itself to human intelligence, but no mystery of the Trinity
ertheless, for traditional theology reason became an essential
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KALA¯M
5061
factor in the problem of faith. It is necessary for every adult,
text for philosophizing. The ijma E came to favor the first
who should not be satisfied with a blind acceptance of tradi-
trend, and the ideas of the AshEar¯ıyah became the shared phi-
tion (taql¯ıd) but must be able to demonstrate rationally the
losophy of Islam, while the second tendency was met with
existence of God and the truth of the Muslim religion. The
great reticence, and its doctrine was hardly tolerated.
theologians themselves use reason to establish the authentici-
Manichaeism and Mazdakism. The invasion of Iran
ty of their historical notions, to criticize evidence, to defend
brought the Muslims in contact with a very rich and complex
dogmas, and to refute objections. This tendency went so far
cultural climate, where the Armenian and Syrian Christians
that in certain treatises on theology the major part is devoted
in particular were already engaged in controversies with the
to Eaql¯ıya¯t, those truths that reason can reach on its own,
Mazdaeans and the Magians. The ardent monotheism of
with the QurDa¯n serving as a confirmation. A certain number
Islam, which for fear of taking anything away from God’s
of positive notions, the sam E¯ıya¯t, are known only by revela-
omnipotence made God the creator of evil as well as good,
tion; these are concerned with eschatology, prophetology,
offered a new battlefield for Mazdaean apologists, as is dem-
the caliphate, and similar matters. The degree to which rea-
onstrated by the Shkand guma¯n¯ık vicha¯r, a ninth-century
son is used also varies with the schools: Some restrict its use
Mazdaean apologetic treatise. The theologians responded by
to logic as instrument; others apply an untiring dialectical
elaborating treatises against the dualists.
zeal to the smallest theological problems.
As for the Manichaeans, their survival in the tenth-
Christianity. The influence of Christianity was felt ei-
century East, attested by Ibn al-Nad¯ım’s Fihrist, leads one
ther in an informal way, notably through the Bible itself or
to believe that with the fall of their Mazdaean persecutors
through contacts that Muslims had with Christians living in
and the period of calm that followed the Muslim conquest,
Muslim lands, or formally via discussions with Christian
their doctrine was able to find a new lease on life.
theologians, especially in Damascus and Baghdad. Among
these theologians were the Nestorians concentrated in Hira,
Political dissensions. The political struggles among
the Jacobites (monophysites), and finally the Melkites, in-
Muslims mark the starting point for the elaboration of theo-
cluding John of Damascus and his disciple Abu¯ Qurrah, as
logical problems. Given that traditional Islam is inseparably
well as several dissident sects that were more or less Christian.
d¯ın wa-dawlah, “religion and state,” it is normal that every-
As they attempted to defend the dogma of Islam in discus-
thing concerning the polity, the transmission of power, legit-
sions with these groups, Muslim theologians were led to ad-
imacy, and the struggle for public authority should express
dress certain problematic issues such as free will and predesti-
itself in religious terms and provoke violent conflicts among
nation, the divine attributes, and the uncreated QurDa¯n. (In
the partisans of opposing opinions. It was in this way that
the QurDa¯n Jesus is considered to be the word of God.)
the problems of the nature of faith, of its relationship to
works, of the possibility for faith to increase or decrease, of
Greek philosophy. In the eyes of Muslim thinkers,
the status of the unrepentant sinner who is nevertheless a be-
Greek philosophy was perceived as a single body of knowl-
liever, of the caliphate, and like questions developed among
edge within which Plato and Aristotle, far from being in op-
the Muslims.
position, played complementary roles in relation to each
T
other. Apocryphal Neoplatonic writings such as De causis
HE PRINCIPAL SCHOOLS AND MAJOR THEMES. Here this
article shall pursue a mainly chronological order that will
and the Pseudo-Theology of Aristotle served to reinforce this
permit the author to trace the emergence and development
conviction. These Greek teachings, known directly or via the
of the problem.
commentators, exercised an influence in two directions. Cer-
tain Muslim thinkers adopted an orientation that was
The early creeds. The earliest surviving documents that
straightforwardly rational in the eighteenth-century French
give an official expression of doctrine are the first creeds,
sense of the term. They denied all revelation, maintaining
some of which have been studied by A. J. Wensinck in The
only a vague notion of a distant philosophical God. This was
Muslim Creed. From what has been observed concerning the
especially true of Abu¯ Bakr al-Ra¯z¯ı, the Rhazes of the Latins.
fragmentary nature of the QurDa¯n, it is not surprising to find
no systematic résumé of doctrine there. What Muh:ammad
Other thinkers, loyal to their faith, took on the task of
affirms above all are the divine transcendence and unity, the
defending the principal dogmas of their religion with this in-
declaration in fiery terms of the horrors of the judgment, and
strument newly placed between their hands—Greek
the prophetic character of his message.
thought. These were the MuEtazilah, the first theologians of
Islam. They soon split into two main groups. The dissidents
But a few decades after Muh:ammad’s death, the expan-
among them, such as al-AshEar¯ı, wished to retain only the
sion of the new religion and the political and social questions
minimum of philosophy indispensable for theological elabo-
that arose led the heads of the community to express the es-
ration and stressed more the properly religious core of the
sential traits of Islam and to condense them into a formula
QurDa¯n. The other group, the fala¯sifah, including hellenizing
that was easy to recite and easy to remember. Some of these
philosophers such as al-Kind¯ı, al-Fa¯ra¯b¯ı, Ibn S¯ına¯, Ibn
formulas are found in the h:ad¯ıth collections. For example,
Rushd, and others, were more philosophers than Muslims;
Muh:ammad is asked, “What is Islam?” and he answers, “It
for them religious ideas were only a superstructure or a pre-
is to associate nothing with God, to perform the ritual
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5062
KALA¯M
prayer, to give the prescribed alms, and to fast during
(6) Knowledge in matters of religion is better than knowl-
Ramad:a¯n.” When he is asked, “And what is faith?” he an-
edge in matters of the law.
swers, “It is to believe in God, his angels, his book, his meet-
(7) The difference of opinions in the community is a bless-
ing [with believers in Paradise], and his Prophet, to believe
ing of God.
in the resurrection and the final destiny.”
(8) Whoever believes what should be believed but says, “I
The development of Islam, the struggle with the tribes
do not know if Moses and Jesus are prophets or not,”
in revolt, and the conquests slowly necessitated a distinction
is an unbeliever.
between isla¯m (“submission”) and ¯ıma¯n (“faith”). It is possi-
ble to be Muslim in different ways, and external posture is
(9) Whoever affirms that he does not know if God is in
not necessarily a sign of inner faith. It was at this point that
heaven or in hell is an unbeliever.
the “five pillars of Islam” were defined. These are usually ex-
(10) Whoever says he does not know the punishment in the
pressed in the following terms: “Islam is built on five pillars:
tomb belongs to the sect of the Jahm¯ıyah, which is
faith, ritual prayer (s:ala¯t), the tithe (zaka¯t), the fast of
condemned to perdition.
Ramad:a¯n, and the pilgrimage.” Thus Islam presents itself in
its entirety as faith and acts. The holy war is not yet men-
The Was:¯ıyah. It is with the Was:¯ıyah (Testament) of
tioned.
Abu¯ H:an¯ıfah (d. 767) that the major problems begin to
emerge; it is true that these are not yet classified in homoge-
However, conversion to Islam prompted the develop-
nous groups, but one feels that the work of conflicting has
ment of a simple formula expressing in a few words the essen-
started. The twenty-seven articles of this creed can be sepa-
tial message of the new religion: the shaha¯dah (“witnessing”)
rated into the following themes.
served this function. By reciting it, the new converts entered
the Muslim community; it was their profession of faith:
1. The problem of faith. The text affirms that faith resides
“There is no god but God, and Muh:ammad is the messenger
in witnessing with the tongue, believing with the mind, and
of God.”
knowing with the heart. It does not increase or decrease (art.
2). The believer and unbeliever really are such (art. 3). Mus-
A profession of faith reduced to its simplest expression,
lim sinners do not cease to be Muslim (art. 4). Works are
the shaha¯dah would be sufficient as long as internal discus-
distinct from faith (art. 5). Finally, faith allows people to be
sions did not pit the disciples of the same master against one
classified in three categories: believers with pure intentions,
another. But once dissension arose, there was inevitably an
unbelievers who recognize their lack of belief, and hypocrites
orthodox party that sought to set down its position in precise
(art. 14).
terms and heaped anathema on those who did not accept it
in its entirety. It was in this context that the first creeds
2. Predestination. This problem is treated throughout
would appear.
the Was:¯ıyah. First of all it is affirmed against the dualists and
The Fiqh al-akbar. One of the principal creeds to come
the Qadar¯ıyah that God alone controls good and evil (art.
down to the present is the Fiqh al-akbar. Although it is
6), that mortal acts are created by God (art. 11) because
tempting to see it as nothing more than the simple develop-
human beings have no natural power (art. 12), and that God
ment of the formula of the profession of faith, such is not
creates the faculty at the same time as the act (art. 15). Finally
the case. The shaha¯dah is a formula of adherence to the Mus-
it is God who orders the (celestial) pen to write (art. 17); that
lim community; the creed is the profession of faith of the
is to say, he determines all things.
community itself, which wishes to state its position in rela-
The theme of human actions is very closely associated
tion to the dissenting sects. This particular profession men-
with that of predestination, because these actions are totally
tions neither the unity of God nor the mission of
dependent on divine will. The relationship between these
Muh:ammad, because neither is called into question. It states
two forms the crucial problem of speculative moral philoso-
the following articles:
phy. Along with predestination, the distinction of three
(1) We consider no one (of those who profess Islam) to be
kinds of actions is affirmed: These are the obligatory, the op-
an unbeliever on account of his faith, nor do we deny
tional, and the reprehensible. About ten affirmations follow
his faith.
to detail the eschatological beliefs: the punishment of the
tomb (art. 18), questioning in the tomb (art. 19), heaven and
(2) We command the good and forbid the evil.
hell (art. 20 and 27), the scale (art. 21), the reading of the
(3) What reaches you could not have missed you, and what
book (art. 22), the resurrection (art. 23), God’s meeting with
misses you could not have reached you.
the inhabitants of Paradise (art. 24), the intercession of the
Prophet (art. 25), and God’s sitting on the throne (art. 8).
(4) We do not disavow any of the companions of the Apos-
In addition there are affirmations concerning the uncreated
tle of God, nor do we adhere to any one of them in par-
or created nature of the QurDa¯n (art. 9), the order of prece-
ticular.
dence of the first caliphs (art. 10), the precedence of EA¯Dishah
(5) We leave to God the question of EUthma¯n and EAl¯ı. He
(art. 26), and the validity of ablutions performed on shoes
alone knows the secret and hidden matters.
(art. 16).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KALA¯M
5063
Fiqh al-akbar II. The Fiqh al-akbar II leads one onto
analyzed human control over their actions, and affirmed that
much more defined ground, for debate had obliged the reli-
they created such actions by “generation” (tawallin).
gious leaders to clarify beliefs, to reject anything that could
With the same concern to eliminate any suspicion of as-
threaten the transcendence of God, and to specify the role
sociationism, they affirmed the created character of the
of the prophets and the value of their message.
QurDa¯n, the word of God. In the history of the MuEtazilah,
From the very first affirmation, the global content of the
this position attracted the most attention because of its polit-
faith reveals itself: God, the angels, his envoys, the resurrec-
ical repercussions. The QurDa¯n, they held, is a “genus” of
tion, the decree concerning good and evil, the calculation of
words, created by God. It is called the “word of God” be-
sins, the scale, heaven and hell. The entire theological base
cause, in contrast to human words, the QurDa¯n was created
to date is thus set out: Theology already possesses all the ma-
directly.
terial it will have to systematize. The different articles of the
Second thesis: the justice of God. In conjunction with
creed, about forty in all, take up each point in turn and devel-
tawh:¯ıd, this belief served to describe the MuEtazilah, or rath-
op them slightly without, however, following the order pro-
er, they proudly described themselves as the “people of jus-
posed at the start.
tice and unity.” By analyzing the notion of human justice
MuEtazil¯ı problematic and theses. The MuEtazilah,
and extending it to God, they drew two conclusions.
“the first thinkers of Islam,” gave the science of kala¯m a sys-
1. As an intelligent and wise being, God must necessari-
tematic form. The great MuEtazilah lived either in Basra
ly act according to a purpose, with a view to a determined
(Abu¯ al-Hudhayl al-EAlla¯f, d. 849; al-Naz:z:a¯m, d. 846;
plan. There is a chosen, objective order in the universe, and
al-Ja¯h:iz:, d. 872) or in Baghdad (Bishr ibn al-MuEtamir,
thus intermediary purposes, themselves related to an ulti-
d. 825; Abu¯ Mu¯sa¯ al-Mirdar, d. 841; Thuma¯mah ibn al-
mate purpose. Consequently there are an objective good and
Ashras, d. 828).
evil prior to the determination brought by religious law. God
is obliged always to do the best, al-as:lah:; he can wish only
Although they did not teach the same doctrine on all
the good.
matters, they nonetheless shared a common spirit. Historians
and heresiographers have not been wrong in summarizing
2. God does not want evil. He does not order it because
the characteristics of their doctrine in five affirmations called
his wish (ira¯dah) and his commandment (amr) are identical.
al-us:u¯l al-khamsah: the unity of God (al-tawh:¯ıd), his justice
Evil is created by humans, as is good for that matter, because
(al- Eadl), the promise and the threat (a:l-wa Ed wa-al-wa E¯ıd),
people create all their actions, good or evil. They have in ef-
the “neutral” position in relation to the sinner (al-manzilah
fect received from God a “power” (qudrah), that allows them
bayn al-manzilatayn), and finally the “commanding of good
to act freely. For this reason they will inevitably receive a re-
and forbidding of evil” (al-amr bi-al-ma Eru¯f wa-al-nahy Ean
ward for their good actions and a punishment for their evil
al-munkar).
ones.
First thesis: tawh:¯ıd. Concerned with avoiding the sligh-
Third thesis: the promise and the threat. This concerns
test anthropomorphism in the question of divine attributes,
the fate of the believer (mu Dmin), the sinner (fa¯siq), and the
the MuEtazilah applied in all its vigor the via remotionis,
unbeliever (ka¯fir) in the hereafter. The term “the names and
God’s transcendence (tanz¯ıh). The anthropomorphic verses
the statutes” (al-asma¯ D wa-al-ah:ka¯m) is also used, referring
should be “interpreted” symbolically, and in some cases even
to the juridical statutes that determine the fate of each group.
rejected. Similarly, contradictory h:ad¯ıths were set aside.
The basic problem is that of faith and disbelief. For the
Against the “people of h:ad¯ıth” and the EAlids, the MuEtazilah
MuEtazilah, to have faith is not merely to assent in the heart
could affirm their agnosticism on the matter of the nature
and to make the verbal profession (shaha¯dah) but also to
of God. Without going as far as the Jahm¯ıyah, who com-
avoid the “major sins” (kaba¯ Dir). The unbelievers and the un-
pletely denied the attributes of God, they affirmed that all
repentant Muslim sinners are condemned to hell.
these attributes are identical with God’s essence and that they
Fourth thesis: the “intermediate position” between faith
have no real existence. Against the Dahr¯ıyah (materialists)
and disbelief. This is a corollary to the MuEtazil¯ı concept of
they affirmed a personal creator God. If God is completely
divine justice and faith and is easily assimilated to the preced-
spiritual, he cannot be seen by the senses, from which came
ing thesis. The position of the Muslim sinner (fa¯siq) is inter-
their rejection of the “vision of God” in the future life, the
mediate between that of the believer and that of the unbeliev-
ru Dyah of the traditionists. The absolute transcendence of
er. Although condemned in the hereafter to eternal
God in relation to the world led them to distinguish rigor-
damnation (albeit one less rigorous than that of the ka¯fir),
ously between the preeternal and the muh:dath (that which
the sinner remains nonetheless a member of the Muslim
has begun to be) and made them reject energetically any no-
community while on earth.
tion of h:ulu¯l (the infusion of the divine into the created).
Fifth thesis: “commanding the good.” In contrast to
The MuEtazilah accepted a “contingent” or “created” di-
those who saw internal criticism as sufficient, the MuEtazilah
vine knowledge of free intentions and of possibilities in gen-
favored direct action. Order must be reestablished “by the
eral. They studied the object and the limits of divine power,
sword.” If there is a hope of defeating adversaries one must
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5064
KALA¯M
overthrow the guilty leaders, even kill them if necessary, and
was by contrast a clear disciple of Abu¯ H:an¯ıfah, a Persian
force them, on pain of death, to accept the true doctrine.
like himself. He favored liberal, rational solutions, staying as
close as possible to the MuEtazilah while remaining within
This is not the place to discuss the history of the
the limits of orthodoxy. An example of this approach is seen
MuEtazilah, their temporary triumph and final defeat. Histo-
in his attitude toward the problem of liberty and kasb.
ry books recount different stages of the mih:nah (inquisition),
Al-Ma¯tur¯ıd¯ı’s solution attempted to respect the intervention
which represents the final struggle of the upholders of ratio-
of the human being, to whom he attributes the “qualifica-
nal doctrines against the narrowly traditionalist thinkers.
tion” of acts. Similarly al-Ma¯tur¯ıd¯ı affirms that the believer
The rationalists were defeated and the “people of h:ad¯ıth” tri-
can say, “I am a believer in truth,” whereas al-AshEar¯ı re-
umphed decisively. The fact remains nevertheless that the
quired the restriction, “if God wishes it.” (This is the prob-
MuEtazilah represent a turning point in the history of Mus-
lem of the istithna¯ D.) For the Ma¯tur¯ıd¯ıyah it was inconceiv-
lim thought and they left a definitive mark, even if by reac-
able that God would punish those who had obeyed him,
tion, on the problematic of kala¯m.
while the AshEar¯ıyah accepted the possibility, at least in theo-
It was one of the deserters from the MuEtazilah, Abu¯
ry. For the Ma¯tur¯ıd¯ıyah, often called “shameful MuEtazilah,”
al-H:asan al-AshEar¯ı, who succeeded in finding the concilia-
reason, even without the religious law, would have taught
tory via media between their rationalism and the literalism
that there is an obligation to know God; for the AshEar¯ıyah,
of the traditionists. A longtime disciple of al-Jubba¯D¯ı, the
this awareness comes exclusively from revelation. The differ-
head of the MuEtazilah of Basra, he broke publicly with his
ent points of divergence, which number about fifty, remain
teacher and turned violently against his former companions.
secondary and in no way prevent the AshEar¯ıyah and
At first he attempted to win over the literalists by expressing
Ma¯tur¯ıd¯ıyah from being considered without distinction as
his admiration for Ibn H:anbal, as can be seen at the start of
“people of tradition and h:ad¯ıth,” the former in the western
his Iba¯nah, or “elucidation” of the principles of religion.
part of the empire (Syria, Iraq, Egypt), and the latter in the
eastern part.
However, his real theological work would consist of at-
tempting to reconcile the different schools. By his conversion
The AshEar¯ıyah spread into Persia under the Seljuks,
he intended to rediscover the meaning of traditional doc-
then into Syria and Egypt under the Ayyubids and the Mam-
trine, to “return” to the QurDa¯n and to the teaching of the
luk sultans, and finally into the Maghreb under the Almohad
first Muslims. In the field of exegesis he energetically rejected
dynasty led by Ibn Tu¯mart (d. 1130?). This triumph was
the overly drastic tanz¯ıh of the MuEtazilah as this led to ta Et:¯ıl,
characterized by ongoing development of the doctrine, with
a complete dissection of the notion of God. He wished to
the names of the qa¯d:¯ı al-Ba¯qilla¯n¯ı, al-Juwayn¯ı (Ima¯m
maintain a literal interpretation of the text and in this respect
al-H:aramayn), and finally al-Ghaza¯l¯ı serving to demarcate
appeared to present himself as a faithful disciple of Ibn
the principal stages.
H:anbal. This was a literalism peculiar to al-AshEar¯ı, however,
From the via antiqua to the via moderna. In his fa-
because the later AshEar¯ıyah would distance themselves con-
mous Muqaddimah, Ibn Khaldu¯n (d. 1406) presents the
siderably from the rigid literalism of their founder and thus
time of al-Ghaza¯l¯ı (d. 1111) as a watershed in the evolution
would provoke the anger of Ibn H:azm and the H:ana¯bilah
of kala¯m. The via antiqua, characterized by a dialectic in-
themselves (Laoust, Ibn Taymiyya, pp. 81–82). Likewise on
spired primarily by the logic of the doctors of the law, gave
the question of the “vision of God” and of the anthropomor-
way to the via nova, which relied on the Aristotelian syllo-
phic terms and the attributes (Iba¯nah, p. 47), he presented
gism. This break should not be overemphasized, however: At
positions to which Ibn H:anbal would have ascribed without
least from the point of view of the subjects discussed, influ-
hesitation.
ences must have been felt earlier via the MuEtazilah, some of
Such was the al-AshEar¯ı of the direct sources. But for
whom had read Aristotle. This tendency can already be seen
al-Juwayn¯ı (d. 1085), who became al-Ghaza¯l¯ı’s master,
in the writings of al-Ba¯qilla¯n¯ı (d. 1013), himself an untiring
al-AshEar¯ı was not a theologian following the opinions of Ibn
opponent of the MuEtazilah, and even more strongly in those
H:anbal but rather a conciliator of two extreme positions. In
of his disciple al-Juwayn¯ı. The latter was indeed an ancient
his Taby¯ın (pp. 149ff.) Ibn EAsa¯kir demonstrates how his
in his dialectic, but an ancient who foretold the victory of
master, when dealing with the principal questions, followed
the new method, which would triumph through his disciple
a middle course between the exaggerations of the MuEtazilah
al-Ghaza¯l¯ı and come even closer to the fala¯sifah with later
and those of the h:ashw¯ıyah who, it is true, were recruited
theologians.
among the extremist H:ana¯bilah. Table 1 summarizes the
This article shall now trace this evolution in the Tamh¯ıd
principal AshEar¯ı positions in comparison with those of the
of al-Ba¯qilla¯n¯ı, the Irsha¯d of al-Juwayn¯ı, and the Iqtis:a¯d of
extremists. All later kala¯m would see al-AshEar¯ı as its founder.
al-Ghaza¯l¯ı. It shall finish with the treatises in which the new
tendency takes full shape.
Al-Ma¯tur¯ıd¯ı was a follower and contemporary of
al-AshEar¯ı. His disagreements with al-AshEar¯ı stemmed above
The Tamh¯ıd of al-Ba¯qilla¯n¯ı. In his Tamh¯ıd,
all from the fact that they followed different legal rites.
al-Ba¯qilla¯n¯ı, who has not yet broken away from his apologet-
Al-AshEar¯ı was probably a disciple of al-Sha¯fiE¯ı. Al-Ma¯tur¯ıd¯ı
ic preoccupations, mixes his presentation of beliefs with long
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KALA¯M
5065
Extreme by Default
Al-ash‘ar
Extreme by Excess
The attributes
Denied (ta‘t l, ibtal) by the
They are real, but not like
They are like human attributes
Mu‘tazilah, Jabar yah, Rafidah.
human attributes.
(hashw yah).
Human acts
People have a power (qudrah).
No power. God creates the
Neither power nor kasb (Jabar yah).
They are susceptible to acts
of human beings, who are endowed
kasb (Qadar yah, Mu‘tazilah).
with kasb (attribution, juridical charge).
The vision of God
Denied by the Mu‘tazilah,
God will be seen (by the eyes)
God will be seen like things of
Jahm yah, and Najjar yah.
but without hulul, without terms,
the senses (hashw yah).

without modes, as he sees us.
Omnipresence of God
God is everywhere without
God existed before there was place. He
God is “infused” (hulul) in the throne.
hulul or direction (Mu‘tazilah).
created the throne and the seat. He
He is seated on the throne which is
has no need of place. The creation of
his place (hashw yah).
place has in no way changed his nature.
Ta´wil (interpretation)
Hand = power and grace; face of
The hand and face are real attributes
The hand is a real limb, the face is a
God = his existence; descent of
like hearing and sight . . . =
face with human form. The descent is
God = descent of certain verses,
attribute . . . = attribute. . . .
real, as is sitting on the throne
or of his angels; sitting on the
(hashw yah).
throne = domination (Mu‘tazilah).
The Qur´an
It is the created word of God
The [eternal] Qur’an is the uncreated
All is uncreated (hashw yah).
(Mu‘tazilah).
word of God, eternal, unchangeable.
The individual letters, the ink with
which it is written are created.
Faith
It is created (Mu‘tazilah, Jahm yah,
Faith is of two kinds: that of God,
Faith is absolutely uncreated
Najjar yah).
uncreated; that of the believers, created.
(hashw yah).
The eternal punishment
The Muslim who commits a grave
The Muslim sinner is given up to divine
The fate of the Muslim sinner will be
sin is eternally damned (Kharij s,
goodwill. God can accept that person
debated only on the Day of Judgment
Mu‘tazilah).
immediately into Paradise or mete out
(Murji’ah).
punishment in a temporary Hell.
Intercession
The Prophet does not have the
Intercession of the Prophet on behalf of
Muhammad and ‘Ali can intercede
power of intercession (Mu‘tazilah).
believing sinners with the permission
without God’s order or permission,

of God.
even for unbelievers (Rafidah).
The caliphate
Mu‘aw yah, Talhah, Zubayr, and
Every mujtahid achieves a result. There
All these people are unbelievers
`A´ishah are guilty. Their
is general agreement on this principle.
(Rafidah).
testimony is not accepted
(Mu‘tazilah). They are not guilty (Umayyads).
SOURCE: Gardet and Anawati (1948), pp.58-59
T ABLE 1 . The conciliating position of al-AshEar¯ı, according to the Qa¯d:¯ı Abu¯ al-MaEali ibn EAbd al-Malik (al-Juwayn¯ı) as reported
by Ibn EAsakir, Taby¯ın (pp. 149ff.)
discussions against non-Muslim sects and dissident Muslims
ing, willing; he has no appetite. (3) Divine action: nei-
themselves. The following is the schema of his presentation:
ther motive (gharad:) nor cause ( Eillah); he acts freely.
Preliminary. Science; nature; foundations.
II. Apologetic Section. Refutation of the astrologers, dualists,
Magians, Christians, Brahmans (Hindus), Jews, and
I. De Deo Uno. (1) Existence of God: (a) division of
corporalists (mujassimah, i.e., those who maintain a lit-
known objects; (b) accidents; (c) created nature of the
eral interpretation of the anthropomorphic verses of the
word and proof of the existence of God. (2) His attri-
QurDa¯n).
butes: he is one, living, knowing, hearing, seeing, speak-
III. The Caliphate. (1) Principles of methodology and na-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5066
KALA¯M
ture of the caliphate. (2) Qualities required of the ca-
Preliminaries. The nature of kala¯m; its importance; its
liph. (3) The first four caliphs. (4) Validity of their ca-
methodology.
liphate. (See also Gardet and Anawati, 1948,
I. The Divine Essence. (1) God exists. (2) He is eternal. (3)
pp. 154–156.)
He is permanent. (4) He is insubstantial. (5) He is in-
The Irsha¯d of al-Juwayn¯ı. Al-Ghaza¯l¯ı’s master, also
corporeal. (6) He is nonaccidental. (7) He is undefined.
called Ima¯m al-H:aramayn (“imam of the two holy places”),
(8) He is not localized. (9) He is visible and knowable.
presents the principles of his classification more than once
(10) He is one.
in his Irsha¯d. At some points he divides his treatise between
II. The Attributes of God. (1) The attributes in themselves:
what exists necessarily in God and what is possible, that is
life, knowledge, power, will, hearing, sight, speech. (2)
to say, between what God can and cannot accomplish. At
The “status” of the attributes: (a) they are not the es-
others he distinguishes between matters accessible to reason
sence; (b) they are in the essence; (c) they are eternal;
and those attainable only through the traditional path. Al-
(d) the divine names.
though it is not easy to find one’s way through the Irsha¯d,
its plan can be drawn up in the following manner:
III. The Acts of God (what God can or cannot do). (1) God
Introduction. The character of reason; the nature of science.
can choose (is free) to impose no obligation on his crea-
tures. (2) Or he can choose to impose on them what
I. The Existence of God. (1) Contingency of the world (its
they cannot do. (3) God does nothing in vain. (4) He
beginning in time). (2) Proofs of the existence of God
can make innocent animals suffer. (5) He can fail to re-
(a novitate mundi).
ward one who obeys him. (6) The obligation of know-
II. What Necessarily Exists in God. (1) Attributes of the es-
ing God comes from revelation alone. (7) The sending
sence: the unity of God. (2) Attributes of qualification:
of prophets is possible.
(a) knowledge of the attributes; (b) knowledge of the at-
IV. The Envoys of God. (1) Muh:ammad. (2) Eschatology
tributes themselves (the word; the divine names; other
(and faith). (3) The caliphate. (4) The sects.
attributes).
III. What God Can and Cannot Accomplish. (1) Visibility of
Evolution of the via moderna. Elsewhere (Gardet and
God: the creation of human acts. (2) The promise and
Anawati, 1948) this author has shown the evolution of the
the threat. (3) Prophetology. (4) The “traditional” ques-
via moderna with the progressive introduction of philosophy
tions (sam E¯ıya¯t): (a) sundry aspects: terms assigned to
through an examination of kala¯m treatises such as the
things, subsistence for maintaining life, censure of
Niha¯yat al-aqda¯m of al-Shahrasta¯n¯ı (d. 1153), the Muh:as:s:al
human actions; (b) eschatology; (c) names and the ju-
of Fakhr al-D¯ın al-Ra¯z¯ı (d. 1209), and the T:awa¯l¯ı E al-anwa¯r
ridical qualifications; (d) the caliphate.
of al-Bayd:a¯w¯ı (d. 1286). Here shall be given the end result
of this evolution as it is crystallized in the Mawa¯qif of al-¯Ij¯ı
The Iqtis:a¯d of al-Ghaza¯l¯ı. The author of the Ih:ya¯D dis-
with the commentary of al-Jura¯jn¯ı. With this work is
cussed ex professo and with precision the science of kala¯m in
reached the high point of the science of kala¯m in Sunn¯ı
a compendium entitled Al-iqtis:a¯d f¯ı al-i Etiqa¯d (The just
Islam. ¯Ij¯ı/Jura¯jn¯ı, with the glosses of other commentators,
mean in belief). He intended to remain loyal to AshEar¯ı or-
represent the largest (four volumes of more than five hun-
thodoxy, simplifying to the extreme the dialectical debates
dred pages each) and most systematic work of orthodox
and eliminating the philosophical investigations that his
Muslim speculative thought. The work supplied material for
master al-Juwayn¯ı had integrated into his treatises.
years of specialization in the great Muslim universities, and
Al-Ghaza¯l¯ı devotes four chapters to a general introduc-
one is obliged to recognize, especially by comparison with
tion on kala¯m. The first underlines the importance of this
previous works, that its fame is well deserved. Even if the
science: It allows the reader to know God, his tributes, and
truly traditional parts, and the theology strictly speaking, are
the work of his messengers. However, he takes pains to state
treated soberly, the philosophical part with its long critical
in the second chapter that this concerns only a certain num-
introduction receives ample development. Consisting of six
ber of people, because, with relation to the truths of faith and
treatises and an appendix, the work is divided and subdivided
the doubts that can arise, one must distinguish different cate-
with care:
gories of people who are not equally able to devote them-
I. Preliminaries. (1) The presuppositions of kala¯m and all
selves to this science. Kala¯m is safely used only to resolve cer-
knowledge. (2) Science (or knowledge) in genere. (3)
tain doubts of the believers and to try to convince intelligent
The division of knowledge (the first two operations of
unbelievers. Finally, the fourth chapter analyzes the sources.
the spirit). (4) The existence of sciences or necessary
Next al-Ghaza¯l¯ı divides all the questions considered
knowledges. (5) Reasoning. (6) The different forms of
into four large sections, each precisely articulated. Because
reasoning.
God is the object of kala¯m, one must first study him in his
essence; this is the aim of the first section. The second section
II. General Principles. (1) Being and nonbeing. (2) Essence.
deals with the attributes; the third, with the action of God
(3) The necessary and the possible. (4) The one and the
and his personal acts; and the fourth, with his envoys. The
many. (5) Cause and effect.
following is a general outline of the whole work:
III. The Accidents. (1) In genere. (2) Quantity. (3) Quality.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KALA¯M
5067
(4) The relations (nisab): local relations, space, move-
(d. 1860), rector of al-Azhar, who wrote commentaries on
ment. (5) Relationship (id:a¯fah).
his predecessors, al-Sanu¯s¯ı himself, al-Laqa¯n¯ı, and his own
IV. Substance. (1) The body. (2) Accidents of bodies. (3)
master, al-Fad:a¯l¯ı. The differences are minimal between
The separate soul. (4) The intellect.
al-Sanu¯s¯ı and al-Ba¯ju¯r¯ı. One of those who would attempt
to arouse theology from its sleep, Shaykh Muh:ammad
V. “Rational” Theology (Ila¯h¯ıya¯t). (1) The divine essence.
EAbduh (d. 1905), would write of this period, “Whoever
(2) The transcendence of God (the via remotionis). (3)
studies the works of this era will find only discussions on
His unity. (4) The positive attributes. (5) “Possible” at-
words, studies on methodology. And he will find these in
tributes: visibility, knowability. (6) The acts of God
only a small number of works chosen by weakness and conse-
(problem of human acts). (7) The divine names.
crated by impotence.”
VI. The Traditional Questions (Sam E¯ıya¯t). (1) Prophet-
Reformist period. It was precisely Muh:ammad
hood. (2) Eschatology. (3) Statutes and names. (4) The
EAbduh, the disciple of the reformer Jama¯l al-D¯ın al-Afgha¯n¯ı
caliphate.
(d. 1897), who would try to renew the problematic of kala¯m
Appendix. The sects.
within the scope of the general renaissance of the Middle
East. His originality in this field was his religious rationalism.
Rigid AshEar¯ıyah. The so-called way of the “modern-
He believed deeply in Islam, but he wanted a thoroughly in-
ists” was in effect the most original line of thought in the
terpreted religion that could respond intellectually to the de-
fully evolved AshEar¯ı kala¯m. One can note among the most
mands of criticism, socially to the desire of the humble to
characteristic representatives al-Shahrasta¯n¯ı, Fakhr al-D¯ın
live a decent life, and politically to the ardent passion among
al-Ra¯z¯ı, and al-Isfaha¯n¯ı (d. 1348). Al-Ra¯z¯ı, although he
the people for liberty.
called himself an AshEar¯ı, did not hesitate to adopt Ma¯tur¯ıd¯ı
theses, or even MuEtazil¯ı influences.
Against the traditional AshEar¯ı ideas that crushed the be-
Other modernists, possibly less daring, nonetheless did
liever under the weight of a fatalist predestination, he would
not hesitate to borrow in their turn from falsafa various ideas
state the existence of human liberty as the basis of all action
on logic, nature philosophy, or metaphysics. This was the
and responsibility. He did not want to concern himself with
most orthodox of the tendencies that issued from the
what he considered metaphysical subtleties and turned in-
thought of al-¯Ij¯ı, including al-Jura¯jn¯ı, who called himself an
stead to a somewhat agnostic pragmatism. It was practice
AshEar¯ı. Very close to him in methodology was his adversary
that interested him above all. Thus divine law, reason, con-
al-Tafta¯za¯n¯ı (d. 1389), who attempted to oppose the conclu-
science, and common sense affirm human responsibility and
sions of falsafa while still placing himself on the same plane
therefore human freedom. It was useless to go over the old
as philosophy.
discussions again on the bases and nature of this freedom.
It was enough to recognize that it did not contradict God’s
The glosses, commentaries, and discussions multiplied,
omnipotence, because, as he said, “God is the cause to the
often with a great richness of argumentation and certain orig-
extent that people act, and people are the cause to the extent
inal views. But this did not serve the elaboration of kala¯m
that God acts.” This is far from the AshEar¯ı kasb
as a theological science: The clearest result of such studies
(“acquisition”) that denies any real power to human beings.
was to throw the teaching of kala¯m by reaction into the con-
straints of “rigid conservatism.”
He added to this clear attitude toward human freedom
an affirmation of natural law, which once again suggests the
Kala¯m would soon ossify under the AshEar¯ı writ, and,
influence of the MuEtazilah. Like the latter he recognized that
losing the freshness of its early years, it would become frozen
there are things objectively good or evil, naturally beautiful
in the stereotyped forms of “manuals” endlessly commented
or ugly, and concludes that a “natural law” is possible. Reli-
and recommented. If one compares the nineteenth-century
gious law does not differ essentially from natural morality.
Jawharat al-tawh:¯ıd of al-Ba¯ju¯r¯ı with the Muh:as:s:al of al-Ra¯z¯ı,
“The law came simply to show what exists (al-wa¯qi E). It is
one finds the same major divisions, the same responses, the
not the law that makes it good” (Risa¯lah, p. 80, trans.,
same “intemporality.” The manuals of that age are often a
p. 56).
compendium of all the past, but framed and codified by the
most rigid solutions of the school.
In his discussion of prophecy, he shows similarly ratio-
nalist tendencies. While keeping the orthodox position, he
An enumeration of these manuals and their authors
stresses the psychological and social aspects of prophecy
would be lengthy indeed; suffice it to mention the two writ-
(ibid., p. 127/86).
ers who are situated at the beginning and the end of this long
period, and who had and still have an important place in offi-
In discussing kala¯m he insists above all on the political
cial teaching. One is al-Sanu¯s¯ı, from the fifteenth century,
factor in the formation and differentiation of the schools. He
famous for his kala¯m treatises set out according to the three
recognizes that foreign elements integrated into the commu-
cycles of teaching (Umm al-bara¯hin) called Al-s:ughra¯ (The
nity prompted the first dogmatic discussions (ibid., intro.,
small), or the Sanu¯s¯ıyah, then Al-wust:a¯ (The median) and
p. 55). The rational character of the science of kala¯m is af-
Al-kubra¯ (The great). The other is Ibra¯h¯ım al-Ba¯ju¯r¯ı,
firmed forcefully: It is reason that is called upon to examine
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5068
KALA¯M
the proofs of the beliefs and rules of conduct imposed by reli-
Mulla¯ S:adra¯ in M. M. Sharif’s A History of Muslim Philoso-
gion in order to show that they truly come from God (ibid.,
phy, vol. 2, Wiesbaden, 1966).
p. 129/88). In response to Hanotaux he does not hesitate to
Among contemporary Muslim writers a certain number
write, “In the case of a conflict between reason and tradition,
outside the traditional framework of theology have tried to
it is reason that must decide. This is a position that would
speak of God and Muslim doctrines in a way adapted to the
only be opposed by a few people, from among those whose
modern world, including Ka¯mil H:usayn, Sayyid Qut:b,
views cannot be taken into consideration” (Gardet and An-
Tawf¯ıq al-H:ak¯ım, EAbba¯s Mah:mu¯d al-EAqqa¯d, and Mus:t:afa¯
awati, 1948, p. 86, n. 3).
Mah:mu¯d. The historian of kala¯m should not overlook their
In his Ris:a¯lat al-tawh:¯ıd, Shaykh EAbduh spends little
contributions.
time on the metaphysical introductions so common in tradi-
tional manuals. After stating the usual definitions of the im-
SEE ALSO AshEar¯ıyah; Creeds, article on Islamic Creeds;
possible, the contingent, and the necessary, he establishes the
Ima¯n and Isla¯m; MuEtazilah; QurDa¯n.
classic proof of the existence of God and his attributes. To
be necessary, endowed with life, knowledge, and will, to be
BIBLIOGRAPHY
all-powerful, free, one—these are all attributes that reason
General Works
can discover on its own. He is very circumspect on the ques-
The best works on kala¯m for the general reader are Harry A. Wolf-
tion of the relationship of the attributes with the essence of
son’s overview, The Philosophy of the Kalam (Cambridge,
God: He advises [the believer] to have the wisdom to “stop
Mass., 1976); D. B. Macdonald’s article “Kala¯m” in the first
at the limit that our reason can reach” (Risa¯lah, p. 52/37).
edition of The Encyclopaedia of Islam (Leiden, 1934); and
Louis Gardet’s “EIlm al-Kala¯m” and “Kala¯m” in the new edi-
The “new theology” of the Egyptian grand muft¯ı also
tion of The Encyclopaedia of Islam (Leiden, 1960-). Louis
shows itself in his attitude toward the origins of faith: He
Gardet’s and my Introduction à la théologie mus:u¯lmane
contests the authority of the juridical schools resting on the
(1948; 2d ed., Paris, 1970) and W. Montgomery Watt’s Is-
consensus of the community (ijma¯ E) and rejects servile tradi-
lamic Philosophy and Theology, 2d rev. ed. (Edinburgh,
tional imitation (taql¯ıd). Only the QurDa¯n and authentic sun-
1984), are useful surveys. J. Windrow Sweetman’s Islam and
nah should serve as the base of ijtiha¯d, this effort of personal
Christian Theology, 2 vols. (London, 1942–1947), and A. S.
Tritton’s Muslim Theology (1947; reprint, Westport, Conn.,
elaboration of religious positions by qualified theologians.
1981) should also be consulted.
The same concern for adaptation is shown in his commen-
tary on the QurDa¯n, which he wished to be pragmatic and
Sources in Translation
oriented essentially toward “moral direction” (hida¯yah); it
The works of al-AshEar¯ı have been translated by several scholars.
was to be in accord with modern civilization and encourage
Al-iba¯nah Ean us:u¯l al-diya¯nah has been translated and edited
by Walter C. Klein as The Elucidation of Islam’s Foundation
activity, energy, and personal labor. The anthropomorphic
(New Haven, Conn., 1940); The Theology of al-Ash Ear¯ı, ed-
passages should be interpreted by using reason (ta Dw¯ıl Eaql¯ı)
ited and translated by Richard J. McCarthy (Beirut, 1953),
in the manner of Ibn Rushd. God’s transcendence (tanz¯ıh)
contains translations of two creeds by al-AshEar¯ı; and D. B.
must be ensured at all costs.
Macdonald’s Development of Muslim Theology, Jurisprudence
and Constitutional Theory (1903; reprint, New York, 1965)
Muh:ammad EAbduh was able to inspire the best of his
contains translations of creeds by al-AshEar¯ı as well as
disciples with a spirit of openmindedness and renewal. Espe-
al-Ghaza¯l¯ı, Abu¯ H:afs: al-Nasaf¯ı, and al-Fad:a¯l¯ı. Ibn
cially worthy of mention is Shaykh Mus:t:afa¯ EAbd al-Ra¯z¯ıq,
Quda¯mah’s Tah:rim al-naz:ar f¯ı kutub ahl al-kala¯m has been
who was appointed rector of al-Azhar in 1945.
edited and translated by George Makdisi as Censure of Specu-
Parallel to this reformist movement in Egypt and the
lative Theology (London, 1962). Al-Shahrasta¯n¯ı’s Kita¯b
niha¯yat iqda¯m f¯ı Eilm al-kala¯m has been edited and translated
Near East a no less sustained effort for renewal, sui generis,
by Alfred Guillaume as The Summa Philosophiae of
occurred in British India. This was particularly due to the
al-Shahrasta¯n¯ı (Oxford, 1934). Al-Tafta¯za¯ni’s Sharh:
work of Sayyid Ah:mad Kha¯n (d. 1898), whose Taby¯ın
al- Eaqa¯ Did al-nasaf¯ıyah has been edited and translated by
al-kala¯m (Commentary on the Holy Bible) dates from 1862
E. E. Elder as A Commentary on the Creed of Islam (New
to 1865; Syed Ameer Ali (d. 1928), author of The Spirit of
York, 1950).
Islam (London, 1922), and Muh:ammad Iqba¯l, whose Six
Critical Studies
Lectures on the Reconstruction of Religious Thought in Islam
An excellent study is A. J. Wensinck’s The Muslim Creed: Its Gene-
was published in 1934.
sis and Historical Development (1932; reprint, New York,
T
1965), which contains translations of three H:anaf¯ı creeds.
WO FINAL REMARKS. A complete presentation of kala¯m in
Michel Allard’s Le problème des attributs divins dans la doc-
Islam should also take into consideration Sh¯ıE¯ı kala¯m, in par-
trine d’al-Aˇs Ear¯ı et de ses premiers grands disciples (Beirut,
ticular the disciples and successors of Mulla¯ S:adra¯ (d. 1640)
1965) is a detailed study of the works and teachings of
in the nineteenth and twentieth centuries. These include
al-Ba¯qilla¯n¯ı, al-Baghda¯d¯ı, al-Bayhaq¯ı, and al-Juwayn¯ı. Also
among others H:a¯j¯ı Mulla¯ Ha¯d¯ı Sabziwa¯r¯ı, Ashtiya¯n¯ı,
useful are Max Horten’s Die philosophischen Systeme der
T:aba¯t:ba¯D¯ı, Ra¯fiE¯ı Qazw¯ın¯ı, and Muh:ammad Amu¯l¯ı (see
spekulativen Theologen im Islam (Bonn, 1912) and my article,
Seyyed Hossein Nasr’s articles on the school of Isfahan and
with R. Caspar and M. El-Khodeiri, “Une somme inédite 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
KAMALAS´¯ILA
5069
théologie moEtazilite: le Moghni du qa¯d:¯ı EAbd al-Jabba¯r,” in
worship. Most Jewish leaders withheld their support when
Mélanges de l’Institut Dominicain d’Études Orientales 4
they realized that to Kalischer the sacrifice renewal was not
(1957): 281–316.
academic and was actually part of a messianic plan. By 1860
For modern developments in India and Pakistan, see Aziz
he realized that focusing only on the agricultural develop-
Ahmad’s Islamic Modernism in India and Pakistan 1857–
ment of Palestine would receive wider support; he still be-
1964 (London, 1967); Syed Ameer Ali’s The Spirit of Islam,
lieved that the sacrifice renewal and other messianic events
rev. ed. (London, 1922); A. A. Fyzee’s A Modern Approach
would flow naturally from that. This tactical change has led
to Islam (Bombay, 1963); Wilfred Cantwell Smith’s Modern
some historians to the mistake of describing Kalischer as a
Isla¯m in India, rev. ed. (London, 1972); and Christian Troll’s
Zionist rather than a messianist.
Sayyid Ahmad Khan: A Reinterpretation of Muslim Theology
(New Delhi, 1978).
Kalischer’s writings and activities eventually helped le-
gitimize messianic activism, and religious Jews who regard
GEORGES C. ANAWATI (1987)
Translated from French by Richard J. Scott
the State of Israel as a step toward the messianic age have
adopted his formulation of this ideology.
KALEVALA
BIBLIOGRAPHY
SEE LÖNNROT, ELIAS
The only comprehensive examination of Kalischer’s messianic ide-
ology is my Seeking Zion: Modernity and Messianic Activism
in the Writings of Tsevi Hirsch Kalischer (Oxford; Portland,
KA¯L¯I SEE GODDESS WORSHIP, ARTICLE ON THE
Ore., 2003). A complete bibliography of Kalischer’s writings
HINDU GODDESS
and secondary literature is included. A critical edition of
Kalischer’s major work, Derishat Tsiyyon (Lyck, 1862), and
most of his messianic writings are collected in Ha-ketavim
ha-tsiyyonim shel ha-Rav Tsevi Hirsch Kalischer, edited and
KALISCHER, TSEVI HIRSCH (1795–1874),
with an introduction by Israel Klausner (Jerusalem, 1947).
rabbi, messianic theorist, and activist. Kalischer spent his en-
JODY ELIZABETH MYERS (1987 AND 2005)
tire life in the Posen district of Prussia. He received an inten-
sive education in Talmudic literature and independently
studied Jewish philosophy. With his wife’s financial support,
KAMALAS´¯ILA (c. 740–795) was an Indian Buddhist
he pursued a life of community service and scholarship. His
scholar and monk, who was famed for his role in the legend-
works include commentaries on Jewish law, exegeses of the
ary Bsam yas debate in Tibet and for his prolific writings on
Bible and Passover Haggadah, and philosophical studies rec-
Buddhist philosophy and practice. A disciple of S´a¯ntaraks:ita
onciling religion and reason. In his messianic writings he ar-
(c. 725–790), he is known for his strong commitment to in-
gued that Judaism encouraged efforts to accelerate the arrival
ferential reasoning, his integration of diverse schools of Indi-
of the messianic age. Historically, this opinion was accepted
an Buddhism, and his teachings on Buddhist meditation and
by only a few religious authorities; the dominant rabbinic
practice. His many works, preserved mostly in Tibetan, in-
tradition regarded messianic activism as a rebellion against
clude independent philosophical tracts, commentaries on
God.
Maha¯ya¯na Buddhist su¯tras, and an encyclopedic commen-
Starting with the rationalist assumption that God steers
tary on S´a¯ntaraks:ita’s Tattvasam
˙ graha (“Collection of Reali-
the course of history toward the messianic age without abro-
ties”). Although little is known of his life in India, later Ti-
gating natural laws, Kalischer asserted that human participa-
betan sources indicate that Kamala´s¯ıla was a preceptor at the
tion in the redemptive process was essential. He contended
renowned Na¯landa¯ monastic university in present-day Bihar.
that biblical prophecies, when interpreted through the ideol-
THE DEBATE AT BSAM YAS. Historical records show that
ogy of messianic activism, indicated that the messianic age
Kamala´s¯ıla did not accompany S´a¯ntaraks:ita to Tibet but was
would arrive in gradual stages. A nonmiraculous stage, in
summoned there some time after his teacher’s death. Accord-
which the Holy Land would be repopulated and made agri-
ing to legend, near the end of his life S´a¯ntaraks:ita and his
culturally productive by Jews, would be followed by a mirac-
followers at the court of the Tibetan king Khri srong lde
ulous stage consisting of the other features described in bibli-
btsan (c. 740–798) came into conflict with the followers of
cal prophecies. The miraculous stage would be ushered in
Hva-shang Maha¯ya¯na, a Chinese Buddhist monk also resi-
when the Jews reestablished their intimate connection with
dent at the court. At the heart of the dispute was the question
God by offering sacrifices on the rebuilt altar in Jerusalem.
of whether awakening (bodhi), the ultimate goal of these
In 1836, encouraged by European interest in the Jews’
Buddhist practitioners, must be obtained gradually, as
return to Zion and the Orthodox rabbinate’s insistence on
S´a¯ntaraks:ita maintained, or whether it could occur suddenly,
retaining in the liturgy prayers for the restoration of sacrifi-
as held by the Chinese camp. Apparently S´a¯ntaraks:ita fore-
cial worship, Kalischer wrote to Meyer Anschel Rothschild
saw on his deathbed (c. 788) that the followers of Hva-shang
and several influential rabbis about acquiring the Temple
Maha¯ya¯na would gain ground in Tibet, and he therefore
Mount and studying the possibility of restoring sacrificial
asked the king to invite Kamala´s¯ıla from India to challenge
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5070
KAMALAS´¯ILA
the Chinese monk to a debate. Kamala´s¯ıla arrived, and the
by rubbing together the wooden sticks of conceptual analy-
debate (or debates—the duration and precise nature of the
sis, which in the end consumes the very concepts that pro-
event is unclear) was held in the presence of the king. Ac-
duced it. When calm abiding and special insight are united
cording to Tibetan records, Kamala´s¯ıla vanquished his op-
in meditation, the practitioner comes to have a nonconcep-
ponent, and the king decreed that henceforth only Indian
tual experience of the essencelessness that had previously
Buddhist practices and texts would be adopted in Tibet. Per-
been determined through conceptual reasoning to be the ul-
haps not surprisingly, Chinese sources claim Hva-shang
timate reality of all things.
Maha¯ya¯na the victor. Despite the lingering uncertainties
about the debate, however, it is certainly the case that the vast
Kamala´s¯ıla’s presentation of the gradual path to awak-
majority of the many Buddhist texts translated into Tibetan
ening in the three Bha¯vana¯kramas has been very influential
over the following centuries was translated from Sanskrit and
among Tibetans, who frequently see the texts as having been
not from Chinese.
written especially for them. To this day, Tibetan lamas often
advise students to implement Kamala´s¯ıla’s instructions on
Kamala´s¯ıla is said to have died in Tibet, murdered by
the generation of compassion and the integration of medita-
assassins who killed him by “squeezing” his kidneys. Because
tive concentration with the wisdom that realizes emptiness.
the dates of both the debate and the death remain somewhat
T
murky, precisely how much time Kamala´s¯ıla spent in Tibet
HE ILLUMINATION OF THE MIDDLE WAY. The fourth text
that Kamala´s¯ıla wrote in Tibet is the Madhyamaka¯loka. This
is unclear. However, he did stay long enough to compose
is an ambitious treatise on the Madhyamaka or “Middle
four of his most influential works: three texts all bearing the
Way,” school of Indian Buddhist thought that seeks to dem-
title Bha¯vana¯krama (“Stages of Meditation”) and his mag-
onstrate conclusively the negative thesis that things are de-
num opus on Madhyamaka thought, the Madhyamaka¯loka
void of fixed identity or essence (svabha¯va) by employing the
(“Illumination of the Middle Way”).
tools of the Buddhist logical and epistemological traditions.
THE STAGES OF MEDITATION. According to traditional Ti-
In this, the text builds on S´a¯ntaraks:ita’s Madhyamaka¯-
betan accounts, Kamala´s¯ıla wrote the three Bha¯vana¯kramas
lam:ka¯ra (on which Kamala´s¯ıla had already written a sub-
after the Bsam yas debate at the request of King Khri srong
commentary), and indeed, Tibetan sources maintain that
lde btsan to clarify the stages of the gradualist (rim gyis pa)
Kamala´s¯ıla undertook the work due to his concern that his
path to awakening and to refute the doctrines of the sudden-
teacher’s thought might be misunderstood or inappropriate-
ist (cig car ba) approach. The emphasis in these works is on
ly criticized in Tibet. The Madhyamaka¯loka addresses a vari-
the proper way to cultivate one’s mind to become a fully
ety of objections to the Madhyamaka teachings and to the
awakened buddha. Kamala´s¯ıla articulates numerous steps,
arguments that are intended to demonstrate their truth. Ti-
beginning with the generation of compassion and the altruis-
betans have frequently turned to this work as a resource for
tic aspiration to attain awakening for the sake of others. With
working through some of the difficult logical issues that arise
compassion and altruism firmly in place, the practitioner
when attempting to demonstrate essencelessness. This work
next cultivates two distinct mental achievements: calm abid-
is also probably the first Madhyamaka treatise to present a
ing and special insight. Calm abiding refers to the ability to
catalogue of five logical reasons that demonstrate that things
easily rest the mind on a single object without distraction.
are essenceless.
Special insight is the wisdom that realizes that all things are
devoid of any fixed identity or essence. Kamala´s¯ıla’s message
Later Tibetans classify Kamala´s¯ıla, along with S´a¯n-
in these texts is that neither calm abiding nor special insight
taraks:ita, as a member of the Yoga¯ca¯ra-Sva¯tantrika-
alone will do; rather, the two must be united by taking the
Madhyamaka school. In brief, this means that Kamala´s¯ıla is
object of special insight, or “essencelessness” as the focus of
understood, first, as accepting the basic Yoga¯ca¯ra position
single-pointed meditation (calm abiding).
that objects of knowledge do not exist outside the mind and,
second, as endorsing the use of autonomous (svatantra) infer-
One important consequence of Kamala´s¯ıla’s presenta-
ences, that is, inferences that operate independently of the
tion is that it preserves a strong role for rational analysis and
positions held by the two parties in a debate. For many later
conceptual thought on the Buddhist path. That is, whereas
Tibetans, such inferences are improper in the context of
calm abiding is generally understood to be a mental state that
Madhyamaka, because they would require things to have es-
is free from concepts, special insight is brought about
sences to function. Instead, it is preferable for a
through the measured application of conceptual analysis. Al-
Ma¯dhyamika, a follower of the Madhyamaka, to use infer-
though Kamala´s¯ıla agrees that the ultimate state of transcen-
ences that operate on the basis of positions accepted by the
dent wisdom attained in awakening is entirely free from con-
opponent alone, as is held to be the case in the so-called
ceptual thought, he nonetheless stresses that without
Pra¯san˙gika-Madhyamaka school. Although the terms
conceptual analysis one cannot eliminate the negative mental
Sva¯tantrika (Autonomist) and Pra¯san˙gika (Consequentialist)
states and primordial ignorance that are the roots of all the
were not used as doxographical categories in India, their Ti-
suffering in sam:sa¯ra (the beginningless and involuntary chain
betan equivalents became axiomatic in discussions of Mad-
of birth, death, and rebirth fueled by negative acts and igno-
hyamaka in Tibet. Although many Tibetans have expressed
rance). Kamala´s¯ıla likens special insight to a fire produced
qualms about the so-called Sva¯tantrika elements 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
KAMI
5071
Kamala´s¯ıla’s approach to Madhyamaka, he is still widely ad-
KAMI. From a historical and religious viewpoint, what is
mired among Tibetans for his role in defending the gradual-
meant by the Japanese word kami cannot be exhausted by
ist path at the Bsam yas debate, his presentation of Buddhist
the term itself, for it is also often expressed in other terms,
meditation and practice, and the depth and subtlety of his
such as tama (spirits), as well as by names for natural things
philosophical thought.
beginning with such prefixes as mi (sacred), hi (spiritual, sa-
cred forces) and itsu (sacred power). These can refer to con-
SEE ALSO Buddhism, article on Buddhism in Tibet;
crete landscapes of place, sky, mountain, hill, river, sea, or
S´a¯ntiraks:ita; Tibetan Religions, overview article.
forest, or sometimes to the nameless and extraordinary. In
B
some expressions, the whole universe is permeated by the sa-
IBLIOGRAPHY
Demiéville, Paul. Le concile de Lhasa. Une controverse sur le quiét-
cred kami nature, thus constituting a monistic universe. The
ism entre bouddhistes de l’Inde et de la Chine au VIIe siècle de
characteristics of kami in the early phases of Japanese history
l’ère chrétienne. Paris, 1952. Historical study of the Chinese
share many common elements among the primary religious
and Tibetan records concerning the Bsam yas debate.
traditions of various communities in the world.
Dreyfus, Georges B. F., and Sara L. McClintock, eds. The
CHARACTERISTICS OF KAMI. There are several important
Sva¯tantrika-Pra¯san˙gika Distinction: What Difference Does a
characteristics of kami in the early Japanese expressions. First
Difference Make? Boston, 2003. Collection of articles on the
of all, the kami in the archaic level of religious experience,
Sva¯tantrika-Pra¯san˙gika distinction, with several contribu-
manifests its totality, and it is ambivalent. The term kami re-
tions touching on the Madhyamaka philosophy of
S´a¯ntaraks:ita and Kamala´s¯ıla.
fers to all beings—good and evil—that are awesome and
worthy of reverence. The kami who is in charge of fertility
Gyatso, Tenzin (the XIVth Dalai Lama). Stages of Meditation.
Translated by Ven. Geshe Lobsang Jordhen, Ven. Losang
of a territory or the well-being of its society usually reigns
Choephel Ganchenpa, and Jeremy Russell. Ithaca, N.Y.,
over the territory and can harm or destroy it when disregard-
2001. An excellent introduction to Kamala´s¯ıla’s teachings
ed. And the kami must be well respected; otherwise, it pun-
on Buddhist practice; includes a translation and Tibetan edi-
ishes people. There are numerous cases in which kami reveals
tion of the second Bha¯vana¯krama accompanied by a clear
awesome and dreadful natures, and yet the same awesome
commentary by the Dalai Lama.
kami often shows gentle and loving natures at the same time.
Houston, Garry W. Sources for a History of the bSam yas Debate.
Those kami who are in charge of epidemics have the power
Monumenta Tibetica Historica. Sankt Augustin, Germany,
to spread illness, and also to heal. In that sense, kami is re-
1980. Selections in Tibetan and English from a variety of Ti-
garded as a terrible being who has superhuman powers to
betan sources on the Bsam yas debate.
reign over territory, a being in charge of fertility and well-
Jha, Ganganatha, trans. The Tattvasan˙graha of Sha¯ntaraks:ita with
being. One of the most famous examples appears in the Ko-
the Commentary of Kamalash¯ıla. 2 vols. Baroda, India, 1937;
jiki (chapter 92) that the emperor Chuai had to die because
reprint, Delhi, 1986. The only complete translation of the
he disregarded the will of kami revealed through an oracle.
encyclopedic Tattvasam:graha and its commentary; although
There are many cases of the kami that curses (tatari-gami),
valuable for gaining a sense of the work’s overall structure
and arguments, the work should be used with caution as the
who harms people when disrespected, but bestows blessings
translation is, at points, deeply misleading.
when the kami is well respected.
Keira, Ryusei. Ma¯dhyamika and Epistemology: A Study of
The invisible and concealed Kami. Secondly, the kami
Kamala´s¯ıla’s Method for Proving the Voidness of All Dharmas.
is basically concealed and invisible. The most original seven
Vienna, 2004. The first in-depth study in English of the
kami “at the time of the beginning of heaven and earth” in
Madhyamaka¯loka, Kamala´s¯ıla’s most important philosophi-
Japanese myth, are all “not visible,” or “they hid their bodies”
cal treatise; includes a translation and edition of sections of
in the myth (the Kojiki, pp. 47–48.) There are many evi-
the work’s second chapter.
dences of the invisible nature of kami. As basically concealed
López, Donald S., Jr. A Study of Sva¯tantrika. Ithaca, N.Y., 1987.
and invisible, kami responds to prayer by descending to earth
Exploration of the category of Sva¯tantrika-Madhyamaka
based principally on Tibetan (especially Dge lugs pa) sources.
and dwelling in tangible objects such as sacred space, tree or
rock, or human beings. The prayers are addressed to kami
Seyfort Ruegg, David. Buddha-nature, Mind and the Problem of
Gradualism in a Comparative Perspective: On the Transmission
through ritual, and then, following the ritual, kami returns
and Reception of Buddhism in India and Tibet. London, 1992.
to the invisible world. The above story of the emperor Chuai
An important study of the philosophical concerns underlying
involved the trance of the empress Okinaga-tarashi-hime
the Bsam yas debate.
through whom the invisible kami-spirit delivered the mes-
Tucci, Giuseppe. Minor Buddhist Texts, Parts 1 & 2. Rome, 1956;
sage. Not only in the classical texts, but also in the whole his-
reprint, Delhi, 1986. Includes a Sanskrit edition, Tibetan
tory of Japanese religions, the visible world of religious phe-
edition and English translation of the first Bha¯vana¯krama, as
nomena is intensely affirmed because it is connected to and
well as an extended discussion of the debate at Bsam yas.
sustained by the invisible world of kami-spirits through the
Tucci, Giuseppe. Minor Buddhist Texts, Part 3. Rome, 1971. In-
“seamlessness of the border-space” by various channels of
cludes Sanskrit and Tibetan texts and English translation of
mediation between the two worlds, the visible and the invisi-
the third Bha¯vana¯krama.
ble, the world of kami and that of the human. This seamless-
SARA L. MCCLINTOCK (2005)
ness of the border-space as well as the frequent passage 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
5072
KAMI
kami-spirit through it ensured the monistic spiritual universe
mentioned. In the Engishiki (Procedures of the Engi era), the
of early Japanese people. (Kitagawa, 1987, pp. 44–45) The
prayers are addressed to various kami, not only to the kami
sacred fall of Nachi, as it is seen, is described and worshipped
of the High Heaven but also to the kami of the earth, such
as the sacred body of kami, as is the sacred mountain of Mi-
as a land, an oven, the kami of road, or the kami of the palace
wayama. They are among the specific examples of the mani-
gate. In other words, each kami was assigned to the specific
festations of kami, which remains, however, basically hidden.
role within the world of meaning in the religious life of the
early Japanese people.
Following the introduction of Buddhism into the Japa-
nese archipelago (c. 550 CE), indigenous religions, now influ-
The kami of locative type and of Utopian type. A
enced by Buddhist expressions, began building shrines and
fifth characteristic of the Japanese kami also manifests the as-
producing fewer kami images. Prior to Buddhism, people
pects of the tutelary kami of local tribes, concrete places,
prayed only at specific iwakura (sacred rocks) or go-shinboku
matters, and affairs, which possess them and are in charge
(sacred trees), or other special places where kami visited in
of them. People pray to the kami of the road, to the kami
response to requests for their presence.
of mountain, or the kami of the river, with offerings, asking
Itinerancy of the kami. A third characteristic of kami
for protection and permission to get through or cross over.
in early Japanese expressions is that it visits, drifts about, but
The kami of the wind, of the fire, or of the oven responds
does not stay in one place forever; it visits sacred places, pos-
to the prayers of the respective person who is concerned with
sessing the medium to deliver oracles in response to requests.
the place. But if he or she ignores the kami, the kami be-
This mobility of kami makes possible the periodic visits by
comes a terrible kami that harms him or her. As is the case
the sacred visitors in various local communities; it also means
with the religious world of primary culture, the kami of the
that kami can have various places to visit or vehicles to pos-
place dominates the place, territory, border, pass, or door-
sess. Kami moves and drifts horizontally and vertically, free-
way, and often they are called by the name of the place, as
ly. It is important to remember Joseph Kitagawa’s remarks
the kami of the doorway, the kami of the pass, or the kami
about the kami spirit moving through the seamless border-
of a particular village. In other words, the kami manifest awe-
space between the human and the divine world, or between
some, terrible natures as well as gentle, loving, fascinating
the world of the living and that of the dead, as evidence of
natures. In the contradistinction with this type of kami, there
this mobility.
are utopian types of kami that drew and attracted people to
the far-away, sacred centers. In the famous millenarian
Kami of different natures. A fourth characteristic of
movement of the tokoyo-gami (kami of the eternal paradise),
kami in this early Japanese world is that it seems that many
people gave up their properties and ran dancing and singing
kami of different natures coexist. This multiplicity has been
to Mt. Fuji, where the kami promised to descend with the
often mistakenly interpreted as a “polytheistic” nature of Jap-
paradise of longevity and wealth. The movement was quickly
anese religious tradition by Japanese scholars in modern
suppressed by the government in 644 CE, the third year of
times. However, these concepts—polytheism, monotheism,
the emperor Kogyoku right before the establishment of the
and pantheism—come from the Western philosopher Ba-
Ritsu-ryo state. Also, various types of pilgrimages were devel-
ruch Spinoza (1632–1677). In other words, they are con-
oped throughout Japanese history, in which people left the
cepts that were imposed upon Japanese religious phenomena
place of their daily life temporarily for the blessings of the
from Western culture, and do not do justice for interpreting
kami in far-away centers.
such phenomena in Japanese history.
Kami in prehistoric cultures. From a historical and
The existence of numerous kami does not necessarily
cultural viewpoint, the tradition of the prehistoric Jomon pe-
mean “polytheism.” In various religious traditions of the
riod (about 10,000 BCE to fourth century CE) embraced the
world there is clear evidence of the dialectic between one god
evidences of the kami closely entwined with the hunting-
and many gods within the same tradition. Japanese history
and-gathering culture, that is, the tradition of the slash-and-
traces the emergence of “monolatory” religions (religions of
burn agriculture as well as that of fishing. The representative
one-god worship) in the serious crisis situations of society in
kami of this tradition were the earth-goddess-type kami of
the late Heian (794–1185 CE) and Kamakura (1185–1333
mountain and of sea. In the Yayoi culture (fourth century
CE) periods, as well as in the late Tokugawa (1600–1868) to
BCE to seventh century CE) the paddy-rice cultivation in the
early Meiji (1868–1912) eras. Yet when the crisis situations
low land areas became the important source of production.
were over and an ordinary life returned, people reverted to
Whereas in the slash-and-burn agricuture, people had to
the world of numerous kami.
move to change the field of cultivation every three to twenty
Early Japanese history also shows the manifestations of
years for the fertile soils, in the paddy-rice cultivation, people
numerous kami the people prayed to. It is possible, therefore,
had to stay in one place to enrich the soil through genera-
to say that one of the important characteristics of early Japa-
tions. In the paddy-rice agriculture tradition, the kami of the
nese history is the coexistence of various kami. In the oldest
land (field), water (rain), sun and moon, as well as the spirit-
Japanese chronicles of the Kojiki (The records of ancient
kami of rice (ina-dama) among others, all with specific and
matters), the names of more than three hundred kami are
articulate functions, were organically integrated and synthe-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KAMI
5073
sized into a world of the kami of rice-spirit to constitute a
onryo (the vengeful spirits of the dead) whose lives went un-
pantheon of various kami. The resulting pantheon was the
fulfilled because of their tragic deaths, often through political
basis of the myth of the ancient state.
strife. Still, they were turned into graceful kami in response
THE KAMI IN THE MYTH OF THE STATE. Various kami in the
to the veneration of people.
Kojiki point to the new historical stages into which Japanese
These onryo and kami of goryo became popular among
people entered socially and religiously. In other words, new
the ordinary people, which in itself symbolized the agony of
orientations of the human had entered into Japanese history.
the unfulfilled living and dead. But these kami were also ac-
These were “new” in the sense that they were no longer sim-
cepted as those who would harm people who did not pay due
ply primary; rather, they were the elements of civilization as
respects to the kami. All sectors of Buddhism responded with
the state entered into the story and nature of kami.
various counter-magic against onryo, from which new Bud-
Motoori Norinaga (1730–1801), the founder of the
dhist movements emerged.
Shinto theology of the Tokugawa period, treated the Kojiki
The emergence of these new Buddhist sects, called “Jap-
as the sacred text of the Shinto and came up with the inter-
anese Buddhism,” was preceded by the violent movement of
pretation of Kami as “any entity with unusually powerful
onryo and goryo. Also, through the Heian and Kamakura pe-
spiritual function that imparts a feeling of awe.” His delinea-
riod, syncretic relationships were developed between Japa-
tion of kami is profound and broad. However, it could be
nese kami and foreign kami (Buddha), in which various Japa-
misleading if the Kojiki is treated as the only channel to the
nese kami were interpreted first as an incarnation of Buddha
sacred in Japanese religious tradition.
(honji suijaku), then later reversed—it was kami that had
As is often pointed out, the Kojiki is already colored by
gone to India to become Buddha.
the ideology of the ancient Ritsuryo¯ state. When Motoori in-
The influences of Buddhism remained overwhelmingly
terpreted the historical events by going back to the Kojiki,
strong in the Kamakura period. During the Tokugawa peri-
the interpretation itself was influenced by the state ideology
od, however, neo-Confucian ideologues began interpreting
of ancient Japan. The Kojiki is the text that interprets the ori-
the indigenous tradition of Shinto as separate from Bud-
gin of the state in the genealogy of various kami; therefore
dhism. This tendency was most clearly seen in the develop-
all kami in this text are situated in the story for the legitimat-
ment of National Learning represented by Motoori’s study
ization of the state. Here, kami tend to have a more imper-
of the Kojiki, in which he attempted to wipe away all foreign
sonal nature, and all kami are organized in the mythic struc-
influences in the study and interpretation of the Kojiki. Fur-
ture of the state as the originator and ancestors of the state,
thermore, Motoori’s interpretation of the Kojiki as the sacred
as well as of the people and their descendants. The kami of
text, as well as his way of understanding kami, was suc-
the High Heaven and earthly kami are organized into the
ceeded—and developed more nationalistically—by A.
ideology of the unity of the state. The divinity that once was
Hirata and later theologians. In this scholarhip, kami and the
the tutelary kami of some specific local clan or village com-
Buddha were not only separated from each other theoretical-
munity is thus separated from the community and developed
ly, but also practically. This concept of kami, and this tradi-
into the tutelary kami of the whole state-land—the ancestor
tion of interpretation, is therefore also a new development.
kami of the nation. But evidence in folklore and in Japanese
texts indicates that people have experienced kami not spoken
SYNCRETIC RELIGIONS. One of the problems of kami in folk
about in the Kojiki and the Engishiki. Such a variety of kami
and popular religions is that Buddhists practially lost their
is observed in the later development of Japanese history.
religious freedom during the Tokugawa period. This was un-
BUDDHISM AND KAMI. When Buddhism was introduced
dertaken by the jidan seido, the Tokugawa neo-Confucian re-
into Japan, the Buddha was treated as a foreign kami. Soon,
gime’s control of the Buddhist temples as the official temples
however, Buddhism and Shinto began interacting, and with
to which all people had to register to be certified as a non-
the establishment of the ancient state, Buddhist schools, the
member of malicious religions, including Chrisianity. Shinto
Shinto pantheon, Confucian ideology, and Yin-Yang Daoist
shrines were also controlled as one of the official religions
specialists were all organized into and monopolized by the
under the the regime. People’s religious needs were thus met
government system of the Ritsuryo¯ state during the Nara
by the emergence of numerous phenomena of fragmented—
(710–784 CE) and most of the Heian period. When persons
but very rich—elements of the syncretic integration of folk
belonging to these religions were controlled by the govern-
religion, such as pilgrimage movements and folk religious
ment, various folk-religious movements emerged spontane-
practices of various magico-religious activities (e.g., divina-
ously to fulfill the needs of the populace outside of the re-
tions, amulets, incantations, and many kinds of prayer in
ligio-political hierarchy of the government.
urban and rural areas).
Various crises during the Nara and Heian period, in-
From the lower strata of society, then, three (popular)
cluding the gradual erosion of the state system of Ritsuryo¯
founded religions—the Kurozumi, the Konko, and Tenri—
and repeated famines and epidemics in the central Japan, led
emerged spontaneously through the religious experiences of
to a new expression of kami known as the goryo-shin (the Sa-
each of their founders. Each of these religions, while critically
cred Spirit-Kami). The kami of the goryo were originally the
reassessing their contemporary civilization and the structure
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5074
KAMO NO MABUCHI
of society including Buddhism and Shinto, created univers-
Mabuchi was born on March 4, 1697, into the Okabe
alistic and egalitarian teachings in which all the influences
family, descendants of the overseers of Kamo Shrine in
of Buddhism, Shinto, Confucianism, and Taoism were or-
Kyoto, at Iba, O
¯ mi province (modern Shizuoka Prefecture).
ganically blended together but integrated through their reli-
Mabuchi’s father was a Shinto¯ priest and part-time farmer
gious experience on the basis of strong undercurrents of folk
who encouraged his son to write poetry. At the age of ten
religion. They had all-inclusive kami in the center of their
(eleven by Japanese count) Mabuchi, who received initial in-
teaching, and they responded to the religious needs of the
struction from the poet Kada Masako and then from her re-
alienated. These three religions thus became the historical
nowned husband, Sugiura Kuniakira, began taking active
prototypes of new religions in modern Japan.
part in poetry tournaments.
Another point is that through the contact with the
At the age of twenty-five, Mabuchi made the acquain-
Western powers, Japanese people achieved the Meiji restora-
tance of Kada Azumamaro (1668–1736), scholar of classical
tion—the establishment of the new unity of the state by re-
studies and headmaster of the school of National Learning
storing the sacred emperor, the living-kami, as the descen-
(Kokugaku) in Kyoto. Through his association with Watana-
dant of the sun goddess Amaterasu. This allowed them to
be Myo¯an, a scholar of Ogyu¯ Sorai’s school of Ancient Rhet-
achieve a modernization and westernization of Japan—the
oric (Kobunjigaku), Mabuchi met the Confucian Dazai
powerful modern state. The living kami, as the focal point
Shundai, who introduced him to the study of classics in the
of national identity and indigenous culture, thus came to be
manner developed by Sorai. Later, as he turned away from
exposed to the secular history of the modern international
Chinese influences to embrace things Japanese, Mabuchi re-
struggles. This is indeed a new, paradoxical context for Japa-
pudiated the scholarship of the members of the Sorai school
nese kami. In addition, through the missionary activities of
as the work of eccentrics.
Christian groups the notion of the Japanese kami came to
In 1734, after enrolling in Kada Azumamaro’s school,
be influenced by the notion of the god of transcendence, for
Mabuchi began work on the eighth-century collection of po-
Christian missionaries applied the Japanese word kami to ex-
etry known as the Man’yo¯shu¯. Following Kada’s death in
plain their god, Yahweh, or the absolute.
1736, Mabuchi moved to the capital at Edo (modern
SEE ALSO Japanese Religions, article on The Study of
Tokyo), but returned frequently to Iba, for he believed it was
Myths; New Religious Movements, article on New Reli-
possible to see the reality of human existence in the naiveté
gious Movements in Japan; Shinto¯; Study of Religion, arti-
of the rural people. Thus he developed his concept of society
cle on The Academic Study of Religion in Japan; Transcul-
based on an agricultural economic model combined with the
turation and Religion, article on Religion in the Formation
Daoist principle of natural life. At the same time, he com-
of Modern Japan.
posed poetry and participated in poetry competitions. In
1742, he joined the service of Lord Tayasu, a member of the
BIBLIOGRAPHY
Tokugawa family, as a teacher of classical studies.
Bock, Felicia G., trans. The Engi-shiki (The procedures of the Engi
era). Tokyo, 1972.
Opposing the tradition that saw the right of succession
Hardekar, Helen. Shinto and the State, 1868-1988. Princeton,
in schools of scholarship passed down through families, Ma-
N.J., 1991.
buchi considered himself the successor to the Kada school.
The number of his followers increased to almost 350, and
Kitagawa, Joseph M. Religion in Japanese History. New York, l966.
three subschools emerged. In 1763, when Mabuchi was re-
Kitagawa, Joseph M. On Understanding Japanese Religion. Prince-
turning from a trip to the Yamato area (modern Nara), he
ton, N.J., 1987.
met Motoori Norinaga (1730–1801), his future successor
Nippon Gakujutsu Shinkokai, trans. The Mannyo¯-shu¯ (Collection
and a leading figure in the National Learning school.
of leaves). Princeton, N.J., 1981.
Philippi, Donald L, trans. The Kojiki (Records of ancient matters).
It was Mabuchi’s aim to understand the terminology
Tokyo, 1969.
and ideology of ancient (pre-Nara) times. He advocated ad-
Shigeyoshi Murakami. Japanese Religion in the Modern Century.
herence to Shinto¯ doctrine and a return to the “natural” con-
Translated by H. Byron Earhart. Tokyo, 1980.
cepts of the ancient period as a means of discovering the su-
Susumu Ono. Kami (in Japanese). Tokyo, 1997.
preme and correct kokoro (“soul, spirit”) of the Japanese
people. Influences from China and Confucian ideology were,
Tetsuo Yamaori. Kami to Hotoke (Kami and buddhas). Tokyo,
1983.
in his interpretation, unnatural. In opposition to the princi-
ples set down by Confucians and Buddhists, Mabuchi
MICHIO ARAKI (2005)
stressed the philosophy of nonaction, or naturalness, by
which it would be possible to unite one’s kokoro with the
spirit of the universe. He maintained that “artificial” knowl-
KAMO NO MABUCHI (1697–1769), Japanese
edge, such as that propounded by Confucians and Bud-
scholar of classical studies in the Tokugawa period (1600–
dhists, would only harm the spirit of the people. Therefore,
1868); he wrote classical poetry under the pen names Sho¯jyo¯,
since Japan’s ancient period was based on what was pure and
Moryo¯, Iyo¯, and Agatai.
natural, it was essential that there be a return to the things
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KANG YUWEI
5075
of the past. In adoration of such an ideal concept, he at-
as the state religion. This position was partly a response to
tempted to revive the spirit of the classical times not only
the cultural and political crises that China was undergoing
through the doctrines he propounded, but also in his style
at the time. By revitalizing Confucianism, Kang hoped to
of clothing and the furnishings of his home. He studied an-
strengthen China’s self-esteem and national solidarity. But
cient poetry and literature as a means of practicing the princi-
his call for the “preservation of the faith” must not be seen
ples of old, thereby setting a high value on the myths of
solely in this practical light; it was also the culmination of
Japan’s ancestral gods, the emperor, and the elements of
a moral and spiritual quest that had started in his early youth.
nature.
Kang Yuwei was born to a family of scholars and offi-
Mabuchi pointed to the virtuous character of a bright,
cials in Nanhai County, Guangdong Province. His father
naive, and pure kokoro, a soul that was brave, honest, and
died while Kang was still a child, and thereafter his grandfa-
gentle. This type of spirit would only manifest itself in a sub-
ther, a devoted Neo-Confucian scholar, personally took
ject who was courageous and loyal to the emperor. Yet he
charge of the boy’s education. Shortly before the age of twen-
did not regard the Tokugawa regime as suppressive of the in-
ty, Kang entered a period of spiritual restlessness, triggered
terests of the emperor but rather praised its founding ruler,
by the sudden death of his grandfather and by the beginning
Tokugawa Ieyasu (1542–1616), for establishing a govern-
of his subsequent apprenticeship under an inspiring Confu-
ment with Shinto¯ as its base.
cian teacher. He rebelled against his conventional Confucian
education and temporarily withdrew from society altogether.
SEE ALSO Kokugaku.
Plunging into a frantic intellectual search, he fell under the
influence of various non-Confucian persuasions, especially
BIBLIOGRAPHY
Maha¯ya¯na Buddhism, philosophical Daoism, and “Western
One may find useful the details concerning the poetry of Kamo
learning.”
no Mabuchi in the book by Tamura Yoshinobu entitled
Kamo no Mabuchi wakashu¯ no kenkyu¯ (Tokyo, 1966). The
Kang’s intellectual quest finally culminated in the for-
following biographical accounts are recommended for their
mation of a moral and historical worldview that he expressed
detail: Koyama Tadashi’s Kamo no Mabuchi den (Tokyo,
in a series of writings published in the decade from the early
1938), and Terada Yasumasa’s Kamo no Mabuchi sho¯gai to
1890s to the early 1900s. Based on a bold and comprehen-
gyo¯seki (Hamamatsu, 1979). Descriptions of Mabuchi’s reli-
sive reinterpretation of Confucianism that centered on the
gious philosophy can be found in O
¯ ishi Arata’s Kamo Ma-
pivotal Confucian ideal of ren (human-heartedness), this
buchi (Tokyo, 1942) and in Araki Yoshio’s Kamo no Ma-
view also reflected, in its redefinition of ren, ang’s interest in
buchi no hito to shiso¯ (Tokyo, 1943). On the scholarship of
non-Confucian thought. Ren provided Kang with a world-
Mabuchi, see Inoue Minoru’s Kamo no Mabuchi no gakumon
(Tokyo, 1943). For Inoue’s evaluation of the accomplish-
view that saw the essential and ultimate state of the cosmos
ments of Mabuchi and his successors, see his Kamo no Ma-
as a selfless all-encompassing whole. Kang also retained the
buchi no gyo¯seki to monryu¯ (Tokyo, 1966). The part that the
Confucian belief central to ren that the intrinsic goal of
interest in agriculture played in forming his philosophy is
human existence is the moral perfection of individual and so-
taken up by Saegusa Yasutaka in Kamo no Mabuchi, jimbutsu
ciety. But his definition of moral perfection bears the pro-
so¯sho (Tokyo, 1962).
found influence of non-Confucian thought, for his vision of
the ideal society, the “great unity” (datong), was that of a uni-
New Sources
Nosco, Peter. Remembering Paradise: Nativism and Nostalgia in
versal moral community where egalitarianism, libertarian-
Eighteenth-Century Japan. Cambridge, U.K., 1990.
ism, and hedonism would prevail. Since his conception of
hedonism resulted from the impact of the materialistic doc-
Okumura Ko¯saku. Kamo no Mabuchi: den to uta. Tokyo, 1996.
trines of Western industrial society, his ideal society offered
Saigusa Yasutaka. Kamo no Mabuchi. Tokyo, 1987.
the radical combination of moral perfection, technological
H
development, and material abundance.
AGA NOBORU (1987)
Translated from Japanese by Irene M. Kunii
Revised Bibliography
The radical tendencies in Kang’s conception of ren were
tempered by his teleological notion of histroy heavily influ-
enced by the modern Western thought. In his view, the full
realization of the ideal can be attained only through the grad-
KANG YUWEI (1858–1927), political reformer and
ual course of historical developement. Borrowing a scheme
Confucian thinker of modern China. Kang Yuwei first at-
from an ancient commentary on the Confucian classic Chun
tained national prominence as leader of the political reform
qiu, Kang took the view that human history evolves through
movement that ended in the defeat of the Hundred Days Re-
three stages, from “the age of chaos,” which lay in the past,
form of 1898. Although primarily political, the movement
through an intermediate age of “emerging peace,” to the final
also had a spiritual and moral dimension. Kang called not
stage of “universal peace,” or “great unity,” to be realized in
only for the “protection of the nation” but also for the “pres-
the future. Kang insisted that it was for this latter age alone
ervation of the faith,” by which he meant the spiritual revital-
that his radical reevaluation of ren was appropriate. He be-
ization of Confucianism and the promotion of its teachings
lieved that, meanwhile, in the era preceding the “age of great
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5076
KANNON
unity,” many of the conventional values of Confucianism re-
In 1740 Kant entered the University of Königsberg,
mained relevant. These were the tenets of the moral-
where he studied science and philosophy for six years. After
historical worldview that lay at the core of his efforts to have
graduation, he earned his living as a private tutor for a num-
Confucianism accepted as a state religion.
ber of East Prussian families. During this period he kept up
Kang’s reform movement culminated in 1898, when,
his studies and earned his master’s degree at the university
under his guidance, the Guangxu emperor attempted to put
in 1755, which allowed him to teach as a privatdocent, a pri-
into practice a wide-ranging program of political reform.
vate lecturer accepted as a member of the faculty without
The intervention of the dowager empress Cixi, who moved
compensation from the university. He occupied this finan-
to imprison the emperor and nullify the imperial edicts little
cially precarious and academically undistinguished position
more than three months after they were issued, brought
for fifteen years. In 1770 he was appointed professor of logic
Kang’s reforms to an abortive end. Together with his student
and metaphysics.
Liang Qichao, Kang fled China and began an exile that lasted
While holding this position, Kant produced a stream of
until 1913. During this period he continued his reformist ef-
masterpieces. His best-known works are his three critiques:
forts abroad and traveled extensively, deepening his under-
the Critique of Pure Reason (1781), the Critique of Practical
standing of the social and political forces that were shaping
Reason (1788), and the Critique of Judgment (1790). These
the modern world.
three volumes expound Kant’s critical idealism, or critical
Upon his return to China, Kang resumed his efforts to
philosophy, which has also been known as Kantianism.
implement the promotion of Confucianism as a state reli-
Kantianism was the first phase of German Idealism, which
gion. Convinced that the revolution of 1911, in which the
gained fuller development in the writings of Johann Fichte
traditional monarchy had been replaced by a republican
(1762–1814), Friedrich Schelling (1775–1854), and G. W.
form of government, had only served to impede the historical
F. Hegel (1770–1831). Kant’s religious ideas not only con-
evolution of the ideal society, he joined the warlord Zhang
stitute essential features of his critical philosophy but also
Xun in an ill-fated attempt to restore Manchu rule in 1917.
play a pivotal role in the transition from his critical idealism
In the writings of his later years, Kang remained faithful to
to the absolute idealism of his intellectual successors.
the interpretation of Confucianism that he had formulated
KANTIANISM AS A WORLDVIEW. Kantianism was an attempt
in the 1890s, but, because the intellectual climate of China
to reconcile British empiricism and continental rationalism.
had changed, his views never regained their former influence.
British empiricism had been developed by a succession of
British and Scottish philosophers, namely, Thomas Hobbes
BIBLIOGRAPHY
(1588–1679), John Locke (1632–1704), George Berkeley
Hsiao Kung-chuan. A Modern China and a New World: K’ang Yu-
(1685–1753), and David Hume (1711–1776). Continental
wei, Reformer and Utopian, 1858–1927. Seattle, 1975.
rationalism had been advocated by René Descartes (1596–
Lo Jung-pang, ed. and trans. K’ang Yu-wei: A Biography and a
1650), Gottfried Leibniz (1646–1716), and Christian Wolff
Symposium. Tucson, 1967.
(1679–1754). During his formative years, Kant learned his
Thompson, Laurence G., trans. Ta T’ung Shu: The One-World
philosophy from Leibnizians and Wolffians, but he later
Philosophy of K’ang Yu-wei. London, 1958.
came to appreciate the importance of empiricism, especially
Hume’s theory of ideas.
Fang Delin. Ruxue di Weiji yu Shanbian: Kang Youwei Yu Jindai
Ruxue. Taipei, 1992.
The central point of the dispute between rationalists
Zang Shijun. Kang Youwei datong Sixiang Yenjiu. Guangdong,
and empiricists was the theory of ideas. Since all our ideas
1997.
are derived from sensation, the empiricists maintained, the
H
objects of sensation are the only proper objects of knowledge.
AO CHANG (1987 AND 2005)
In opposition to this view, the rationalists argued that some
of our ideas are not derived from sensation but are innate to
KANNON S
reason. They further claimed that these innate ideas give us
EE AVALAOKITES
´VARA
a knowledge of supersensible reality such as God. The idea
of a supersensible reality, although espoused by some early
KANT, IMMANUEL
empiricists, became unpopular with the later empiricists, be-
(1724–1804), German philoso-
cause they considered it incompatible with empiricism. This
pher. Kant was born in Königsberg, a provincial town in East
later tendency of empiricism amounted to recognizing sensi-
Prussia. He grew up in a religious family of relatively low so-
ble reality, or the physical world, as the only reality. Thus
cial status. His father was a saddler, and both his parents were
the dispute that had begun with the epistemological issue
dedicated members of the Pietist movement, which stressed
concerning the origin of ideas came to have the ontological
the interior devotion of the heart in opposition to the pre-
implication of admitting or not admitting any reality beyond
vailing Lutheran practice of external observances. The spirit
the domain of sensation.
of Pietism pervaded not only Kant’s family but also the Col-
legium Fridericianum, a local school, where he received his
Kant’s Critique of Pure Reason is a critical assessment of
early education from 1732 to 1740.
these two contending views. He holds that there are two
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KANT, IMMANUEL
5077
kinds of ideas: those derived from sense and those innate to
and exposes their common error, namely, the error of em-
reason. The latter are the a priori elements of cognition; the
ploying a priori concepts beyond the domain of sensibility.
former are its a posteriori elements. These two are equally
The immortality of the soul, the freedom of will, and
indispensable for human knowledge. Kant is emphatic on
the existence of God are three of the central dogmas in many
the mutual dependence of sensibility and understanding:
religions. That none of them can be proved, however, should
“Percepts without concepts are blind; concepts without per-
not be mistaken to mean that they can be disproved. Kant
cepts are empty.” Although the domain of knowledge is lim-
is emphatic on this point. A transcendental assertion can nei-
ited to the domain of sensation, as the empiricists claimed,
ther be proved nor be disproved, because sensibility is essen-
Kant argues, knowledge of sense objects requires the use of
tial not only for proofs but also for disproofs. Hence the
a priori concepts such as the concept of cause and effect. He
three religious dogmas can still be regarded as possible truths
derives twelve a priori concepts from twelve forms of judg-
of the supersensible reality. As such, they can be accepted in
ment and calls them the categories of understanding. He uses
faith.
the categories to construct a priori principles of understand-
ing, which function as the framework for organizing the ob-
Kant demarcates matters of faith from matters of fact.
jects of sensation.
The latter are the objects of knowledge; the former are the
This epistemological compromise between rationalism
objects of belief. The objects of knowledge are situated in the
and empiricism has the following ontological consequence:
world of phenomena; the objects of faith belong to the world
Kant maintains that the objects of sensation are not reality
of noumena. The objects of faith transcend the domain of
itself (things-in-themselves) but its appearance. He bases this
sensibility, while the objects of knowledge are immanent in
claim largely on his argument that space and time are not
it. Although theoretical reason cannot settle the question of
objective entities but subjective forms of intuition, that is,
accepting or rejecting the objects of faith, Kant says, practical
the manner in which human beings are given objects of sen-
reason has a way of ruling over their admissibility.
sation. Since all objects of sensation are given through space
KANTIANISM AS A MORAL VIEW. Practical reason is the ratio-
and time, Kant holds, they cannot be objective realities.
nal faculty concerned with human conduct, and a critical ex-
They are only appearances to us. Kant calls these appearances
amination of this faculty is given in his second critique, the
“phenomena” and the things-in-themselves “noumena.”
Critique of Practical Reason. Kant recognizes two mainsprings
Unlike phenomena, noumena are not located in space
for human conduct: the will and the inclination. The inclina-
and time; nor are they given as objects of sensation. They are
tion is the working of our desires and feelings, which are sub-
the supersensible realities. That the domain of knowledge is
ject to the causal laws of the phenomenal world. The will is
limited to the world of phenomena means that we can never
the rational faculty for moral actions. Unless the freedom of
know the true reality but only its appearances. That we can
this faculty is presupposed, Kant says, it makes no sense to
have no knowledge of noumena, however, does not mean
talk of the moral worth of human conduct. Since freedom
that we have no ideas about them. Kant maintains that we
is impossible in the phenomenal world of causal necessity,
have a priori ideas about the supersensible reality. But to have
it can be accepted only as an entity belonging to the noume-
these ideas is not to know the world of noumena, because
nal world. Kant calls the noumenal world the domain of free-
there is no way of proving their truth or falsity.
dom and the phenomenal world the domain of necessity.
Thus he installs the noumenal world as the practical ground
In Kant’s view, knowledge is inseparable from the
for morality and the freedom of the will as the first postulate
power of demonstrating the truth or falsity of an idea, and
(presupposition) of practical reason.
that power is inexorably limited to the domain of sensibility.
For this reason, knowledge is limited to the world of phe-
Besides the postulate of freedom, Kant says, two other
nomena. The rationalists have assumed that the truths of a
postulates are demanded by morality: the existence of God
priori ideas can be demonstrated by rational arguments
and the immortality of the soul. The immortality of the soul
alone, that is, without appealing to sensibility. But rationalist
is required for moral perfection. Our inclination has the nat-
arguments divorced from the constraint of sensibility can
ural propensity to go against the moral dictates of pure rea-
produce only sophistical illusions and confusions, according
son, and our moral perfection can be achieved by transform-
to Kant. He gives the name “transcendental dialectic” to the
ing this natural propensity into the willing obedience to the
pseudoscience constituted by those sophistical arguments,
moral law. Since this moral transformation of the soul is infi-
because they are dialectical arguments transcending the do-
nitely time-consuming, it can be accomplished only if the
main of sensibility.
soul continues to live after the death of its body. For this rea-
son, Kant says, the postulate of the immortality of the soul
Kant recognizes three branches of transcendental dialec-
is dictated by the practical ideal of moral perfection.
tic: transcendental psychology, transcendental cosmology,
and transcendental theology. These three are supposed to
In Kant’s ethics, the ideal of moral perfection is insepa-
prove the immortality of the soul, the freedom of the will,
rably connected with another practical ideal, the notion of
and the existence of God. In the Critique of Pure Reason,
the complete good (summum bonum). Kant defines it as the
Kant provides a systematic examination of their arguments
harmony of moral perfection and happiness (natural 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
5078
KANT, IMMANUEL
He regards moral perfection as the absolutely necessary con-
of morality. Kant rejects such externalism because it is in-
dition for rendering human beings worthy of happiness. In
compatible with the autonomy of practical reason.
this world, however, happiness can be denied to a person
In Kant’s view, externalism is the anthropomorphic
morally worthy of it, while it can be given to a person moral-
misconception of God and his relation to us, that is, the error
ly unworthy of it. The dispensation of happiness in propor-
of understanding God as someone like a powerful human
tion to each person’s moral worth is their harmony, that is,
being who demands our service and devotion. This miscon-
the ideal of the complete good. This ideal can, Kant main-
ception lies behind the religions of what Kant calls “cultus
tains, be fulfilled only by God in the other world. This is the
externus.” These religions impose on their devotees a set of
third and the final postulate of practical reason.
obligations or observances that consists of prayers, rituals,
Kant’s third postulate has sometimes been known as the
services, and various prohibitions. Furthermore, the gods of
moral proof for the existence of God, and as such it has been
these religions are assumed to be pleased or displeased by the
the object of many disputes and misunderstandings. But to
performance or nonperformance of these religious duties.
call it a proof is highly misleading; a “proof” for the existence
Most of these religions have specially ordained experts called
of God generally means the demonstration or assurance of
priests, ministers, or shamans, who have the power of offici-
his existence. In Kantianism, as we have already seen, dem-
ating and facilitating the performance of religious duties.
onstration or assurance can be given only for the objects of
Cultus externus, Kant insists, makes no sense to anyone
the phenomenal world. Therefore the reasons Kant gives for
who correctly understands the nature of God as the most
the existence of God cannot constitute a proof. It is only a
perfect being, that is, omniscient, omnipotent, and, above
postulate. Whereas a proof can give certainty or assurance,
all, morally perfect. It makes no sense to render any service
a postulate can give only possibility, a supersensible ground
to such a being, because he is in need of nothing and can
for hope.
derive no benefit from our services. Even the praise of his
Kant’s notion of rational postulates is inseparable from
perfection cannot add anything to his perfection any more
his ideal of practical rationality. To regard the harmony of
than flattery can to his honor. God does not need our prayers
moral and natural goods as an ideal of practical reason means
to find out what we need. Nor can he be moved by our sup-
that the world in which this ideal is fulfilled is a rational one
plication, because his mind is governed only by moral dic-
and, conversely, that the world in which it is not fulfilled is
tates. The cultus externus can fulfill none of the religious
an irrational one. It is impossible to find out whether our
functions that it has been assumed to fulfill.
world is ultimately rational or irrational in this regard. As ra-
Kant uses the label “natural religion” to designate his
tional beings, however, we can, for practical purposes, opt
view of religion, because it can be fully comprehended by the
and hope for the possibility that our world is ultimately ratio-
natural power of human reason, that is, without the aid of
nal. If this possibility is to be true, Kant argues, there must
supernatural revelation. Kant’s idea of natural religion may
be a God who assures the harmony of moral and natural
appear to reduce religion to morality. But he insists that nat-
goods for every moral being. This is all that is meant by this
ural religion retains all the essential features of traditional re-
and other postulates of practical reason.
ligions. In his view, those features are the moral attributes
K
and functions of the supreme being, as the holy lawgiver, the
ANT’S CONCEPTION OF GOD AND THE RELIGIOUS. In
Kant’s philosophy, God does not stand as a power that has
benevolent ruler, and the just judge. Any other attributes of
its own laws and commands different from the moral law and
God such as omniscience, omnipotence, and omnipresence
its dictates. What God demands from ethical subjects is none
are only supplementary to his moral attributes; they are the
other than what is dictated by moral reason. To do the will
requisite conditions for discharging his moral functions.
of God is to perform the duties of the moral imperative.
Kant argues that Christianity is the only moral religion,
There is no way to please God other than to be morally per-
while the others are servile religions. The central function of
fect. To be religious is to be moral; to be moral is to be reli-
servile religions is to curry favor from the supernatural pow-
gious. As far as human behavior is concerned, morality and
ers; they place human beings in a servile relation to those
religion are functionally identical, and their functional iden-
powers. This servile relation has, Kant holds, been trans-
tity is expressed in Kant’s statement that religion and God
formed into a moral one by Jesus of Nazareth. Jesus trans-
are internal to morality.
formed the “old” law of Moses, the rules for external obser-
vance, into the “new” law, the rules for internal disposition.
Kant’s internalism, as he admits, goes against the tradi-
Kant finds Jesus’ moral interpretation of religious life most
tional view that assumes an external relation between morali-
conspicuously in his Sermon on the Mount, and he reads its
ty and religion. In general, the traditional religions portray
concluding remark—“Therefore be perfect, as your heavenly
God as a powerful being, whose will is independent of our
father is!”—as an exhortation for moral perfection.
will, whose commands can override even our moral dictates,
and whose favor can be sought by special rituals and devo-
In Religion within the Limits of Reason Alone (1793),
tions. In short, the traditional religions stand on the exis-
Kant offers his moral interpretation of Christian dogmas.
tence of powers and values external to the powers and values
The dogma of original sin concerns our innate propensity 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
KANT, IMMANUEL
5079
do evil, which is to flout the maxims of duty and to succumb
ral religion can be discovered by natural reason, revelation
to the maxims of inclination. Kant regards it as a superstition
makes easier their discovery and propagation. Since he recog-
to believe that this propensity was generated by Adam’s fall
nizes only the practical value of expedition, he rejects the tra-
from grace and then passed on to his posterity. On the con-
ditional distinction between natural and revealed religion. As
trary, Kant holds that the innate propensity to go against the
in Christianity, he says, a natural religion can be a revealed
moral law is in the very nature of man. No doubt, original
one.
human nature is said to be good. This original goodness,
Since natural religion belongs to the pure practical rea-
however, is not incompatible with the innate propensity to
son, Kant asserts the unity of all religions. There is only one
do evil. The original goodness of man means the freedom to
true religion, he says, although there can be many different
obey the moral law by disciplining and mastering inclina-
faiths. He distinguishes the particular ecclesiastical faiths
tions. Hence, original goodness and the innate propensity to
from pure religious faith. Whereas pure faith consists of the
evil are two essential features of every human being.
ideals of practical reason, the particular faiths are the mani-
Kant interprets the incarnation of God in Christ not as
festations of those ideals through the historically instituted
a miracle of the supernatural order but as the manifestation
churches. Since the formation and development of those in-
of a moral ideal. As moral agents, he says, all of us have the
stitutions have been influenced by historical contingencies,
ideal of a morally perfect human being. Such an ideal, if ever
Kant holds, the ecclesiastical faiths are bound to show their
realized in this world, can be called an incarnate God, be-
differences. Nevertheless, he is confident that they can still
cause the ideal in question belongs to pure practical reason,
display the unity of pure religious faith insofar as they are
whose dictates are one with the dictates of God. Kant calls
faithful to their original ideals.
the ideal of moral perfection the archetype of moral life. But
KANT’S CRITICS AND HIS INFLUENCE. Kant’s idea of natural
this archetype, he insists, cannot be identified with Jesus
religion provoked the charge among his contemporaries that
Christ himself. For he is only an instance or example, while
he was a Deist. Deism was the view, prevalent among the sci-
the archetype belongs to all of us as agents of practical reason.
entific-minded intellectuals of the eighteenth century, that
The relation of archetype and example, Kant says, is
God does not intervene in the running of the universe be-
misrepresented in the traditional dogma of the incarnation,
cause it has been placed under the working of immutable
which exalts Jesus as a member of the Holy Trinity. He re-
laws since its creation. Kant categorically denied the charge
gards the dogma of the Trinity as theoretically incomprehen-
of being a Deist and attributed it to the misrepresentation
sible and practically unserviceable. If the Son of God is so
of his position.
exalted as to stand above all human temptations and strug-
The misrepresentation in question was largely due to
gles, he is too remote from our existence to serve as a useful
Kant’s skeptical attitude toward miracles, God’s interven-
model. The value of the Son of God as our practical model
tions par excellence in the running of the world. Because
lies in his essential identity with all human beings, and every
miracles contravene the laws of nature, they cannot be recon-
human being who strives to achieve moral perfection can be
ciled with the use of reason. Both in theoretical and practical
called a son of God, a man well-pleasing to God.
functions, human reason appears crippled in the presence of
Kant interprets the kingdom of God as an ethical com-
miracles. Furthermore, he says, miracles are not essential for
monwealth, a community of moral agents each of whom
the functions of true religion, because these functions can
treats the other as an end-in-itself by obeying the moral law.
stand securely on moral beliefs alone. In fact, any demand
He distinguishes the ethical commonwealth from the politi-
for miracles as the authentication of religious beliefs betrays
cal commonwealth by virtue of the former’s freedom from
the lack of firm faith in the authority of moral commands,
coercion. Whereas the power of coercion is indispensable for
which are engraved upon the heart of man through reason.
the maintenance of a political commonwealth, the freedom
Because of this, Kant says, Christ rebuked the miracle-
of the will is sufficient for the administration of an ethical
seekers: “Unless you see signs and wonders, you will not be-
commonwealth. The constitution of such a harmonious
lieve” (Jn. 4:48). In spite of these reservations about miracles,
community, Kant says, becomes possible only through the
Kant categorically refused to impugn their possibility or real-
moral rebirth of its members, which involves the radical
ity.
transformation of their hearts from the propensity to follow
Another charge against Kant was that he compromised
inclination into the willing obedience to the moral law, that
his doctrine of moral autonomy by retaining the traditional
is, through conversion. The same moral transformation is re-
doctrine of grace. Grace, for Kant, means God’s help; it pre-
quired for the admission to the ethical commonwealth.
supposes man’s weakness, dependence, and heteronomy.
Kant shows special caution in handling the claims of su-
The Pietists under whose influence Kant had grown up
pernatural revelation. He rejects the claim that revelation has
stressed the indispensability of grace and tended to take a
the authority of discovering and authenticating the supernat-
passive attitude toward life. Kant rejects this passive attitude
ural truths inaccessible to human intelligence. He also rejects
and praises the positive value of active efforts in moral life.
the view that revelation is totally gratuitous with respect to
Nevertheless, he admits the possibility that even our best ef-
the discovery of religious truths. Although the truths of natu-
forts may fail to secure moral perfection. In that event, 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
5080
KANT, IMMANUEL
says, we can hope that God will, in his wisdom and goodness,
descent of the transcendent reality to the immanent level.
make up for our shortcomings.
The post-Kantians completed this process of descent and
converted Kant’s theism into pantheism. Kant’s transcen-
His critics have pointed out that man is not a truly au-
dent God became their immanent force in history.
tonomous moral agent if even his best moral efforts are not
enough to secure his moral perfection. They have further ar-
The resulting pantheism also resolved the tension in
gued that Kant’s notion of moral autonomy is also incompat-
Kant’s notion of human autonomy. Although he claimed au-
ible with his notion of the complete good. In their view, the
tonomy and independence for moral life, he acknowledged
intimate connection between worthiness and happiness
heteronomy and dependence for happiness. He stressed this
makes morality too dependent on the idea of happiness,
admixture of dependence and independence in his notion of
which is admittedly outside the control of a moral agent.
the complete good and the postulate for the existence of
Kant had guarded himself against this charge by stressing
God. But this admixture was unacceptable to his successors,
that the connection in question was a matter of belief rather
because they insisted on the total autonomy of human rea-
than knowledge. Even if it is only a belief, his critics have
son. The totally autonomous human reason became indistin-
maintained, it compromises the notion of moral autonomy
guishable from the immanent God, and the two-in-one came
as long as it is acted upon in the practical world.
to be called the “Absolute Spirit” by Hegel. With Kant, reli-
gion and morality became functionally identical; with Hegel,
Perhaps the most serious charge against Kant was ad-
God and man were given their ontological identity.
dressed to his demarcation between phenomena and nou-
mena. At the time he was concluding his second critique, the
SEE ALSO Deism; Empiricism; Free Will and Predestination;
Critique of Practical Reason, he was not terribly disturbed by
Pietism; Proofs for the Existence of God.
this criticism. So he confidently singled out the starry heav-
ens above and the moral law within as two objects of awe
BIBLIOGRAPHY
and admiration, respectively representing the world of phe-
Kant’s Works in English Translation
nomena and the world of noumena. This observation was in-
Critique of Judgement. Translated by J. C. Meredith. 1928; re-
print, London, 1973.
tended to mark the end not only of the second critique but
of his entire critical enterprise. For he believed that his two
Critique of Practical Reason. Translated by Lewis White Beck. Chi-
critiques had fulfilled his ambition of critically assessing the
cago, 1949. Kant’s preliminary view of this subject is given
two worlds of phenomena and noumena.
in his Foundations of the Metaphysics of Morals, translated by
Lewis White Beck (Chicago, 1949).
Shortly thereafter, however, Kant became preoccupied
Critique of Pure Reason. Translated by Norman Kemp Smith.
with the question of transition and mediation between the
New York, 1929. An abridged version is available in Kant’s
two worlds. Although moral precepts belong to the noume-
Prolegomena to Any Future Metaphysics, edited by Lewis
nal world, they can be realized in the phenomenal world.
White Beck (Indianapolis, 1950).
Kant found it difficult to explain the transition from the
Lectures on Ethics. Translated by Louis Infield. London, 1979.
world of precepts to the world of practice, because one
These lectures are not from Kant’s own writings but from his
was supposed to be governed by necessity and the other by
students’ notes.
freedom.
Religion within the Boundaries of Mere Reason. Translated and ed-
ited by Allen Wood and George Di Gionvanni (Cambridge,
In order to resolve this problem of transition, Kant
1998).
wrote his third critique, the Critique of Judgment, and intro-
duced reflective judgment as the faculty of mediation be-
Works on Kant’s View of Morality and Religion
tween the two worlds. But his theory of mediation was far
Beck, Lewis White. A Commentary on Kant’s Critique of Practical
from convincing, and most of his intellectual heirs resolved
Reason. Chicago, 1960.
his problem by collapsing his two worlds into one. This post-
Cassirer, Ernst. Kant’s Life and Thought. Translated by James
Kantian development in German idealism made it impossi-
Haden. New Haven, 1981. This is perhaps the most compre-
ble to retain Kant’s postulates of immortality and the other
hensive introduction available in English to Kant’s life and
world, because there was only one world left.
philosophy. A shorter general introduction to his philosophy
can be found in Stephan Körner’s Kant (1955; reprint, New
The fusion of Kant’s two worlds into one was the climax
Haven, 1982) and in Ralph C. S. Walker’s Kant (Boston,
of the progressive secularization that had begun in the Re-
1978).
naissance. Kant played a pivotal role in this development.
Collins, James D. The Emergence of Philosophy of Religion. New
His demarcation between phenomena and noumena was a
Haven, 1967. This volume provides a good account not only
modification and retention of the medieval demarcation be-
of Kant’s conception of religion but also of what comes be-
tween the natural and the supernatural orders. Unlike the
fore and after Kant’s conception, especially Hume’s and
medieval demarcation, however, Kant’s did not completely
Hegel’s ideas on the issue.
coincide with the demarcation between this world and the
England, F. E. Kant’s Conception of God. New York, 1929.
other world. Kant made the transcendent noumenal world
Green, Ronald Michael. Religious Reason: The Rational and Moral
functionally immanent for moral life, thereby initiating the
Basis of Religion. New York, 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
KAPLAN, MORDECAI
5081
Paton, Herbert J. The Categorical Imperative: A Study in Kant’s
realities. Religion was a vital phenomenon shared by mem-
Moral Philosophy. Chicago, 1948.
bers of a group, who came together for more than religion.
Silber, John R. “Kant’s Conception of the Highest Good as Im-
For Kaplan this theory refuted the Reform (and general
manent and Transcendent.” Philosophical Review 68 (1959):
Western) definition of Judaism as a religion and Jewry as the
469–492.
members of a church, membership in which was the only
Silber, John R. “The Moral Good and the Natural Good in Kant’s
link between Jews in different lands. The Durkheimian un-
Ethics.” Review of Metaphysics 36 (December 1982): 397–
derstanding meant that any solution to Judaism’s problems
437.
required a program that transcended religion. Kaplan began
Webb, Clement C. Kant’s Philosophy of Religion. Oxford, 1926.
to study the earliest known forms of Judaism, noting the
Wood, Allen W. Kant’s Moral Religion. Ithaca, N. Y., 1970.
onset of innovations through the centuries, some of which
were accepted and absorbed into the mainstream of Jewish
T. K. SEUNG (1987 AND 2005)
society whereas others died away or separated from Judaism.
The search for a general philosophic guideline directing
KAPLAN, MORDECAI (1881–1983), American
his experiments and proposals for Judaism led Kaplan to
rabbi, author, and religious leader, was the creator of the the-
pragmatism, as expounded by James and Dewey. He accept-
ory of Reconstructionist Judaism and the founder of the Re-
ed James’s understanding of pragmatism as an approach
constructionist movement. The son of Rabbi Israel Kaplan,
combining the best of both empiricist and rationalist philos-
a Talmudic scholar, Mordecai Menahem Kaplan was born
ophy, without being limited by abstraction or fixed princi-
in Svenciony, Lithuania, on June 11, 1881. The family left
ples. This included rejection of the notion of absolute
eastern Europe in 1888 and reached the United States in
truth(s), while seeking understanding through concreteness,
June 1889. Kaplan was instructed in traditional Jewish sub-
facts, and action. He disagreed with James’s focus upon the
jects by private tutors while attending public schools in New
individual, however, believing that religion is primarily “a
York City. He received degrees from the City College of
group consciousness” (Libowitz, 1983), and he sought to
New York (1900) and Columbia University (1902) and rab-
combine James’s method of evaluation with Durkheim’s
binic ordination from the Jewish Theological Seminary of
group-centered understanding of religious development.
America (1902). In 1909, following a tenure as minister and
Dewey provided Kaplan a guide in this endeavor.
rabbi of Kehillath Jeshurun, an Orthodox congregation in
Dewey argued that society developed as humans sought prac-
New York City, Kaplan returned to the Jewish Theological
tical solutions to specific problems. Knowledge grew from
Seminary, where he served for more than fifty years, first as
experience, in matters of ethics and morality just as in sci-
principal (later dean) of the Teachers Institute until 1945,
ence. Intelligence would direct improvements upon experi-
then as professor of homiletics and philosophies of religion
ence. This intelligence was never finite but in constant evolu-
until his formal retirement in 1963.
tion. Kaplan applied Dewey’s theories to religion, replacing
Beyond his roles as a leader within the Conservative rab-
traditional claims to truth with a collective search for truth
binate and the Zionist movement, and as an important con-
based upon the actual experiences of the Jewish people. This
tributor within the field of Jewish education, Kaplan’s major
led him to understand Judaism “functionally” rather than as
achievement remains his formulation of Reconstructionism.
“pure” philosophy or theology. This synthesis of resources
He presented Reconstructionism to the public through a se-
made Kaplan unique among twentieth-century Jewish think-
ries of lectures and publications, chiefly Judaism as a Civiliza-
ers as a redactor who sought to combine modern science with
tion (1934). Kaplan developed his theories in response to his
an affirmation of Judaism.
own loss of faith in the traditional concept of revelation
At the heart of Kaplan’s thought is his definition of Ju-
(known as Torah mi-Sinai, “the Law from Sinai”), one result
daism as an “evolving religious civilization.” Opposing those
of his studies with the iconoclastic Bible scholar Arnold Ehr-
who sought the maintenance of Jewish life solely through
lich. Attempting to rebuild a personal cosmology, Kaplan
preservation of the religion, he argued that a Jewish civiliza-
drew from Western philosophers and social scientists as well
tion—including within it a land, language and literature,
as Jewish sources, using the sociological findings of Émile
mores, laws and folkways, arts, and a social structure—
Durkheim (1858–1917), the pragmatic philosophy of John
transcended religion. Kaplan also presented a radical change
Dewey (1859–1952) and William James (1842–1910), and
in the God idea. Preferring to use the term divinity, he reject-
the theological insights of Matthew Arnold (1822–1888) in
ed notions of an anthropomorphic and personal God active
combination with the Spiritual Zionism of Ah:ad ha-EAm
in human history, favoring instead a functional understand-
(Asher Ginzberg, 1856–1927).
ing of God as the creative source within the universe, the
Kaplan considered Durkheim “the most significant in-
power that engenders a salvation to which the Jewish people
fluence” on his conception of religion (Libowitz, 1983).
have long been particularly responsive. These conceptual
Durkheim maintained that religions did not arise as individ-
shifts infuriated Orthodox Jewry, creating a division exacer-
ual phenomena that spread to a group but out of a societal
bated further by Kaplan’s efforts to transfer the center of con-
matrix, representing collective representations of collective
cern and authority from divinely revealed text to the Jewish
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5082
KARAITES
people itself, as well as by his justification of the transcen-
cepts and practices had diffused and become accepted within
dence of Jewish law (halakhah) and custom (minhag) when
Reform and Conservative Judaism. As a result, although the
those sources no longer met the needs of the Jewish people.
influence of Kaplan’s ideas has been broad, the Reconstruc-
Kaplan differed from his Conservative colleagues in his use
tionist movement has remained small.
of extratraditional resources; his approach remained distinct
from that of Reform Judaism through his efforts to retain
SEE ALSO Reconstructionist Judaism.
traditional forms while providing new content.
BIBLIOGRAPHY
Kaplan also sought to modernize Jewish organizational
Works by Kaplan not mentioned above include The Future of the
structure. Realizing the superior strength of the Diaspora
American Jew (New York, 1948; reprint, New York, 1967),
cultures, he argued that emancipated Jews lived within two
which examines the needs of Jews and Judaism following the
civilizations and that, on most occasions, the general (Genti-
creation of the State of Israel. For an examination of religion
le) culture exerted the primary hold upon the individual. In
and the concept of God as it functions within the Jewish civi-
an effort to counterbalance the impetus toward total assimi-
lization, there is The Meaning of God in Modern Jewish Reli-
lation, Kaplan called for maximal development of opportuni-
gion (New York, 1937; reprint, New York, 1994). The Great-
er Judaism in the Making (New York, 1960; reprint, New
ties for the individual to function within a Jewish environ-
York, 1967) studies the modern evolution of Judaism, and
ment. The locus of those activities was to be the synagogue,
The Religion of Ethical Nationhood (New York, 1970) is an
which Kaplan sought to transform from a simple prayer
advocacy of the idea of ethical nationhood as the only means
room to a modern institution, the focus for worship, study,
of avoiding world disaster. Studies of the life and works of
and recreation. Attracting supporters for these theories, Ka-
Kaplan include Richard Libowitz, Mordecai M. Kaplan and
plan supervised the creation of the first such community and
the Development of Reconstructionism (New York, 1983), an
synagogue center, the Jewish Center on Manhattan’s West
intellectual biography drawing upon Kaplan’s personal pa-
Side, in 1918. The commitment of the lay leadership to Or-
pers. Other biographical studies include Emanuel S. Gold-
thodox Jewish practice, as well as Kaplan’s own temper, soon
smith, Mel Scult, and Robert M. Seltzer, eds., The American
led to difficulties, however, resulting in his resignation from
Judaism of Mordecai M. Kaplan (New York, 1990); and
Scult, Judaism Faces the Twentieth Century: A Biography of
the center in 1922. Kaplan next established the Society for
Mordecai M. Kaplan (Detroit, Mich., 1993). Analyses of Ka-
the Advancement of Judaism, which served thereafter as the
plan’s thought and his place in the Reconstructionist move-
living laboratory for his experiments with Jewish worship,
ment include Gilbert S. Rosenthal, Four Paths to One God
such as the inclusion of women within the minyan (prayer
(New York, 1973); Ira Eisenstein, Reconstructing Judaism: An
quorum) and the creation of bat mitzvah as a young woman’s
Autobiography (New York, 1986), by Kaplan’s son-in-law
rite of passage equivalent to the bar mitzvah.
and successor as leader of the Reconstructionist movement;
S. Daniel Breslauer, Mordecai Kaplan’s Thought in a Postmod-
When editing the Sabbath Prayer Book (1945), Kaplan
ern Age (Atlanta, 1994); and Jack J. Cohen, Guides for an Age
retained the traditional service structure but replaced state-
of Confusion: Studies in the Thinking of Avraham Y. Kook and
ments regarding resurrection of the dead with declarations
Mordecai M. Kaplan (New York, 1999), by a leading voice
that God remembered the living. In a similar manner,
in Reconstructionism for more than half a century.William
prayers for restoration of the Temple and the coming of the
James, The Varieties of Religious Experience (New York, 1961)
Messiah were removed in favor of recollections of the faith
was a valuable source for Kaplan’s understanding of religion
of those who had worshiped in the Temple and prayers for
and its role in society.
a messianic age, to be achieved through human efforts. Per-
RICHARD L. LIBOWITZ (1987 AND 2005)
haps most controversial, because it was most readily appar-
ent, was Kaplan’s replacement of the phrase “who has chosen
us from all the nations” in the benediction prior to reading
KARAITES.
from the Torah with “who has brought us near in His ser-
The Karaites (Heb., Qara Dim; Arab.,
vice.” Copies of the prayer book were burned at a rally of Or-
Qara¯ D¯ıyu¯n) are a Jewish sect that recognizes the Hebrew
thodox Jews in New York City in 1945, and a ban (issur) was
Bible as the sole source of divinely inspired legislation, and
pronounced against Kaplan.
denies the authority of the postbiblical Jewish tradition (the
Oral Law) as recorded in the Talmud and in later rabbinic
Kaplan’s followers included the Conservative rabbis Eu-
literature. The term, which apparently first occurs in the
gene Kohn (1887–1977), Ira Eisenstein (1906–2001), and
writings of Benjamin al-Naha¯wand¯ı (ninth century CE), is
Milton Steinberg (1903–1950), as well as laypeople through-
variously interpreted as “scripturalists, champions of scrip-
out the country. Kaplan resisted their desire to establish Re-
ture” (from the Hebrew qara D, “to read,” particularly “to read
constructionism as a fourth movement within American Ju-
scripture”) and as “callers,” that is to say, those who call for
daism, and Reconstructionism thus remained identified as
a return to the original biblical religion (from the alternate
the “left wing” of Conservative Judaism until the 1960s.
meaning of qara D, “to call, to summon”). Apart from the Sa-
Only upon his retirement from the Jewish Theological Semi-
maritans, the Karaites are the oldest surviving Jewish sect and
nary did Kaplan devote himself to the establishment of a dis-
have produced an extensive scholarly literature, much of
tinct Reconstructionist movement; by then many of his con-
which has been preserved.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KARAITES
5083
THE RISE OF KARAITE JUDAISM (“KARAISM”). Sectarian dis-
ters, like their Christian and Zoroastrian predecessors, had
sent in Judaism goes back to the Second Temple period,
not the slightest interest in Jewish national aspirations and
when it was represented by the Pharisees, the Sadducees, and
dreams. All these factors probably contributed to discontent
the Essenes (with whom the Qumran community is likely
with the status quo, particularly among the disadvantaged el-
to be identified). The growth and eventual codification of
ements of the Iraqi Jewish community.
the postbiblical rabbinic tradition in turn gave rise to further
dissent. The Karaites are one of several groups that have
By the beginning of the tenth century, the schism had
claimed the Hebrew Bible to be the one and only repository
expanded from its Iranian-Iraqi birthplace into Syria-
of God’s word, which may not be modified by any subse-
Palestine. The leading figure was Daniel al-Qu¯mis¯ı (original-
quent, traditional law.
ly from northern Iran), who preached a spiritual return to
biblical Judaism and a physical return to the Holy City. By
According to one early Rabbanite account, the Karaite
returning to Jerusalem, studying scripture, leading an ascetic
movement originated circa 750 CE with an aristocratic, Bab-
existence, and mourning for the destroyed Temple, these
ylonian scholar named EAnan ben David, who should have
“Mourners for Zion” sought to hasten the divine salvation
succeeded to the Exilarchate (secular leadership) of the Iraqi
and the messianic era which they believed to be imminent.
Jewish community. Because of his excessive wildness and ir-
The Mourners would become the spiritual and intellectual
reverence, however, he was rejected in favor of his younger
core of the Karaite movement during the tenth and eleventh
brother Hananiah. Consequently, EAnan declared himself
centuries, subsuming other sectarian groups such as the An-
head of a dissident group; these Ananites formed the nucleus
anites. Zealous Karaite missionaries traveled far and wide to
of what later became the Karaite sect.This simplistic account
the Jewish settlements in the Near East, preaching to both
suffers from a number of historical and psychological diffi-
Karaite and Rabbanite audiences. During the second quarter
culties. Already in the late seventh and early eighth centuries,
of the tenth century, however, they encountered stiff opposi-
the anti-traditional leaders, Abu¯ E¯Isa¯ and Yu¯dgha¯n, had been
tion. SaEadyah ben Joseph al-Fayyu¯m¯ı (882–942), the poly-
active in the vicinity of Iraq. In the ninth and early tenth cen-
math gaon of the Sura academy in Baghdad, published sever-
turies, other leaders such as Isma¯E¯ıl and M¯ıshawayh in
al polemical works against Karaite teachings, condemning
EUkbara¯ (Iraq), Benjamin al-Naha¯wand¯ı in Iran, Mu¯sa¯
their proponents as outright heretics. SaEadyah’s prestige and
al-ZaEfara¯n¯ı in Iraq and then Armenia, and Malik al-Raml¯ı
forceful scholarly argumentation effected a decisive break be-
in Palestine, presided over their own sectarian followings. All
tween the two camps that has never healed. It also seems to
of these separate dissident groups developed their own heter-
have kept the Karaite mission from ever making serious in-
ogeneous teachings, although they seem to have vaguely re-
roads among Rabbanite populations in the Near East.
garded themselves as members of the larger community of
anti-rabbinic sectarians.
Bitter though it was in its earlier stages, the Karaite-
Rabbanite controversy stimulated Jewish literary creativity in
Theological disagreement seems to have been only one
the East during the tenth and eleventh centuries. Influenced
of several causes of this new flowering of schisms; others were
by Islamic and Christian models, Rabbanites and Karaites
political, social, and economic. The large autonomous Jew-
had begun to experiment with new genres in the fields of the-
ish community in Iraq was administered by a bureaucracy
ology, philosophy, biblical exegesis, and Hebrew philology.
serving the exilarch and the presidents (called the ge Donim)
But undoubtedly, the inter-denominational feuding moti-
of the academies, who codified, interpreted, and developed
vated members of both camps to produce scholarship of the
the rabbinic tradition and acted as supreme courts of appeal.
highest standard. A Karaite academy flourished in Jerusalem
This bureaucracy was maintained by internal taxation that
during this period, giving advanced training to students from
added to the heavy taxes already paid by non-Muslims to the
sectarian settlements as far-flung as Muslim Spain and By-
Muslim state. The poorer classes of the Jewish community—
zantium.
and they formed the great majority—thus had ample reason
for dissatisfaction with their lot. At the same time, the exten-
Much closer to home, the Karaite community of Egypt
sion and consolidation of the Muslim empire in the seventh
grew in wealth and importance, which derived in no small
and eighth centuries enabled such discontented elements in
part from the success of several members of the Tustar¯ı fami-
the Iraqi community to emigrate to the sparsely settled and
ly, prominent members of the Fatimid court. Since Syria was
less regulated mountainous provinces of the east and north,
under Fatimid control for much of this period as well, Kar-
where they observed the conquered Persian population, unit-
aite prestige increased throughout the area and on the whole,
ed under the banner of Shiism, seething with resentment and
relations with Rabbanites improved dramatically. Marriage
resistance against their Arab masters. Finally, the speed and
documents and formularies from the eleventh century attest
ease with which the Arabs conquered the Byzantine and Per-
to Karaite-Rabbanite intermarriages, in which bride and
sian dominions must have aroused anew Jewish hopes for the
groom agreed to recognize each other’s respective religious
end of exile, the restoration of Zion, and the ingathering of
practices. Such alliances—which took place within the high-
the exiles in the Holy Land under their own government.
est strata of Jewish society—indicate a general interest in
But this hope was quickly shattered: the new Muslim mas-
maintaining communal unity and harmony.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5084
KARAITES
During the eleventh and twelfth centuries, the Karaite
one striking exception to this pattern, several Karaite scholars
population began to shift geographically. The Turcoman in-
in mid-fifteenth-century Constantinople—including Elijah
vasion of Syria (1071–1074) and then the Christian victory
Bashyatchi, Caleb Afendopolo, and Judah Gibbor—studied
in the First Crusade (1099) all but ended Jewish settle-
with an eminent Rabbanite teacher, Mordecai Comtino.
ment—Rabbanite and Karaite alike—in Palestine. While the
Typically, teacher and disciples treated each other with re-
Cairo community remained intact—surviving in situ until
spect, while attacking each other’s legal views vigorously.
the late twentieth century—it seems to have declined in pres-
In general, conversions from one group to the other
tige during the twelfth century. Meanwhile, the Karaites of
seem to have been relatively rare. The anti-Karaite polemic
Byzantium, who had imbibed the teachings of the Jerusalem
of some Rabbanite authors is merely theoretical, and is not
school, emerged as a distinctive, independent community
grounded in any actual fear of defection to the Karaite cause.
which created a substantial scholarly literature over the
Moses Maimonides (Mosheh ben Maimon, 1135/8–1204),
course of seven centuries (see below). Constantinople re-
the most outstanding Jewish scholar of the medieval period,
mained the leading Karaite center until the seventeenth cen-
summed up the Rabbanite attitude by advising reserved but
tury when it went into a steep decline. In Islamic Spain, on
helpful behavior toward Karaites as fellow Jews, albeit way-
the other hand, the presence of Karaites elicited sharp reac-
ward ones, so long as they desisted from hostile attacks on
tions from leading twelfth-century Rabbanite scholars in-
Rabbanite dogma and practice.
cluding Judah Halevi, Abraham Ibn EEzraD, and Avraham Ibn
Daud. Likely because of their isolation from fellow-sectarians
In the seventeenth century, the Karaite communities in
and this unrelenting Rabbanite opposition, the Andalusian
the Crimea, Lithuania, and Poland assumed the leading role.
Karaites seem to have vanished by the end of the twelfth cen-
By the end of the eighteenth century, these communities had
tury. New communities were emerging, however, in Eastern
all come under Russian rule. In the nineteenth century, sev-
Europe. The Rabbanite traveler Petahyah of Regensburg
eral energetic leaders succeeded in obtaining from the tsarist
(1180), mentions a scripturalist group he encountered in the
government full citizenship rights for Karaites; this set them
Crimea who appear to have been Karaites; there is clear-cut
even further apart from the Rabbanite majority in Russia,
evidence of a community there by the late thirteenth century.
which continued to bear the full weight of the oppressive and
Settlements in Poland and the Ukraine may date to the thir-
discriminatory anti-Jewish laws.
teenth century; they were certainly established by the early
World War I affected the Russian Karaites only where
fifteenth century, when the Lithuanian community in Troki
they found themselves directly in the way of military opera-
(Trakai, near Vilnius) emerged as the European center of the
tions. During World War II, the Karaites in the occupied
sect.
territories of Poland and western Russia were generally not
There are large gaps in the Karaite historical record be-
molested by the German authorities, on the ground—
tween the twelfth and early nineteenth centuries. For thir-
generously supported by Rabbanite representatives consulted
teenth- and fourteenth-century Byzantium, for example, the
by the Germans—that they were ethnically not Jewish but
sole witnesses are Aaron ben Joseph the Physician and Aaron
rather were descended from the ancient Turkic nation of the
ben Elijah of Nicomedia, whose writings contain few con-
Khazars, converts to Judaism who once ruled southern Rus-
temporary references. Bio-bibliographic works, by David Ibn
sia. These Karaites were therefore not subject to wholesale
al-Hiti (fifteenth century), Mordecai ben Nisan (1699),
extermination, as were their Rabbanite brethren. The nine-
Simh:ah Isaac Lutski (1757), and others, provide the skeleton
teenth-century campaign to achieve independent, official
for a history of scholarship and are invaluable guides to Kar-
recognition and the generally negative attitude in Russia after
aite self-perceptions and historical consciousness, but yield
the 1917 revolution toward religion in general and Judaism
scant information about social, religious, and cultural devel-
in particular, led Karaites in the U.S.S.R. to distance them-
opments. Travel accounts—by Karaites, Rabbanites, and
selves entirely from Jewish history, religion, and culture. In
non-Jews—correspondence, and topical treatises, on the
the Middle East after 1945, the Arab-Israeli conflict had a
other hand, give glimpses of communal life and concerns at
serious effect on the Karaite communities in the neighboring
specific moments. Thus, a dispute with Rabbanites in Cairo
Arab states. Owing to emigration, the ancient community
(1465) or an internal controversy in Constantinople over
of H¯ıt, in Iraq, ceased to exist, and the equally ancient com-
Sabbath lights (late fifteenth–early sixteenth centuries) are
munity in Cairo was vastly reduced when most of its mem-
relatively well documented, while basic data concerning both
bers moved to Israel, Europe, and the Americas. At present,
communities in subsequent decades are lacking. All the
there are perhaps twenty-five thousand Karaites in the world
same, certain generalizations seem warranted. Not infre-
(in Israel, Eastern and Western Europe, and the United
quently, Karaite and Rabbanite communities existed in close
States), though no truly reliable statistics exist.
proximity. Usually, the Christian and Muslim authorities
KARAITE LITERATURE. Fragments of EAnan’s code of law
did not differentiate between the two groups, regarding them
have survived in the original Aramaic. Both in language and
both as Jews. Since Karaite populations almost invariably
in style, the work bears strong affinities to classical rabbinic
seem to have been smaller, they tended to remain on correct,
texts. Benjamin al-Naha¯wand¯ı and Daniel al-Qu¯mis¯ı also
if somewhat distant terms with their Rabbanite brethren. In
wrote codes, and al-Qu¯mis¯ı composed the earliest surviving
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KARAITES
5085
Jewish Bible commentaries; these works were all written in
crown of the Torah), a commentary on the Pentateuch. Eli-
Hebrew. Between the tenth and fifteenth centuries, Karaite
jah Bashyatchi (d. 1490) and his brother-in-law Caleb Afen-
scholars in Muslim lands produced an extensive religious lit-
dopolo (d. after 1522) compiled another code, Adderet Eliy-
erature in Arabic. In Asia Minor, the Crimea, and Poland-
yahu (The mantle of Elijah), which became the most
Lithuania, the Karaite language of scholarship between the
esteemed legal manual among modern Karaites. A versatile
eleventh and twentieth centuries was Hebrew. Beginning in
scholar, Afendopolo indexed older books (such as Eshkol ha-
the fifteenth century, the Karaites of Eastern Europe and the
kofer and EEs: h:ayyim), wrote scientific works, and composed
Crimea also wrote in their vernacular Turkic dialects.
Hebrew belles-lettres. A contemporary, Judah Gibbor, com-
posed an important Pentateuch commentary in verse, which
The first major scholar of the golden age of Karaite liter-
was the subject of later Karaite supercommentaries. Other
ature was YaEqu¯b al-Qirqisa¯n¯ı (second quarter of the tenth
authors of note include Moses Bashyatchi (d. 1572?), who
century), whose magnum opus is a two-part Arabic commen-
incorporated Arabic citations of al-Qirqisa¯n¯ı into his own
tary on the Pentateuch. The first part, titled Kita¯b al-anwa¯r
treatises, Moses Messorodi, who composed an important col-
wa Dl-mara¯qib (Book of light-houses and watchtowers), com-
lection of sermons, and Elijah Yerushalmi (d. c. 1700), who
ments on the legal parts of the Pentateuch and forms not
sought to bring traditional Karaite learning from Constanti-
only a detailed code of Karaite law but also a veritable ency-
nople to the Crimea.
clopedia of early Karaite lore. The second part, Kita¯b al-riya¯d:
wa Dl-h:ada¯Diq (Book of gardens and parks), deals with the
Egypt produced a few important Karaite authors. Born
nonlegal portions of the Pentateuch. Al-Qirqisa¯n¯ı also wrote
in Alexandria, Moses DarE¯ı (thirteenth century?) was the
an extensive commentary on Genesis that seems to have dealt
group’s preeminent Hebrew poet, writing an impressive
in detail with various philosophical problems, such as the na-
body of secular verse in the style of the great Andalusiams.
ture of God and of matter, creation ex nihilo, and good and
In the fifteenth century, Samuel al-Maghrib¯ı wrote the last
evil. Of all his works, only Kita¯b al-anwa¯r has been published
known Arabic code of Karaite law and a popular set of homi-
in full. In the tenth and eleventh centuries, Karaite scholars
lies on the Pentateuch, while David Ibn al-H¯ıt¯ı composed
connected with the academy in Jerusalem produced a num-
a brief but important chronicle of Arabic scholars from
ber of important works, mostly in Arabic, in the areas of exe-
EAnan down to his own time. Moses ben Samuel produced
gesis, philology, theology, law, apologetics, and polemics.
a corpus of Hebrew poetry, including an epic account of his
Among the most important authors were Salmon ben
tribulations in the service of the emir of Damascus, who in
Yeruh:¯ım (a polemicist and exegete), Japheth ben Eli (the
1354 forced him to become a Muslim and to join a pilgrim-
first Jew to compose commentaries on the entire Bible), Sahl
age to Mecca. He finally escaped to Egypt, where he seems
ben Mas:liah: (an exegete, legal scholar, and polemicist),
to have returned to his ancestral faith.
David al-Fa¯s¯ı (a lexicographer), Joseph ben Noah (president
As the Ottoman Empire progressively declined, the cen-
of the Jerusalem academy), AbuDl-Faraj Ha¯ru¯n (Hebrew:
ter of Karaite literary activity again shifted northward, to the
Aaron ben Jeshua; a grammarian and exegete), Yu¯suf al-Bas:¯ır
Crimea, Lithuania, and Poland. The Karaite community of
(Hebrew: Joseph ha-RoDeh; an eminent theologian), and
Troki counted as one of its most illustrious sons Isaac ben
AbuDl-Furqa¯n ibn Asad (Hebrew: Jeshua ben Judah; an exe-
Abraham Troki (d. 1594, or perhaps 1586), the author of
gete and legal authority).
a critical tract against Christianity titled H:izzuq emunah
(Fortification of the faith), which was later admired by Vol-
With the growth of the Greek-speaking community in
taire. In the seventeenth and eighteenth centuries, a group
Asia Minor, it became necessary to translate the Karaite Ara-
of Protestant theologians (Rittangel, Peringer, Puffendorf,
bic classics into Hebrew, the literary language of Byzantine
Warner, Trigland) drew parallels between the Karaite seces-
Jewry. Translators such as Tobiah ben Moses and Jacob ben
sion from the Rabbanite synagogue and the Protestant seces-
Simeon produced Hebrew versions which are notable for
sion from the Church of Rome. They encouraged the com-
their awkward syntax, strange technical vocabulary, and
position of several works by Polish Karaite informants,
Greek glosses. In the twelfth century, a more natural Hebrew
including Mordecai ben Nisan of Kukizów (near Lviv, in
style appears in an extensive encyclopedia of Karaite scholar-
Polish Galicia) and Solomon ben Aaron of Troki (d. 1745),
ship begun in 1148 by Judah Hadassi and titled Eshkol ha-
which set forth their view of Karaite history, dogma, and rit-
kofer (Cluster of henna), and in Jacob ben Reuben’s terse
ual. Simh:ah Isaac ben Moses of Lutsk (d. 1766) composed
Bible commentary. By the late thirteenth century, the Kar-
the first substantial Karaite literary history.
aites of Byzantium were writing a fluent Andalusian Rabban-
ite Hebrew. Drawing upon Maimonides and Abraham Ibn
In the nineteenth century, the outstanding Karaite man
EEzraD, Aaron ben Joseph wrote a philosophical commentary
of letters was Abraham Firkovitch (1786–1874), who during
on the Pentateuch; he is best known, however, as the redac-
his travels in the Crimea, the Caucasus, Syria, Palestine, and
tor of the official Karaite liturgy. Subsequently, Aaron ben
Egypt amassed a large collection of Karaite manuscripts, one
Elijah (d. 1369), composed an invaluable trilogy: EEs: h:ayyim
of the richest in the world, now in the Russian National Li-
(The tree of life), a Karaite Guide of the Perplexed; Gan EEden
brary in St. Petersburg. He was also a prolific writer, al-
(The Garden of Eden), a code of law; and Keter torah (The
though the authenticity of many historical data he cited from
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5086
KARAITES
colophons and from tombstones has been rejected. An older
their old theology until the thirteenth and fourteenth centu-
contemporary of his, Mordecai Sultansky (d. 1862), wrote
ries. In his EEs: h:ayyim, Aaron ben Elijah actually attempts
several works, among them a history of Karaite Judaism,
to synthesize the kala¯m teachings of Yu¯suf al-Bas:¯ır with Mai-
Zekher s:addiqim (Memorial of the righteous), valuable main-
monidean Aristotelianism. Although the experiment cannot
ly as an exposition of the modern official version, authorized
be said to have succeeded in full, it remained influential
by the leading circles of the Russian-Polish-Lithuanian com-
within the Byzantine Karaite camp.
munity.
In his code of law, Adderet Eliyahu, Elijah Bashyatchi
During the twentieth century, several members of the
formulated the Karaite creed in ten articles, corresponding
Egyptian community were active authors: Mourad Farag
to the Ten Commandments: (1) that the physical universe
(1867–1956), a jurist and poet; Tobiah Babovitch (1879–
was created; (2) that it was created by God, who is eternal;
1956), the last Karaite Chief Hakham (Rabbi) in Cairo;
(3) that the Creator has no form and is unique; (4) that He
Mourad El-Kodsi (1919–), a communal historian; and
sent Moses, His prophet; (5) that He sent the Torah, which
Yoseph El-Gamil (1943–), a historian and editor of texts.
is perfect, with Moses; (6) that the believer must know He-
brew, the language of the Torah; (7) that God inspired all
The invention of printing with movable type was eager-
other true prophets who came after Moses; (8) that God will
ly seized upon by Rabbanite Jews to produce an enormous
resurrect the Dead on the Day of Judgment; (9) that God
library of religious and secular literature from the 1470s
rewards and punishes all human beings according to their de-
down to the present day. On the Karaite side the picture is
serts; (10) that God has not abandoned the people in exile,
quite different. No Karaite incunabula were printed, and
and that though they suffer, they must anticipate the coming
only four Karaite books—the first, an edition of the Karaite
of the Messiah who will effect the divine salvation. No Rab-
liturgy, published by the Christian bookmaker Daniel Bom-
banite could find any of this objectionable.
berg in Venice in 1528–1529—appeared in the sixteenth
century, all set in type and run off the press by Rabbanite
Where the two groups have always differed, however,
compositors and pressmen. Only one Karaite book came out
is in their attitude toward the postbiblical (Talmudic and
in the seventeenth century, printed in 1643 at the Amster-
rabbinic) tradition: for Rabbanites, the Oral Law is of Mosa-
dam press of Menasseh ben Israel, a Rabbanite scholar and
ic origin and mediates the understanding of Scripture; for
publisher known also for his negotiations with Lord Protec-
Karaites it is at best a body of non-authoritative knowledge,
tor Oliver Cromwell on the readmission of Jews into En-
and at worst a malignant, man-made fabrication. But even
gland. The earliest Karaite presses were those of the brothers
the rejection of the rabbinic tradition has turned out to be
Afeda and Shabbetai Yeraqa in Istanbul (1733) and in Chu-
not quite absolute, for with the passage of time, changing
fut-Kale, in the Crimea (1734–1741); there was also another
conditions have forced the formation of a native Karaite tra-
press in Chufut-Kale (1804–1806). They were short-lived
dition in order to cope with new situations and problems
and succeeded in publishing only a few books. The first more
that were not anticipated by Moses the lawgiver. Hence the
or less successful Karaite press was established in 1833 in Eu-
development of the three pillars of Karaite legislation: (1) the
patoria (or Gözlöw), in the Crimea, and published several
scriptural text (Heb., katuv; Arab., nas:s:); (2) analogy (Heb.,
important old texts.
heqesh; Arab., qiya¯s) based on scripture; and, in cases where
One can only guess at the reason for the typographical
the first two pillars are of no help, (3) the consensus of schol-
backwardness of the modern Karaites. One factor was very
arly opinion (Hebrew qibbus: or Eedah, “community,” the lat-
likely their historical dislike of innovative change. Their lim-
ter term possibly influenced by the Arabic Ea¯dah, “customary
ited number and the comparative paucity of prospective pur-
practice, common law”; Arabic ijma¯ E, “agreement”; later
chasers and interested readers among them probably also
termed in Hebrew sevel ha-yerushah, “burden of inheri-
made printing unprofitable unless supported from time to
tance”).
time by a wealthy patron from their own midst. In recent
Consequently, the Karaites and Rabbanites finally part
years, however, the Karaites in Israel have issued a large num-
ways in their religious practices, and here the differences are
ber of texts; some are photomechanical reproductions of
substantial and fundamental. For the Jewish calendar, which
nineteenth-century prints, but many more have been newly
governs the fixing of the dates of holy days, the Karaites re-
set and published by Yoseph El-Gamil.
jected the rabbinic mathematical reckoning and depended
DOGMA AND PRACTICE. Karaite Judaism is epistemological-
solely on the observation of the phases of the moon; only
ly grounded in scripture and reason. During its formative pe-
comparatively recently was limited reckoning admitted. In
riod, it borrowed its theology wholesale from the teachings
dietary law, the scriptural interdict against seething a kid’s
of the Muslim Mutazilites of Basra. The Karaite Yu¯suf
flesh in its mother’s milk was not broadened (as it was in rab-
al-Bas:¯ır (d. c. 1040) and his Rabbanite contemporary Samu-
binic law) to cover all meat and dairy foods. In the law of
el ben Hophni Gaon thus shared common views on many
consanguinity, the Karaites originally followed the so-called
doctrinal points. While Rabbanite scholars distanced them-
catenary (chain) theory (Heb., rikkuv; Arab., tark¯ıb), which
selves from Mutazilite theories, successively embracing Neo-
permitted piling analogy upon analogy to deduce further for-
platonism and then Aristotelianism, the Karaites held fast to
bidden marriages from those explicitly listed in scripture.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KARAITES
5087
The social consequences of this practice finally became so
interest in Judeo-Arabic literature generally, and Karaite
threatening to the physical survival of the Karaite communi-
writings in particular. Since 1989, moreover, the great collec-
ty that Jeshua ben Judah succeeded in modifying it, although
tions of Karaite manuscripts in St. Petersburg at the Russian
the Karaites still employ a much more extensive definition
National Library (RNL) and the Institute of Oriental Studies
of consanguinity than the Rabbanites do. This remains, how-
have become accessible. The RNL manuscripts, which had
ever, the only instance of a major reform in Karaite law. The
been assembled by Abraham Firkovitch during the nine-
teenth century, are now being catalogued for the first time.
scriptural prohibition of kindling fire on the Sabbath day is
They will serve as the basis for a comprehensive rewriting of
interpreted literally to mean the total absence of all fire, even
early Karaite history and literature. At the same time, Karaite
if kindled before the onset of the Sabbath and left to contin-
texts in Hebrew from Byzantium, the Crimea, and Eastern
ue burning, as permitted by rabbinic law. The modest relax-
Europe are now being studied critically and analyzed in their
ation of this rule in the Byzantine, Crimean, and Eastern Eu-
proper contexts. Despite their historically small numbers, the
ropean communities, where the absence of light and heat
Karaites, their forms of belief and practice, and their place
throughout the cold and sunless winters inflicted real hard-
in Jewish history, are now beginning to receive the attention
ship, aroused strong opposition. Other differences relate to
they deserve.
ritual cleanness—particularly rigorous for Karaite women—
Ankori, Zvi. Karaites in Byzantium: The Formative Years, 970–
inheritance (the Karaite husband has no claim upon his de-
1100. New York, 1959.
ceased wife’s estate), and various dietary laws. Polygyny is not
Astren, Fred. Karaite Past and Jewish History. Columbia, S.C.,
officially prohibited—as it was by a medieval European rab-
2004.
binical enactment recently extended to eastern Jewries as
Baron, Salo W. A Social and Religious History of the Jews. 2d ed.
well—but it seems to have been quite uncommon even in
18 vols. New York and Philadelphia, 1952–1983, 5: 209–
Muslim countries, probably for social and economic reasons;
285.
in Western countries it was, of course, outlawed and was rec-
Ben-Shammai, Haggai. “The Karaite Controversy: Scripture and
ognized as such by Jewish law. The Karaite liturgy, originally
Tradition in Early Karaism.” In Religionsgespräche im Mitte-
limited to selected biblical psalms and prose passages, was
lalter, edited by Bernard Lewis and Friedrich Niewöhner,
eventually developed into a large corpus of both prose and
pp. 11–26. Wiesbaden, Germany, 1992.
verse—some written by Rabbanite poets—quite distinct
Birnbaum, Phillip, ed. Karaite Studies. New York, 1971.
from the Rabbanite one.
El-Kodsi, Mourad. The Karaite Jews of Egypt, 1882–1986. Lyons,
The connection between the Karaites and Sadducees,
N.Y., 1987.
suggested by some early Rabbanite polemicists, or between
Frank, Daniel. “The Study of Medieval Karaism, 1989–1999.” In
the Karaites and the Qumran sect, as advanced by some
Hebrew Scholarship and the Medieval World, edited by Nich-
modern scholars, remains hypothetical. Similarities in some
olas De Lange, pp. 3–22. New York, 2001.
observances may be nothing more than earmarks of the age-
Frank, Daniel. Search Scripture Well: Karaite Exegetes and the Ori-
old continuous chain of dissent in Judaism. (The outstand-
gins of the Jewish Bible Commentary in the Islamic East. Lei-
ing example, the rule that ShavuEot must always fall on a
den, 2004.
Sunday, seems to be one of the oldest points in Jewish dis-
Gil, Moshe. A History of Palestine, 634–1099. Cambridge, U.K.,
sent.) Verbal parallels between certain early Karaite writings
1992. See pages 777–820.
and the Dead Sea Scrolls are more suggestive. The chief
Goldberg, P. Selvin. Karaite Liturgy and Its Relation to Synagogue
stumbling block here is the hiatus of some five hundred years
Worship. Manchester, U.K., 1957.
between the Sadducees and the Qumran community on the
Lasker, Daniel J. “Karaism in Twelfth-Century Spain.” Journal of
one hand, and the earliest known Karaites on the other. The
Jewish Thought and Philosophy 1 (1992): 179–195.
most that can safely be said at present is that the primitive
Mann, Jacob. Texts and Studies in Jewish History and Literature,
Karaites may possibly have had access to some Sadducee or
vol. 2: Karaitica. Philadelphia, 1935; reprint, New York,
Qumranite literary documents. Whether they have been in-
1972.
fluenced by them, and if so, to what extent, cannot yet be
Miller, Philip E. Karaite Separatism in Nineteenth-Century Russia:
determined.
Joseph Solomon Lutski’s Epistle of Israel’s Deliverance. Cincin-
nati, 1993.
BIBLIOGRAPHY
Nemoy, Leon. Karaite Anthology. New Haven, Conn., 1952.
The modern critical study of Karaite Judaism dates back about a
Olszowy-Schlanger, Judith. Karaite Marriage Documents from the
century and a half. Until recently, very few scholars devoted
Cairo Geniza: Legal Tradition and Community Life in Medi-
their full attention to the subject, despite the existence of a
aeval Egypt and Palestine. Leiden, 1998.
large and extremely important Karaite literature which re-
mains in manuscript, awaiting publication and analysis. Cer-
Polliack, Meira. The Karaite Tradition of Arabic Bible Translation:
tain aspects of Karaite history—for example, the role of social
A Linguistic and Exegetical Study of Karaite Translations of the
and economic factors—have only now begun to attract inter-
Pentateuch from the Tenth to the Eleventh Centuries. Leiden,
est. Many of the older works retain their basic value, but re-
1997.
quire updating. Fortunately, the situation seems to be chang-
Polliack, Meira, ed. Karaite Judaism: A Guide to Its History and
ing. During the past two decades, there has been growing
Literary Sources. Leiden, 2003.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5088
KARBALA
Poznanski, Samuel. “The Karaite Literary Opponents of Saadiah
dial touch and is fashioned into tablets upon which Sh¯ıEah
Gaon.” Originally published in the Jewish Quarterly Review,
prostrate during their prayers. Not only do Sh¯ıEah wish to
old series vols. 18–20 (1906–1908), reprinted, London,
make a pilgrimage to Karbala in their lifetime, many also as-
1908; reprinted again in Karaite Studies, edited by Phillip
pire to be buried in Karbala. Corpses of devotees from all
Birnbaum (see above).
over Asia and Africa have been sent to Karbala in order to
Rustow, Marina. “Rabbanite-Karaite Relations in Fatimid Egypt
atone for a sinful life and secure for the deceased an enduring
and Syria: A Study Based on Documents from the Cairo
stamp of redemption. Some Sh¯ıEah have devotionally con-
Geniza.” Ph.D. diss, Columbia University, New York, 2004.
ceded that a pilgrimage to Karbala is more meritorious than
Vajda, Georges. Al-Kita¯b al-Muhtaw¯ı de Yu¯suf al-Bas¯ır. Edited by
the pilgrimage to Mecca (h:a¯jj). Karbala along with its sister
David R. Blumenthal. Leiden, 1985.
city Najaf (where H:usayn’s father and the first Sh¯ıE¯ı ima¯m,
Wieder, Naphtali. The Judean Scrolls and Karaism. London, 1962.
EAl¯ı ibn Ab¯ı T:a¯lib, is buried), and the two Iranian cities of
L
Qom and Mashhad, also house important centers of Sh¯ıE¯ı
EON NEMOY (1987)
DANIEL FRANK (2005)
learning (madrasahs or hawzas). Students from Iraq, Iran,
Lebanon, Syria, India and Pakistan make up most of the stu-
dent body at these institutions.
KARBALA, a city located sixty-five miles southwest of
In the course of a millennium and three centuries, Kar-
Baghdad, constitutes the pivot of devotion for more than a
bala changed hands many times. As a center of Sh¯ıE¯ı piety,
hundred million Sh¯ıE¯ı Muslims. Although the estimated
it was often seen by Sunn¯ı political authorities as a threat to
population of this palm-grove-laden city is approximately
their rule. The EAbba¯sid caliph, al-Mutawakkil, for example,
500,000, during seasons of pilgrimage it draws more than a
had H:usyan’s shrine destroyed in 850 CE. Severe restrictions
million devotees. The city owes its significance to the battle
were placed on the pilgrims who desired to visit Karbala. The
that was waged on its soil in 680
Sh¯ıE¯ı Buyid rulers who wrested power from the EAbba¯sids re-
CE between H
: us b. EAli,
the younger grandson of the prophet M
: uhammad, and Yazid
stored the architectural as well as the devotional aura to Kar-
b. MuDawiya, the ruling head of the Ummayad dynasty at the
bala. Subsequent generations of Sh¯ıE¯ı Muslims, from Iran to
time. During the battle, H:usayn and a small group of follow-
India, festooned the shrines of Karbala with golden and silver
ers and family members were killed by the forces of Yazid
sarcophaguses, expensive chandeliers and carpets, and exqui-
after refusing to acknowledge the latter as a legitimate au-
site tile work and ornamentation. The endowments for the
thority. H:usayn, for his devotees, has remained the most sig-
maintenance of the Karbala shrines came not only from the
nificant martyr of Islam, Sayyid al-shuhada, and Karbala, the
Sh¯ıE¯ı rulers of Iran and India but also from the Sunn¯ı Otto-
site of this martyrdom, Mashhad al-H:usyan. For the Sh¯ıE¯ı
man leaders who ruled over this region from the sixteenth
Muslims, H:usayn is also one of the legitimate spiritual lead-
to the twentieth centuries. Many times during these four
ers (ima¯ms) of the community, who protected Islam from
centuries, the Ottoman rulers and their Sh¯ıE¯ı Safavid rivals
decay. Notwithstanding his significance in Sh¯ıE¯ı piety,
from Iran sought to control Karbala in order to consolidate
H:usayn and his Karbala battle have also had a strong appeal
their respective political clout in the region. Karbala during
in various Sunn¯ı, S:u¯f¯ı, and non-Muslim contexts.
this time remained a testimony to the riches of its patrons.
In 1801, the Wahha¯b¯ı forces, comprised of anti-Sh¯ıEah and
Although the etymology of Karbala is most likely rooted
anti-shrine culture Sunn¯ı Muslims, wreaked havoc on vari-
in Aramaic and Assyrian, in the Sh¯ıE¯ı devotional lore it is in-
ous pilgrimage sites and killed scores of inhabitants of this
voked as a combination of two Arabic words, karb (anguish)
city. But as in the past, H:usyan’s devotees from around the
and bala¯ (calamity). In all likelihood Karbala rose in the de-
world once again garnered resources to restore the regal aura
votional hierarchy of H:usayn’s followers right after his mar-
to the shrines. In 1919, after the defeat of the Ottomans, Iraq
tyrdom in 680 CE. That the Prophet had loved his grandson
came under the British mandate. At the 1921 Cairo Confer-
and bestowed upon him various honorific titles was never
ence, the British named Prince Faisal, a Mecca-based Sunn¯ı
doubted in the Muslim world. After the battle of Karbala,
descendant of the Prophet, as Iraq’s ruler. In 1932 the na-
H:usayn’s family members and friends journeyed to the site
tion-state of Iraq was born amidst much dismay and contest-
of his martyrdom and burial, commencing the cherished tra-
ed geographical borders. These borders, mostly drawn at the
dition of ziya¯rah (pilgrimage to a sacred site) to Karbala. The
discretion of the British, have continued to remain the cause
high season of pilgrimage has remained around the day that
of several political conflicts in the Arab world. Various ethnic
marks H:usayn’s martyrdom ( Ea¯shura, tenth day of the first
groups living in the newly created nation state of Iraq, in-
Islamic month, Muh:arram) and the fortieth-day commemo-
cluding the Kurds and the Sh¯ıEah (who are a majority) felt
ration of this martyrdom (arba Een, forty days after Ea¯shura).
disenfranchised at various levels. Such a feeling was com-
Pilgrims to H:usayn’s grave also make the rounds of
pounded by the policies of various leaders, most notably
graves of other companions of H:usayn, especially his half-
S:adda¯m H:usayn. Ruling from 1979 to 2003 as Iraq’s presi-
brother EAbba¯s. Prescribed prayers and lamentation accom-
dent, S:adda¯m H:usayn, dealt brutally with any challenge to
pany the pilgrims as many wish that they had fought along-
his authority. To assure that the Sh¯ıE¯ı majority of the coun-
side H:usayn. The soil and clay from Karbala acquires a reme-
try was in check, H:usayn imposed severe restrictions on 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
KARDECISM
5089
cultural practices of the city of Karbala. Prominent Sh¯ıE¯ı op-
Mottahedeh, Roy. The Mantle of the Prophet: Religion and Politics
ponents of the Iraqi government were killed, put under sur-
in Iran. New York, 1985.
veillance, or driven into exile as S:adda¯m H:usayn and his
Nakash, Yitzhak. The Shi Eis of Iraq. Princeton, N.J., 1994.
Baath Party created a climate of intimidation. Life in Karbala
Tripp, Charles. A History of Iraq. Cambridge, U.K., 2000.
only got worse after the beginning of the eight-year Iraq-Iran
war in 1980. This war, in which Iraq was supported in part
SYED AKBAR HYDER (2005)
by the United States, drained Iran and Iraq of valuable re-
sources and especially devastated the city of Karbala, which
was economically dependent to a great degree on the Iranian
KARDECISM is the name given the system of spiritist
pilgrims. S:adda¯m H:usayn imposed his presence on Karbala
doctrines and practices codified by the French spiritist Allan
by lacing the walls of the Sh¯ıE¯ı shrines with his own pictures
Kardec. Kardec’s religio-philosophical principles and thera-
and forbidding large commemorative assemblies. These as-
peutic techniques have been especially influential in the de-
semblies resurfaced after S:adda¯m H:usayn was defeated by
velopment of spiritism among the urban middle classes in
the United States and its allies in 2003. Over a million
Brazil from the mid-nineteenth century until the present.
Sh¯ıEah marked the day of H:usyan’s martyrdom in 2004 by
K
walking in the pathos-laden processions at Karbala. The
ARDEC’S LIFE AND WORK. Allan Kardec was born Hyp-
polyte Léon Denizard Rivail on October 3, 1804, in Lyons,
Sh¯ıE¯ı sense of relief after the fall of S:adda¯m H:usayn, howev-
France. The son of Justice Jean-Baptiste Antoine Rivail and
er, quickly gave way to dismay as the U.S. armed forces bat-
Jeanne Duhamel, Rivail received a thorough education. De-
tled anti-American elements in Karbala, causing many
scended on his father’s side from a family of magistrates, and
deaths. Not withstanding a long history of conflict, Karbala
on his mother’s side from a family of theologians, writers,
is likely to retain its importance as a center of pilgrimage and
and mathematicians, Rivail was sent as a boy to Switzerland,
scholarship.
to study under the famous pedagogue Henri Pestalozzi. He
Karbala, apart from standing as a bustling pilgrimage
distinguished himself with his intelligence and precocity: At
city, also holds status as a metaphor for a righteous struggle.
fourteen, Rivail had a command of several languages and was
Although physically contained in Iraq, its spiritual, aesthetic
conversant in Greek and Latin.
and political ramifications transcend geographical confines
and narrow religious allegiances. It has inspired traditions of
Having received training as a teacher, he returned to
theater (the ta‘ziyah of Iran), paintings and modern political
Paris, and earned a bachelor’s degree in sciences and letters.
movements of Lebanon, Iran, Central Asia and South Asia.
According to some of his biographers, Rivail concluded the
It has spoken to a wide range of reformist and revolutionary
course in medicine at twenty-four years of age. During his
yearnings from a variety of traditions, including those of the
studies, he taught French, mathematics, and sciences. Hav-
Ayatollah Khomeini, M
: uhammad Iqbal and Mohandas
ing failed at his attempt to create a teaching institution after
Gandhi. To those drawn to Karbala as a metaphor and trope,
Pestalozzi’s model, he survived by doing translations and
it seems to provide testimony to the sentiment that numeri-
teaching courses at schools and institutes. Notwithstanding
cal strength does not necessarily insure a spiritual and moral
his medical studies, the eight books written from 1824 to
victory. In spite of suffering at the hands of Yaz¯ıd’s massive
1849 deal with mathematics, grammar, and the physical sci-
force, H:usayn and his small band of companions secured en-
ences in general, in which his pedagogical concerns prevail.
during legacies through the rich idioms of Karbala.
He joined several professional, pedagogical, and scientific as-
sociations.
SEE ALSO Shiism.
In short, Rivail was a typical European scholar of his
time, with a classical training in letters, positivist beliefs, an
BIBLIOGRAPHY
interest in the theoretical and applied development of sci-
Al-Serat: Papers from the Imam H:usayn Conference, London, July
1984. London, 1986.
ence, and a professional specialization in teaching. But Rivail
was not an orthodox positivist. Imbued with a great curiosity
Ayoub, Mahmoud. Redemptive Suffering in Islam, a Study of the
Devotional Aspects of EAshuraD in Twelver Shi’ism. Religion
about phenomena unheeded and even shunned by official
and Society Series, No.10. The Hague, 1978.
science, he belonged to the French Society of Magnetists.
Hypnotism, sleepwalking, clairvoyance, and similar phe-
Chelkowski, Peter J. ed. Ta Eziyeh: Ritual and Drama in Iran. New
York, 1979.
nomena strongly attracted him. He studied them as physical
phenomena resulting from unknown causes, an approach re-
Cole, J. R. I. Roots of North Indian Shiism in Iran and Iraq: Reli-
gion and State in Awadh, 1722–1859. Delhi, 1989.
sulting from his being a follower of the theory of animal
magnetism, called Mesmerism, expounded by Franz Anton
Fischer, Michael M. J. Iran, from Religious Dispute to Revolution.
Cambridge, Mass., 1980.
Mesmer (1734–1815).
Halawi, Majed. A Lebanon Defied: Musa al-Sadr and the Sh¯ı’ah
Magnetism brought Rivail in contact with spiritism. He
Community. Boulder, Colo., 1992.
was by then fifty-one years old and had consolidated his sci-
Korom, Frank. Hosay Trinidad: Muharram Performances in an
entific background. In the years 1854 and 1855, the so-
Indo-Caribbean Diaspora. Philadelphia, 2003.
called turning table and talking table invaded Europe from
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5090
KARDECISM
the United States and created an intense curiosity. Several
with evil, impurity, and ignorance) up to that of spiritual
people would sit around a table, hand in hand, in a state of
fullness.
mental concentration; after a certain lapse of time, the table
would begin to rotate, to produce noises, and even to answer,
God is the primary cause that generates the material and
in code, questions proposed by the participants. This prac-
the spiritual; the spirits are engendered by him, and although
tice became quite a fad, especially in the more elegant circles.
they receive a mission and submit to the law of constant
Rivail was introduced by magnetist friends to such sessions,
progress, they are endowed with free will. Spirits continually
which were already accepted by their promoters as demon-
progress toward perfection, and they fulfill their missions
strations of spiritual phenomena. He was initially skeptical
through successive reincarnations, not only on earth (consid-
about their authenticity but was soon to revise his opinion.
ered a planet of atonement) but also on other worlds. The
Under his supervision, the sessions were no longer dedicated
law of cause and effect explains human happiness or misfor-
to frivolous consultations and guessing games but became se-
tune as consequences of good or evil practiced in previous
rious study sessions.
incarnations. Christian charity is the supreme virtue (Christ
is considered the most elevated spirit that has ever incarnat-
Rivail considered such phenomena both relevant and
ed) that makes spiritual evolution possible; it is closely fol-
natural, though invisible, and believed one should adopt a
lowed in importance by the virtue of wisdom. As the locus
“positivist and not an idealist” attitude toward them. If the
of the activity of the developing but morally free spirits and
conditions in which such phenomena manifested themselves
as the product of evolution, the social world, even with its
hindered the use of common scientific instrumentation, he
injustices and inequalities, is seen as ultimately just, and the
believed that one should at least employ the scientific meth-
search for perfection is ruled by individualistic ethics.
od of “observation, comparison, and evaluation.”
It is a rather curious fact that Kardec remained practical-
Inspired by his own experiences, stimulated by illustri-
ly unknown for a long time outside French spiritist circles.
ous spiritists who supplied him with fifty notebooks contain-
Approximately sixty years after his death, Arthur Conan
ing messages from the souls of deceased persons, and guided
Doyle, as chairman of the London Spiritist League and hon-
by the spirits that conferred on him the role of codifier of
orary chairman of the International Spiritist Federation, only
spiritism, Rivail became Allan Kardec; he adopted this pen
devoted a few scanty pages to Kardec in one of the twenty-
name under the inspiration of one of his guiding spirits, who
five chapters of his comprehensive History of Spiritualism
revealed that it had been his name in a former incarnation,
(1926). There seem to be two related reasons for this obscuri-
in which he had been a druid in ancient Gaul. In 1857 he
ty: British spiritism did not accept the idea of reincarnation,
published his fundamental work, Le livre des esprits, which
and, except in France, Kardec’s claim to be the true codifier
contained 501 questions answered by the spirits themselves.
of spiritism by virtue of a mission entrusted to him by the
By the time of its twenty-second and definitive edition, the
spirits was not readily accepted. Although this role currently
number of questions had grown to 1,019.
tends to be universally accepted by spiritists, the name of
Kardec (or Rivail) is not mentioned in the main European
Thereafter followed his other works: Qu’est-ce-que le
encyclopedias, and he remains known only within spiritist
spiritisme? (1859); Le livre des médiums (1861); Refutation
circles.
aux critiques au spiritisme (1862); L’évangile selon le spiritisme
(1864); Le ciel et l’enfer, ou La justice divine selon le spiritisme
KARDECISM IN BRAZIL. Originally introduced in Brazil in
(1865); and La genèse, les miracles et les predictions (1868).
the middle of the nineteenth century in the form of “talking
The literature further includes his Œuvres posthumes, pub-
tables,” spiritism mainly attracted teachers, lawyers, physi-
lished in 1890, and an incalculable number of articles pub-
cians, and other intellectuals. One of the reasons for its ap-
lished over a period of eleven years in the Spiritist Journal,
peal was the pseudoscientific character of Kardecism. Karde-
issued by the Parisian Society for Spiritist Studies that had
cist groups were soon organized, first in Bahia (1865), and
been founded by Kardec in 1858 and of which he was the
later in Rio de Janeiro (1873, where the Brazilian Spiritist
chairman to his death in 1869.
Federation was created in the following year), Sa˜o Paulo
(1883), and gradually throughout the entire country. Karde-
Kardecism, as codified by Kardec, defines the spiritist
cism was already attracting large sectors of the urban middle
doctrine in this way: There are souls, or spirits, of deceased
class.
persons that are capable of communication with the living
through mediumistic phenomena. They belong to an invisi-
Although Kardec did not consider spiritism a religion
ble but natural world; there is no discussion of magic, mira-
(but rather a philosophy of science with religious implica-
cles, and the supernatural in Kardecism. This invisible and
tions), Kardecism in Brazil was soon to take on a religious
nonmaterial world is, as part of the natural world, susceptible
character, centering on the idea of charity, which led to th-
to experimentation, but, unlike the natural world, it is eter-
erapeutical practices such as the “pass.” Kardecism followed
nal and preexistent and is identified with goodness, purity,
the same pattern of evolution as positivism, which had al-
and wisdom. There is a spiritual hierarchy ranging from that
ready become a religion in Brazil, with an organized church
most closely identified with the material plane (and hence
and cult.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KARELIAN RELIGION
5091
The 1940 and 1950 censuses in Brazil showed an in-
BIBLIOGRAPHY
tense expansion of spiritism: Though its adherents did not
Sociological, anthropological, and historical studies on Kardecism
exceed 2 percent of the population in 1950, it was growing
are scarce. With respect to the historical aspects, one will
at a much more rapid pace than any other religion, including
search in vain for a single work by any specialist in the field;
Catholicism, the unofficial but dominant creed (then ad-
the only texts available are biographies of Kardec written by
hered to by about 90 percent of Brazil’s people). For this rea-
spiritist intellectuals. Among these the best are José Hercu-
lano Pires’s O espírito e o tempo: Introduça˜o histórica ao espiri-
son, the Catholic Church initiated an antispiritist campaign
tismo (Sa˜o Paulo, 1964), a scholarly and interesting work,
during the fifties.
and the voluminous book by Zeus Wantuil and Francisco
A distinguishing feature of Brazilian spiritism is the fact
Thiesen, Allan Kardec, pesquisa bibliográfica e ensaios de
that it is an almost exclusively urban phenomenon. In these
interpretaça˜o, 3 vols. (Rio de Janeiro, 1979–1980), which of-
regions, however, Kardecism is not the only spiritist current
fers a comprehensive analysis and represents the official view
that manifests itself. Another trend is that of Umbanda spir-
of Brazilian Kardecism on the life and work of its inspirer.
itism, a syncretic product of Afro-Brazilian religions under
Among sociological and anthropological studies, the following are
the influence of Kardecism. While Kardecism proper tends
worth mentioning: Cândido Procópio Ferreira de Camargo’s
to be a religion of those of the urban middle classes who have
Kardecismo e Umbanda: Una interpretaça˜o sociológica (Sa˜o
Paulo, 1961); Roger Bastide’s article “Le spiritisme au Bré-
been city-dwellers for several generations, drawing people
sil,” Archives de sociologie des religions 12 (1967): 3–16; and
who have a certain level of secular education and who are dis-
Maria Viveiros de Castro Cavalcanti’s work, O mundo invisi-
posed to accept its pseudoscientific discourse, Umbanda re-
uel: Cosmologia, sistema ritual e noçao de tempo no espiritismo
mains a religion of the unschooled lower classes of more re-
(Rio de Janeiro, 1968). The first two are solid sociological
cent urbanization. Unlike Kardecism, Umbanda is still
analyses of Kardecism in Brazil, with Umbanda as a counter-
linked to a magical conception of the universe.
point; studies solely dedicated to Kardecism, such as Caval-
canti’s interesting and lucid book on Kardecist cosmogony,
Currently, Kardecism and Umbanda encompass signifi-
are few and far between.
cant population groups in Brazil. The censuses, however, do
not register their extension, because both Kardecists and
Finally, one can mention the doctoral dissertation of J. Parke Ron-
Umbandists often also declare themselves to be Catholics, es-
shaw, “Sociological Analysis of Spiritism in Brazil” (Univer-
sity of Florida, 1969), which contains historical data and
pecially for social purposes such as christenings, marriages,
analyses, and Donald Warren, Jr.’s articles “The Portuguese
funerals, and statements given in official forms. In spite of
Roots of Brazilian Spiritism,” Luso-Brazilian Review 5 (De-
the evident importance of spiritism in Brazil—an impor-
cember 1968): 3–33, and “Spiritism in Brazil” in Journal of
tance that is easily verified by other indicators (e.g., the medi-
Inter-American Studies 10 (1968): 393–405.
um Chico Xavier’s book sales are exceeded only by those of
New Sources
the novelist Jorge Amado)—the census still reports the num-
Hess, David. Spirits and Scientists: Ideology, Spiritism, and Brazil-
ber of spiritists as approximately 2 percent.
ian Culture. University Park, Pa., 1991.
Despite census data to the contrary, it seems fairly cer-
Hess, David. Samba in the Night. New York, 1994.
tain that Umbandists outnumber Kardecists in Brazil.
Santos, José Luiz dos. Espiritismo: Uma Religia˜ Brasileira. Sa˜o
Though until the forties Kardecism was predominant, in the
Paulo, 1997.
sixties the situation was utterly reversed in favor of Umban-
Wulfhorst, Ingo. Discernindo os Espíritos: O Desafio do Espiritis-
da. It should be noted, however, that the fifties mark the
mo Eda Religiosidade Afro-brasileira. Sa˜o Leopoldo, Brazil,
stage of the greatest penetration of Umbanda by Kardecism.
1989.
Up to that time, Umbanda subsisted as a semiclandestine
cult under severe and tyrannical police control. From 1953,
LISIAS NOGUERA NEGRA¯O (1987)
Revised Bibliography
many Kardecists, disenchanted with the prevailing intellectu-
alism of their spiritist centers, turned to Umbanda. Under
their leadership, federations were organized that grouped
Umbanda adherents into units called “yards” and “tents,”
KARELIAN RELIGION. The term Karelia (Finnish,
and these disenchanted Kardecists took over, in a less repres-
Karjala) has had different meanings throughout history. His-
sive and more persuasive fashion, the control that formerly
torically, it was the borderland between Finland and Russia
had been exercised by the police. The price Umbanda had
where most Karelians (Finnish, karjalaiset) lived. At present,
to pay for this protection was its adjustment to a rationaliza-
it typically refers to specific areas in contemporary Russia and
tion and moralization of the cult—processes that were based
Finland.
on Kardecist models. One may therefore conclude that al-
Recent Russian-Finnish research—around Lake Ladoga
though Umbanda has grown much more rapidly than Karde-
and on the Karelian Isthmus, on the Elk and Guri Islands,
cism over the last few decades, the influence of Kardecism
in Bes Nos and other places on the shores of Lake Onega,
in the context of Brazilian spiritism continues to remain
around Uiku River, and in territories near the Kola Peninsu-
strong.
la—has uncovered abundant archaeological evidence dating
SEE ALSO Afro-Brazilian Religions.
back to around 8000 BCE that indicates migrations by several
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5092
KARELIAN RELIGION
indigenous peoples with an ethnic makeup different from
kingdom of Sweden brought the Lutheran faith to Karelia,
today. Elk, snake, bear, swan, goose, and sturgeon motifs
and the religious border between East and West was accord-
found on objects from graves and petroglyphs dating back
ingly moved eastward. As Finland remained Lutheran, Kare-
to 5500 BCE provide hints of sacred histories, animal ceremo-
lians with different faiths moved across the Russian-Finnish
nialism, and mythological pairings of man and animals.
border repeatedly until 1809, when Finland was annexed by
Czarist Russia.
The experience of living in a spatial and temporal bor-
derland, and of being compelled to cross back and forth over
The October 1917 Revolution both led to Finland’s in-
various borders as the countries, cultures, and peoples
dependence and brought new divisions into Karelian history.
around them change, has deeply affected Karelians. It has
Some Karelian-speaking territories became part of Finland
shaped their lifestyle, their worldview, and their religious
in the north (villages in Kuusamo, Suomussalmi, Kuhmo, Il-
history.
omantsi) and south (Border and Ladoga Karelia). Within the
Karelian-speaking territory not ceded to Finland, there was
The Karelian language belongs to the Baltic Finnish
disagreement about whether Karelians should attempt to
group, and is closest to Finnish, with its “Karelian dialects”
form an independent nation, should integrate themselves
being spoken in the two eastern Finnish provinces of South
into the Soviet system, or should seek integration with Fin-
Karelia (Etelä-Karjala) and North Karelia (Pohjois-Karjala).
land. After the pro-Soviet side won out, pro-independence
People living in the Autonomous Republic of Karelia in Rus-
Karelians staged the Karelian Rebellion of 1921–1922; when
sia speak five Baltic Finnish languages: Veps, Lude, and three
this was crushed around 33,500 refugees fled to Finland. The
forms of Karelian—Livvi or Onega, South, and Viena
largest wave of refugees in Finnish history crossed the newly
(Dvina) or White Sea Karelian. The Izhor (inkeroiset) popu-
established Soviet-Finnish border, culminating in February
lation (consisting of around 1,000 people living in Ingria on
1922 with thousands of refugees who came from White Sea
the south coast of the Gulf of Finland) speaks a Karelian-
(Dvina) Karelia to northern Finland. Accounts of this exo-
related language.
dus, consisting of the oral and written narratives of refugees
Tver, Novgorod, and Pihkova Karelians are descendants
and eyewitnesses (detailed in Pentikäinen, 1978, and Hyry,
of Orthodox refugees who escaped from Karelian and Ingri-
1994), show that interaction between the inhabitants of
an territories around Lake Ladoga to remote settlements
northern Finland and White Sea Karelia continued in spite
throughout Russia after the signing of the Stolbova Treaty
of the border. Refugees crossed back and forth over the bor-
of 1617, which allowed Sweden to annex the province of In-
der publicly and then secretly, using the routes they already
gria. This exodus left space for Lutheran settlers entering
knew and engaging in traditional cultural practices, such as
from Savo (savakot) and Karelia (äyrämöiset). Lutheran iden-
singing poems, together with people from the other side.
tity became one of the main features of Ingrians, who en-
Soon, however, the border was totally closed, and Dvina Ka-
dured Siberian exile after World War II, then relocated to
relians living on both sides became divided from one
Karelia, Estonia, and the district of St. Petersburg, and since
another.
1990 to Finland, where around 25,000 Ingrians have entered
The narratives of the refugees indicate the strong influ-
as returnees. Today, their total population numbers around
ence of the Dvina Karelian tradition. The refugees who told
100,000.
and sang their history to Finnish scholars (Samuli Paulahar-
ju, Martti Haavio, Pertti Virtaranta, Juha Pentikäinen, Katja
Throughout the course of the nineteenth and twentieth
Hyry, etc.) expressed themselves in the language of oral nar-
centuries, violent religiously based transfers, Russian coloni-
rative and epical poetry, using Karelian genres such as the
zation, and Soviet deportation policies kept the Karelian por-
rune and the lament and calling on legends of the saints and
tion of the population small wherever Karelians lived. Kare-
folk tales. In the descriptions of the eyewitnesses to their
lian speakers in the Autonomous Republic of Karelia number
flight, however, the refugees are considered as a kind of
less than 60,000, under 10 percent of the total population.
crowd or mass. They are seen either as part of “Us”—that
A group of around 30,000 Tver Karelians are the strongest
is, as relatives of the Finns—or as the “Other”: a poor, help-
Karelian ethnic group in Russia, both demographically and
less people who need our (Finns’) help. The attitude of these
culturally.
eyewitnesses—shared by some Finnish scholars at the time—
Karelian history has been shaped by both political and
was somewhat Social Darwinist: Dvina Karelians are thought
religious struggles between Eastern and Western power blocs
of as a vanishing people whose traditions should be recorded
within Northern Europe. Along with other territories occu-
for posterity’s sake, but whose language should be replaced
pied by indigenous peoples, such as Livonia, Vatja (Votes),
by Finnish as soon as possible. The problem of Karelian-
Ingria, Estonia, Bjarmia, Scridfinnia, and so on, Karelia was
language instruction remained unsolved today, due to this
divided between East and West—for the first time by the
attitude, and because of the fact that for a number of Kare-
Pähkinänsaari Treaty of 1323, which split it between Sweden
lian languages no textbooks have been written and no writing
and Novgorod (Russia). Religiously, Karelia was a battle-
systems have been devised.
ground between Western (Roman Catholic) and Eastern
Karelian literature is largely comprised of long narratives
(Byzantine Greek Orthodox) churches. Wars won by the
written by peasant authors, such as Antti Timonen. Excep-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KARMAN: HINDU AND JAIN CONCEPTS
5093
tional length is also characteristic of Karelian oral expression,
Harva, Uno. Suomalaisten muinaisusko. Porvoo, Finland, 1948.
such as the epic cycles of White Sea Karelian male singers,
Hyry, Katja. Rajakansan historia ja historian kokijat: Vienankar-
which served as the basis for Elias Lönnrot’s celebrated Kal-
jalaisten vaiheet 1900–luvulla. M.A. thesis, Helsinki Univer-
evala (1835; rev. 1849). The folklore repertoire of refugees
sity, 1994.
such as Marina Takalo (studied by Juha Pentikäinen, 1971,
Järvinen, Irma-Riitta. “Communication between the Living and
1978) included all the basic genres of Karelian oral narrative
the Dead through Rituals and Dreams in Aunus Karelia.” In
and poetry. With their conservative Old Believer mentality
Folklore and the Encounters of Traditions: Proceedings of the
and deep roots in folk culture, refugees favored those narra-
Finnish-Hungarian Symposium, 18–20 March 1996, Jyväs-
tives and poems with the highest testimonial value concern-
kylä, Finland. Edited by P. Suojanen and R. Raittila. Jyväs-
kylä, Finland, 1996.
ing their orally transmitted folk and religious beliefs.
Kaukonen, Väinö. Elias Lönnrotin Kalevalan toinen painos. Suo-
Self-identification as Old Believers, together with strong
malaisen Kirjallisuuden Seuran toimituksia no. 247. Helsin-
female leadership and emphasis on oral memory, has contin-
ki, 1956.
ued to characterize Russian- and Karelian-based Eastern Or-
Kuusinen, Otto-Ville. “Kalevala ja sen luojat.” In Kalevala: Kar-
thodox Christianity in Finland, in spite of official ties to the
jalais-suomalainen kansaneepos. Edited by G. Stronk.
Byzantine Orthodox Church in Istanbul. The first contacts
Petroskoi, Russia, 1956.
between Baltic Finnish people and Russian Old Believers
Pentikäinen, Juha. Marina Takalon uskonto: Uskontoantropolo-
took place as early as 800 CE in Novgorod in the heart of
ginen tutkimus. Suomalaisen kirjallisuuden Seuran toimituk-
Finnish-speaking Russia. Vocabulary related to various as-
sia no. 299. Helsinki, 1971.
pects of Christianity (risti, cross; kirkko, church; pappi,
Pentikäinen, Juha. Oral Repertoire and World View: An Anthropo-
priest: raamattu, the Bible) was taken into Finnish from Rus-
logical Study of Marina Takalo’s Life History. Folklore Fel-
sian via these encounters. It was through Karelia that Finland
lows’ Communications no. 219. Helsinki, 1978.
absorbed the first traces of Christianity in its Russian Pre-
Pentikäinen, Juha. Kalevala Mythology. Translated and edited by
Orthodox form, before the 1651 schism that led to the divi-
Ritva Poom. Folklore Studies in Translation series. Bloom-
sion of Russian Eastern Christianity into the mainstream
ington, Ind., and Indianapolis, 1989.
Russian Orthodox Church and the conservative Old Faith
Pentikäinen, Juha, ed. “Silent as Waters We Live”: Old Believers in
(staraya verh). Karelia, with its location far from the centers
Russia and Abroad: Cultural Encounter with the Finno-
Ugrians. Studia fennica Folkloristica no. 6. Helsinki, 1999.
of the Czarist empire, became the favored locale for Old Be-
liever monasteries and a place to which Old Believers could
Ravdonikas, F. V. Lunarnye znaki v naskal’nyh izobrazeniah
Onetskogo ozera. Novosibirsk, Russia, 1978.
escape. The majority of Karelians throughout Russia were
Old Believers, to such an extent that the terms Karelian and
Stoljar, A. D. Dreivneishi plast petroglifov Onetskogo ozera. Peter-
burgski archeologicheski vestnik no. 9. Saint Petersburg,
Old Believer became synonymous.
1995.
The Kalevala, Finland’s national epic, has its own im-
Stoljar, A. D. “Oleneostrovski mogilnik i yego progrebeniye n 100
portance for Karelians, as a sacred history rather than as a re-
kak agenty mezolitischeskogo etnokulturogeneza Severa.” In
cording of oral mythology. Lönnrot, the author of the Kal-
Drevnosti Severo-Zapadnoi Rossii, edited by V. M. Massova,
evala and also a collector of runes, became the mythographer
E. N. Nosova, and E. A. Râbinina. Saint Petersburg, 1995.
of the Finns. His research led him to identify the ancient
Timonen, Antti. Me karjalaiset. Petroskoi, Russia, 1971. A novel.
basis of Finnish religion in the worship of Ukko, the Finnish
Virtaranta, Pertti. Vienan kansa muistelee. Porvoo, Finland, 1958.
deity of thunder.
JUHA PENTIKÄINEN (2005)
Michael (Mikael) Agricola, the Lutheran reformer of
Finland, was the first to recognize the cultural divide be-
tween East and West. The preface to his translation of the
KAREN RELIGION SEE SOUTHEAST ASIAN
Psalter includes two lists of gods, one set worshiped by
RELIGIONS, ARTICLE ON MAINLAND CULTURES
Tavastians in the west, the other by Karelians in the east.
Uno Harva’s Suomalaisten muinaisusko (The ancient religion
of the Finns, 1948), and Martti Haavio’s Karjalan jumalat
KARMAN
(Karelian gods; 1959) both owe a debt to this early docu-
This entry consists of the following articles:
ment on the most important border inside Finland—that be-
HINDU AND JAIN CONCEPTS
BUDDHIST CONCEPTS
tween East and West. Finnish religion has Western (Finn-
ish), Karelian, and Northern nuances.
KARMAN: HINDU AND JAIN CONCEPTS
SEE ALSO Finnish Religions; Finno-Ugric Religions.
As diverse as the culture of India may be, one common as-
sumption undergirds virtually all major systems of South
BIBLIOGRAPHY
Asian religious thought and practice: a person’s behavior
Alho, Olli, et al., eds. Finland: A Cultural Encyclopedia. Finnish
leads irrevocably to an appropriate reward or punishment
Literature Society editions no. 684. Helsinki, 1987.
commensurate with that behavior. This, briefly stated, is the
Haavio, Martti. Karjalan jumalat. Porvoo, Finland, 1959.
law of karman.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5094
KARMAN: HINDU AND JAIN CONCEPTS
The importance of the idea of karman is not limited to
of these traditions share the same teachings regarding the na-
the religions of the subcontinent. It is likely that no other
ture of action, the desirability of the result, and the effective
notion from the sacred traditions of India has had more in-
mechanism that links the two. On the contrary, views vary
fluence on the worldviews assumed by non-Indian cultures
widely in this regard. This means that there is no single
than that of karman, for in it lie the foundations of a wealth
South Asian notion of karman.
of astute ethical, psychological, metaphysical, and sacerdotal
EARLY RITUAL NOTIONS. The poets who composed the sa-
doctrines. Translations of the word (Pali, kamma; Tib., las;
cred hymns of the Vedic Mantrasam:hita¯s in the twelfth cen-
Chin., yeh or yin-kuo; Jpn., go¯ or inga) have for centuries
tury BCE sang praises to the gods in reverential, supplicatory,
been a key part of the religious lexica of the various canonical
and sometimes cajoling tones. Deities were powerful beings
languages of Asia. Furthermore, the word karma (the nomi-
who held control over the lives of the people on earth but
native form of the Sanskrit karman) has in the last few gener-
who nevertheless could be propitiated and pleased with sacri-
ations also entered the vocabulary of European languages,
ficial gifts and who enjoyed staged battles, chariot racing,
appearing first in technical Indological works and more re-
gambling, and riddles. The Vedic Bra¯hman:as (900 BCE and
cently in popular or colloquial use as well.
the following few centuries) present images of elaborate
The term is based on the Sanskrit verbal root kr, mean-
priestly actions performed in order to offer these gifts and
ing “act, do, bring about,” the idea being that one makes
entertainment to the gods, to the advantage—wealth, pres-
something by doing something; one creates by acting. It may
tige, immortality, and so on—of the person who paid for the
be of interest to note that some linguists see the Indo-
expert services of the priests and their assistants. This sacer-
European root of the word karman (namely, *kwer, “act”)
dotal performance was known as karman, the “action” of the
in the English word ceremony, which can mean either a com-
ritual undertaken to gain a particular end. The rites were
bination of sacred acts performed according to prescribed
often quite expensive and the rewards not always immediate-
norms or a system of proper behavior that keeps the world
ly realized, so the patrons were reassured that their support
running smoothly. The same meanings hold, in part, for kar-
of the ceremony would benefit them sometime in the future.
man. Originally referring to properly performed ritual activi-
Arguments in defense of this notion that the reward for
ty, the notion was ethicized to include the larger meaning
one’s present ritual action is reaped in the future laid part
of any correct activity in general. Granting this view, the reli-
of the foundation for later doctrines of rebirth and transmi-
gious, social, and medical philosophers of India, particularly
gration. This development can be seen in the use of syno-
those intrigued by the doctrines of rebirth and of the origins
nyms or near-synonyms for the word karman. For instance,
of suffering (but also of the related problems of the source
the term is:t:a¯pu¯rta (“the fulfillment of that which is desired”)
of personality and the justification of social status), expanded
refers to a kind of package, as it were, that holds all of one’s
the meaning of the term. Under this new understanding,
deeds and that precedes a person to the world to come, where
karman came to denote the impersonal and transethical sys-
it establishes a place for him (see R:gveda 10.14.8). The
tem under which one’s current situation in the world is re-
Bra¯hman:as also describe the rewards as events that will hap-
garded as the fruit of seeds planted by one’s behavior and dis-
pen in the future and describe the sacrifice as apu¯rva-karman,
positions in the past, and the view that in all of one’s present
“action the results of which have not yet been seen.”
actions lie similar seeds that will have continuing and deter-
minative effect on one’s life as they bear fruit in the future.
Evidence suggests that in the early Brahmanic period
the gods were generally free to accept or reject the gifts and
The language here (“fruit,” Skt., phala; “seed,” b¯ıja;
therefore were not bound to respond in kind. Over time,
etc.) is remarkably consistent throughout the long history of
though, the Pu¯rva M¯ıma¯m:sa¯ philosophers came to view the
Indian religions. Some scholars have seen in it evidence of
ritual in magical terms: if the priest performed the prescribed
an agricultural ecology and value system that knows that a
actions correctly, he controlled the gods, who were forced by
well-planted field yields good crops; that the land will give
the devices of the ritual to respond in the way the priest de-
birth repeatedly if healthy seeds find in it a place to take hold
sired. Conversely, the priest’s improper performance of the
and grow; that the apparent death of a plant in the fall is
ceremony led to the certain ruin of him or his patron. Kar-
merely the process by which that plant assures its own renew-
man for these thinkers therefore did not involve divine will;
al in the spring; and that life, therefore, is a periodic cycle
it was part of an impersonal metaphysical system of cause
of death and then rebirth determined by the healthy or un-
and effect in which action brought an automatic manipulat-
healthy conditions of former births.
ed response. The Brahmanic notion of karman thus centers
Possibly originating, therefore, in the agrarian experi-
on the view that a person is born into a world he has made
ence of aboriginal India, the notion of an impersonal law of
for himself (see Kaus:¯ıtak¯ı Bra¯hman:a 26.3, for example). This
cause and effect subsequently pervaded the (often decidedly
meant that every action in the ritual was important and that
un-agricultural) ideology of Vedic ritualism, Yoga, the Ve-
every action brought a result of one kind or another, and did
danta, Ayurvedic medicine, and sectarian theism, and it
so irrevocably.
stands as a central theme in the lessons recorded in the scrip-
RENUNCIANT NOTIONS. The renunciant tradition provided
tures of Jainism and Buddhism. This is not to say that all
two principal contexts for the elaboration of the notion 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
KARMAN: HINDU AND JAIN CONCEPTS
5095
karman. The Upanis:ads speculate, among other topics, on
or through the intervention of a personal supreme deity who
human action and its consequences in this and in subsequent
lived beyond the karmic realm.
lives; the Yoga literature provides a more systematic and
Karman in classical Yoga. The practioners and philos-
pragmatic approach to liberation from the consequences of
ophers of classical Yoga agreed with the Upanis:adic idea that
action.
one’s circumstances are determined by one’s actions. Like
Karman in Upanisadic thought. The composers of the
some of those sages they, too, understood karman to involve
major Upanis:ads (eighth to fifth century
what might be called a substance that leads the soul from one
BCE) generally saw
two paths open to the deceased at the time of death. The
body to another as it moves from birth to birth. Patañjali’s
lower path, one on which the person eventually returns to
Yoga Su¯tra (the pertinent passages of which were composed
earth in a subsequent birth, is described as the “way of the
in the second century BCE) analyzes the ways in which such
fathers” (pitr:ya¯na) and is traveled by those who perform the
transfer takes place. Any act (karman) performed as a result
rituals in hopes of material gain. The higher path, the way
of desire creates what is known as karma¯´saya, the “accumula-
of the gods (devaya¯na), is one that does not lead to rebirth
tion for receptacle of karman” that is either beneficial or
on earth and is taken by those who have renounced worldly
harmful depending on the quality of the act itself. Karma¯´saya
ends and practice austerities in the forest. Br:hada¯ran:yaka
can be understood as a kind of seed that will mature either
Upanis:ad 4.4.4 describes the process with the doctrine that,
in one’s present life or, if not fully ripened, in another life-
as a goldsmith forms a new and more beautiful form out of
time (adr:s:t:ajanman). That seed includes one’s personal dis-
a rough nugget, the soul leaves the body at death and fash-
positions (sam:ska¯ra¯), including those themes or memories
ions for itself a new and fairer body. Human happiness is said
imprinted at the unconscious levels of one’s mind (va¯sana¯)
to be a fraction of the bliss known by a celestial man-spirit
and that serve as the source of the five habitual personal “af-
(manus:ya-gandharva), which in turn is meager compared to
flictions” (kle´sa) of ignorance, ego, hatred, and the will to live
that of a karma-deva, a human who has become a god by his
(see Yoga Su¯tra 2.3). The kle´sas tend to reinforce the igno-
actions (see Taittir¯ıya Upanis:ad 2.8 and Br:hada¯ran:yaka
rant notion that activity directed to some end is desirable,
Upanis:ad 4.3.33).
and in so doing are the main reason that people stay trapped
in the wheel of life and death. If a person dies before all of
Seeking to understand the Brahmanic notion of the rit-
his accumulated karma¯´saya is gone, that karmic residue joins
ual in anthropological rather than sacerdotal terms, the
with his unfulfilled thoughts, desires, and feelings in search
Upanis:adic sages taught that all physical and mental activity
of a new body whose nature is receptive to his pertinent dis-
was an internal reflection of cosmic processes. Accordingly,
positions, which it then enters (a¯pu¯ra, literally, “making
they held that every action, not only those performed in the
full”) and through which the unripened seeds can come to
public ritual, leads to an end. One’s behavior in the past has
fruit. A person with a passion for food thus may be reborn
determined one’s situation in the present, and the totality of
as a hog. One eventually gets what one wants, even though
one’s actions in the present construct the conditions of one’s
it may take more than one lifetime to do so. That’s the prob-
future. Thus, the Br:hada¯ran:yaka Upanis:ad’s assertion that
lem. For in order to get what one wants one needs a body,
“truly, one becomes good through good action, bad by bad”
and in order to have a body one needs to be born. Birth leads
(3.2.13) represents the encompassing Upanis:adic scope of
to death, death leads to birth. Unless the cycle is broken it
karman. From this notion arises the idea that one’s worldly
never stops.
situation and personality are determined by one’s desire: that
Without values directed towards the attainment of
is, one’s desire affects one’s will; one’s will leads one to act
worldly goals a person will cease to behave according to one’s
in certain ways; and, finally, one’s actions bring proportion-
desire, and without that desire no karmic residue, no unma-
ate and appropriate results.
tured seeds, can accumulate. Classical Yoga, as represented
For the most part the composers of the major Upanis:ads
by Patañjali, presents the yogin with a set of practices by
disdained actions performed for the resulting enjoyment of
which that person can be free of the karmic process. In these
worldly pleasures, for such material pursuit necessarily leads
exercises the meditator reduces the power of the kle´sas by
from one birth to another in an endless cycle characterized
performing actions that are opposed to their fulfillment. Tra-
by dissatisfaction and, thus, to unhappiness. “The tortuous
ditionally this meant the practice of ascetic renunciation of
passage from one birth to another [sa¯mpara¯ya] does not shine
physical pleasures. Thorough renunciation makes it impossi-
out to who is childish, careless and deluded by the glimmer
ble for new kle´sas to arise, and through more and more subtle
of wealth,” the Lord of the Dead tells Naciketas. “Thinking
meditations the kle´sas that remain from the past are diluted
‘this is the world, there is no other,’ he falls again and again
so much that they no longer produce any karma¯´sayas. At this
under my power” (Kat:ha Upanis:ad 2.6).
point the person (purus:a) within the yogin no longer needs
a body because it no longer has any unripened karma¯´saya,
The only way to break this turning wheel of life and
and at the death of the present body the person no longer
death (sam:sa¯ra) was to free oneself of the structures and pro-
migrates to another life. The purus:a is liberated from the en-
cesses of karman. The composers of the Upanis:ads under-
trapping demands of habitual afflictions and experiences
stood this liberation to take place through the practice of yoga
kaivalya, “autonomy.”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5096
KARMAN: HINDU AND JAIN CONCEPTS
ONTOLOGICAL OR MATERIALISTIC NOTIONS. The terms
j¯ıva determines the conditions and circumstances of its sub-
b¯ıja (seed), karma¯´saya (karmic residue), va¯sana¯ (pychological
sequent rebirth. Competitive, violent, self-infatuated people
traces) and others suggest a general South Asian notion that
carry the heavy weight of karman and will sink downwards
some “thing” is created and left behind by one’s actions. At
through their many lifetimes as demons or as animals who
times the Upanis:ads describe karman almost as a substance
live by eating others; gentle, caring, and compassionate be-
that not only influences one’s subsequent births but can also
ings gradually cleanse their j¯ıva of its encumbering karman
be passed from one person to another, especially from father
and rise through rebirth towards enlightenment.
to son. The Kaus:¯ıtak¯ı Bra¯hman:a Upanis:ad, for example, tells
Even unintentional violence, however, burdens the j¯ıva
a dying father to transfer his karman to his son, saying “let
with the stain of karman. Thus, Jain tradition demands abso-
me place my deeds in you” (2.15). The son is then able to
lute ahim:sa¯, a complete unwillingness to kill or injure any
perform atoning actions such that the father is free of the
and all living beings. Jains, therefore, are absolute vegetari-
consequences of his own improper behavior (see
ans, some of whom in their attempts to sustain themselves
Br:hada¯ran:yaka Upanis:ad 1.5.17).
with food in which no living creature has met a violent death
Ritual practices in which one either supplements or at-
refuse even to pick the living fruit from a tree, waiting instead
tenuates the karman acquired by one’s ancestors take place
until it falls of its own (ripened) accord.
in various Vedic ´srauta and Hindu pu¯ja¯ ceremonies that have
A j¯ıva finds release from the bonds of rebirth only when
been practiced from the time of the Bra¯hman:as and
it stops accumulating new karman and removes that karman
Dharma´sa¯stras. They appear, for example, in the postclassi-
already there. This is described as a long and arduous task,
cal sa¯pin:d:¯ıkaran:a and bali rites in which balls of rice and
one that takes many lifetimes to complete. Although the nec-
other foods that are said to contain an ancestor’s karman are
essary discipline can be practiced by lay members of the com-
ceremonially offered to the deceased.
munity, traditionally only renunciate Jains can undergo the
Indian medical texts of the Ayurveda traditions agree
physical austerities and rigorous mental concentration that
that karman is a material entity of sorts that can be passed
are needed to remove the karman from their j¯ıvas. One who
from one generation to the next. The Caraka Sam:hita¯ (first
through many ascetic lifetimes has completely removed the
century CE), for example, maintains that karman resides in
cloud of karman from his j¯ıva is known as a siddha (one who
substance (dravya) and is one of the causes of physical health
has “succeeded”) or a kevalin, an omniscient and enlightened
and disease. Accordingly, karman is seen as an important fac-
being. The paradigmatic ascetic here is Maha¯v¯ıra
tor in medical etiologies and in techniques of fertility in
Vardhama¯na, who, according to Digambara tradition, wan-
which a father and mother perform certain actions so that
dered naked and homeless as he practiced nonviolence,
the embryo (garbha, sometimes called the “seed”) can acquire
truthfulness, honesty, renunciation of possessions, and sexual
the most desirable or auspicious karmic elements and thus
abstinence.
be born a strong person with admirable character.
A THEISTIC NOTION: KARMAN IN THE BHAGAVADG¯ITA¯.
By far the most assertive thinkers concerning the materi-
Some thinkers in ancient India found practical problems in
al nature of karman, however, are the Jains, who since the
the renunciate attitude towards karman. For example, if all
sixth century BCE have followed the teachings and traditions
actions, including good actions, bring consequences, don’t
surrounding the founder of Jainism, Maha¯v¯ıra Vardhama¯na.
all actions, including good actions, lead inevitably to rebirth?
Central to Jain doctrine in general is the notion that the liv-
Does this mean that one must renounce all actions, even
ing entity (j¯ıva, “life”) within a person is by nature blissful
good ones? Isn’t renunciation itself an act, and therefore con-
and intelligent. Traditional teachings sometimes describe the
stitutive of karmic residue; isn’t the desire for liberation still
j¯ıva as a pure, colorless, and transparent energy and maintain
a desire? Doesn’t the final end of renunciation of all action
that all of the infinite creatures in the universe—including
result in willful death, since one must actively eat and breathe
animals, plants, and rocks as well as human beings—possess
in order to live; yet isn’t suicide itself considered an evil and
such an ethereal crystalline life within them. But, also ac-
thus entrapping action?
cording to Jain thought, the spatial world occupied by the
The author or authors of the Bhagavadg¯ıta¯ (c. first cen-
j¯ıvas is permeated with a kind of subtle dust or stained liquid
tury BCE) seem to have been aware of these problems. Gener-
that has existed since time immemorial and that “sticks,” as
ally supportive of the value of disciplined meditation (see
it were, to each j¯ıva, soiling and infecting its original nature
Bhagavadg¯ıta¯ 6.10–6.13), those philosophers nevertheless
with a color (le´sya), the hue and intensity of which corre-
saw the impossibility of complete inaction, for “even the
sponds to the amount of desire, hatred, and love with which
maintenance of your physical body requires activity” (3.8).
that being performs any given action. This glutinous blurry
stuff is karman. Virtuous and selfless action attracts to the
Noting that one cannot remain inactive, and aligning
j¯ıva the lighter and less cloudy colors, which hardly obscure
themselves with the social philosophy presented in the
the j¯ıva’s nature at all, compared to the dark and muddy col-
Dharma´sa¯stras and related Hindu orthodox literatures on
ors brought together by acts engendered in self-concern. The
law outlining specific responsibilities incumbent on people
amount and color of the karman that adheres to any given
in various occupations and stages of life, the authors 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
KARMAN: BUDDHIST CONCEPTS
5097
Bhagavadg¯ıta¯ present the idea that one should perform those
Farquhar, J. N. “Karma: Its Value as a Doctrine of Life.” Hibbert
actions that are obligatory (niyata) to one’s position in soci-
Journal 20 (1921–1922): 20–34.
ety (svadharma), and the better one performs those actions
Glasenapp, Helmuth von. The Doctrine of Karman in Jain Philoso-
the purer their result (Bhagavadg¯ıta¯ 18.23, 2.31). Personal
phy. Translated by G. Barry Gifford. Bombay, 1942.
preference should have nothing to do with one’s duties. In
Hall, Rodney. The Law of Karma. Canberra, 1968.
fact, to perform someone else’s responsibilities well is worse
Henseler, Éric de. L’âme et le dogme de la transmigration dans les
than performing one’s own badly (3.35, 18.45–48).
livres sacrés de l’Inde ancienne. Paris, 1928.
The Bhagavadg¯ıta¯ justifies its teaching with a theologi-
Kalghatgi, T. G. Karma and Rebirth. Ahmadabad, 1972.
cal argument: social responsibilities arise from divine law
(Bhagavadg¯ıta¯ 3.15a). Therefore, priests should perform rit-
Keyes, Charles F., and E. Valentine Daniel, eds. Karma: An An-
uals, soldiers should fight battles, and merchants should con-
thropological Inquiry. Berkeley, 1983.
duct the affairs of business (18.41–44) not because they want
O’Flaherty, Wendy Doniger, ed. Karma and Rebirth in Classical
to but because it is ordained by God to do so. If done proper-
Indian Traditions. Berkeley, 1980.
ly, such action cannot be considered evil and therefore does
Silburn, Lilian. Instant et cause: Le discontinu dans la pensée philo-
not lead to rebirth.
sophique de l’Inde. Paris, 1955.
But if action itself does not lead to rebirth, then what
Steiner, Rudolf. Die Offenbarungen des Karma: Ein Zyklus von elf
does? The authors of the Bhagavadg¯ıta¯ supported the general
Vorträgen. Dornach, 1956.
South Asian notion that karmic action arises from desire;
WILLIAM K. MAHONY (1987)
from this idea they developed the doctrine that it is the desire
for certain results, and not the action itself, that gives rise to
the mechanism of karmic processes. For these sages, freedom
from the bonds of karman comes not when one ceases acting
KARMAN: BUDDHIST CONCEPTS
but when one acts without desire, when one renounces the
The Indian religious worldview emerging about the time of
attachment one has for the fruits of one’s actions
the Buddha centered on three interrelated notions: rebirth,
(Bhagavadg¯ıta¯ 4.19–23).
karman, and liberation. These concepts informed the cos-
mology, eschatology, and soteriology of the developing tradi-
According to the Bhagavadg¯ıta¯ and similar devotional
tions, which taught that sentient beings have been reborn re-
texts, this renunciation of desire for specific ends can be ob-
peatedly in diverse forms of life, in places ranging from
tained only through bhakti-yoga, the loving surrender to
various hells to the highest heavens, over vast tracks of time.
God’s will. Ritual actions properly performed are meritori-
This process of rebirth is guided and even generated by the
ous, and ascetic meditation leads to release. But these two
force of a person’s actions (karman), which possess the power
modes of action either require wealth or are difficult to per-
of inevitably working their consequences. Thus, deeds in the
fect. Purportedly quoting Kr:s:n:a (that is, God) himself, the
present will unfailingly bear their fruit in this or a future life,
Bhagavadg¯ıta¯ offers a theological response to these difficul-
and present conditions, pleasurable or disagreeable, includ-
ties: “Those who dedicate all of their actions [karman] to Me,
ing one’s form of existence, length of life, social station, and
intent on Me, with unwavering discipline, meditating on
personal appearance, are the effects of deeds performed in the
Me; those who revere Me—for those I am the Savior from
past. The span of one’s existence through cycles of birth and
the sea of the cycle of deaths” (12.6–12.7b); those who see
death (sam:sa¯ra) stretches back endlessly into the past and will
their actions as God’s actions and the results as God’s will
continue without limit into the future, unless liberation is
“are also liberated from the traps of karman” (mucyanti te’pi
attained. The understanding of the mechanism of karmic
karmabhih:, 3.31d).
bondage and the nature of emancipation evolved variously
SEE ALSO Bhagavadg¯ıta¯; Bhakti; Dharma, article on Hindu
within the different traditions, and—although notions of
Dharma; Jainism; Maha¯v¯ıra; Upanis:ads; Yoga.
karman are also found in pre-Buddhist Upanis:ads and in Jain
thought—the precise relationships among the traditions re-
BIBLIOGRAPHY
mains uncertain.
Bhattacharyya, Haridas. “The Doctrine of Karma.” Visva-Bharati
KARMAN IN EARLY BUDDHIST THOUGHT. The concept of
Quarterly 3 (1925–1926): 257–258.
karman as causal action and its consequence is often said to
Bhattacharyya, Haridas. “The Brahmanical Concept of Karma.”
be the cornerstone of Buddhist philosophy and its basis for
In A. R. Wadia; Essays in Philosophy Presented in His Honor,
explaining human existence and the physical world. It is,
edited by Sarvepalli Radhakrishnan et al., pp. 29–49. Ma-
however, less a clearly articulated doctrine than an elemental
dras, 1954.
insight, in terms of which Buddhists have apprehended the
Bhattacharyya, Kalidas. “The Status of the Individual in Indian
temporal, existential dimension of human life rooted in the
Metaphysics.” In The Status of the Individual East and West,
realization of non-self. Perhaps the most distinctive aspect of
edited by Charles A. Moore, pp. 29–49. Honolulu, 1968.
Buddhist thought within the Indian context, non-self is ex-
Dilger, D. Der indischer Seelungswanderungsglaube. Basel, 1910.
pressed in the early tradition as the rejection of the bifurca-
Falke, Robert. Die Seelenwanderung. Berlin, 1913.
tion of experience into subject and object (five aggregates),
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5098
KARMAN: BUDDHIST CONCEPTS
and further as release from painful, repetitive existence
acts may in fact be injurious. The monk Na¯gasena explains
through the eradication of delusional egocentric craving (de-
that since the offering of a meal to S´a¯kyamuni by Cunda
pendent arising).
was done with good intentions, even though the Buddha
fell ill and died upon eating it, Cunda was not at fault (Milin-
Although karman in Indian thought originally presup-
dapañha).
posed an enduring entity as both agent of action and recipi-
ent of rebirth, it also appears in legendary accounts of the
This emphasis on intention as determinate of the quali-
Buddha’s enlightenment. The early tradition teaches that he
ty of acts was developed by early Buddhists through various
attained three insights during the three watches of the night
classifications. All human activity is classified in terms of
following his awakening: he saw his own previous lives and
three modes of action: bodily, vocal, and mental. Thoughts
how each conditioned subsequent ones; he saw that beings
of theft or murder bear karmic effects, even though not phys-
everywhere also underwent repeated rebirths, receiving the
ically enacted. In addition, a twofold classification of acts
results of acts performed in past lives; and he perceived the
centering on intention was expounded: the act of intending
desires and attachments that bound one to further painful
and acts performed having been intended. The former cate-
rebirth and the method by which to eradicate them. The crit-
gory consists of mental acts, while the latter consists of bodily
ical role of karman in constituting samsaric existence was ex-
and verbal acts that arise as manifestations of volition
pressed by the notion of dependent arising, the core motif of
(Abhidharmako´sa).
which was formulated as: “When this arises, that arises; when
THE MORAL QUALITY OF ACTS. Karman is classified by
this is not, that is not” (Majjhima-nika¯ya I, 262–263).
moral quality as good or wholesome (ku´sala), unwholesome
(aku´sala), and indeterminate (avya¯kr:ta). Unwholesome or
The concept of dependent arising was developed into
“unskillful” acts result in unhappy rebirth (in the realms of
a twelve-link chain: conditioned by ignorance, mental for-
hell, animals, or spirits), and a list of “ten evil acts” is orga-
mations arise; conditioned by formations, consciousness
nized in terms of bodily, vocal, and mental deeds: taking life,
arises; and so forth, leading finally to old age and death.
taking what is not given, sexual misconduct; false speech,
These links are seen as elements within phases of past karmic
slander, harsh speech, frivolous talk; greed, malice, and false
acts (ignorance, formations) leading to present conditions
views. Good or “skillful” acts, given in a corresponding list
(consciousness, mind-objects, six senses, sensory contact,
of ten admonitions, result in propitious rebirth (as a human
feeling) and present actions (craving, grasping, becoming)
or deva). Indeterminate acts do not produce a karmic result.
leading to future consequences (birth, old age and death).
Here again one sees the centrality of intention in early Bud-
The reverse chain leads from eradication of ignorance to the
dhist thought, for present conditions, which are the results
cessation of the successive links and liberation from karman-
of past actions, are themselves indeterminate. In this way,
formed existence. Thus, the earliest strata of Buddhist texts
Buddhists sought to avoid any determinism of the moral
state: “One who sees dependent arising rightly sees karman
quality of present acts by direct causation from the past.
and its matured fruit” (Suttanipa¯ta), and further, “One who
sees dependent arising sees dhamma [dharma]”
Further, the early tradition asserts the strictness of the
(Majjhima-nika¯ya I, 190–191).
causal working of karman. One’s karman is one’s own;
whether good or bad, it is like “a treasure not shared with
THE ETHICIZATION OF KARMAN IN THERAVA¯DA THOUGHT.
others, which no thief can steal” (Khuddakapa¯tha, p.7).
In early Buddhist tradition, karman is understood not only
Thus, the consequences of one’s actions will return upon
as an aspect of the Buddha’s awakening, but also as broadly
oneself alone. Karmic effect is open to various forms of con-
ethical in implication, in contrast to the Brahmanic tradi-
ditioning, and the results of a particular act may vary de-
tion, in which the notion of karman concerned the efficacy
pending on when it is performed (the time of death is partic-
of sacrificial rites. In Vedic tradition, it is the enactment of
ularly potent), the combination with other acts, the quality
sacrifice itself and its ritual correctness, rather than moral
of habitual conduct that forms its context, or the attitude
quality, that are determinative of the result. Karman in early
taken toward the act before or even after it has been per-
Buddhist thought also differs from the contemporaneous
formed. For example, the degree of deliberation preceding
Jain tradition, in which it is conceived as material accretion
an act, and the presence of regret or of repentance and expia-
or residue, so that, for example, any act destructive of sen-
tion after, may influence the karmic effect of both good and
tient life will bear fruit, even though it may have been unin-
evil acts, either intensifying or meliorating the result. Never-
tended. Buddhist tradition asserts intention (cetana¯) or the
theless, however conditioned, karman unfailingly brings
originating impulse as the critical element of any karmic act.
about consequences. It may ripen quickly in the present life
The Buddha states: “Monks, I say that intention is acting;
or bear its fruit only in some future life, but its effect will
by intention, one performs an action of body, speech, or
not be lost and its potency not exhausted or nullified until
mind” (Aguttara-nika¯ya III, 415). It is the intention func-
it works itself out.
tioning as the motive force giving rise to deeds that deter-
mines their quality and thus their karmic effect. Hence, harm
Karman in early Buddhist tradition thus suggests a
inflicted inadvertently does not necessarily bespeak an evil
moral eschatology in which one’s future depends on the
act entailing unwholesome retribution, and even meritorious
moral qualities of the thoughts underlying one’s acts 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
KARMAN: BUDDHIST CONCEPTS
5099
present. The ethical import is to shun evil acts and strive to
Some studies of the present Therava¯da tradition have
do good: “Watchful of speech, well restrained in mind, / One
distinguished these two patterns of religious acts as kammatic
would not do what is unwholesome by body too; / These
and nibbanic, the former emphasizing giving and right con-
three modes of action one would purify; / Let one fulfill the
duct and directed toward achieving higher states within sam-
path made known by the sages” (Dhammapada, verse 281).
saric existence, while the latter focuses on meditative practice
This vision, however, is complicated by two intertwined is-
leading to liberation from sam:sa¯ra. The former turns on the
sues: the soteriological aim of liberation from karmic func-
karmic effects of merit-making, while the latter seeks the
tioning itself, rather than skillful application of it, and the
eradication of karman through perfect disinterestedness.
rejection of enduring, substantial existents, including a “self”
that can inherit the consequences of its own past acts.
The working of karman, however, also serves to conjoin
these two patterns. Since the path to liberation traverses
MERIT AND LIBERATION. While karman expresses the moral
many lifetimes, present merit may be understood to lead to
logic at work within the cosmos of living beings, liberation
conditions favorable to purifying practice and eventual at-
in the Buddhist path ultimately involves transcendence of ex-
tainment of nirva¯n:a. In addition, through transference of
istence as continual rebirth, which is karmically generated
merit, one may generously turn the effects of a meritorious
and characterized as delusionally driven and painful. Because
act to benefit another. That persons must each bear the re-
the notion of karman continued to underpin ideas of merit
sults of their own deeds is a fundamental postulate of the no-
(pun:ya) accumulation originating in the Vedic context of
tion of karman emphasized in the early tradition. At the same
sacrificial rite, two general goals were upheld by early Bud-
time, however, examples are recorded of a person ascribing
dhist practitioners, reflecting distinct attitudes toward
a good deed, such as a gift of food to monks, to other beings,
karman.
including famished spirits and devas, so that they might re-
ceive the merit. Such a notion of compassionate transference
On the one hand, acts may be distinguished as sources
later developed into a hallmark of Maha¯ya¯na tradition.
of merit or demerit, the former leading toward happy future
conditions and the latter toward painful states. In the early
THE ANALYTIC STANCE OF THE SCHOLASTIC TRADITIONS.
tradition, meritorious action is enumerated as giving (da¯na),
Scholastic traditions developed in the monastic communities
moral conduct (´s¯ıla), and meditative practice (bha¯vana¯), but
in the centuries following the Buddha’s death, resulting in
da¯na as almsgiving is given particular attention as a source
a literature of doctrinal systematization and categorization
of merit for laity. Further, the degree of merit accrued in an
known as abhidharma (further teaching). Adopting an
act of giving is said to turn on the worthiness of the recipient,
objectifying stance of exhaustive analytical reflection, the ab-
who is a “field of merit” in which the gift as seed is brought
hidharma broke down all existents and phenomena into con-
to fruition. Any act of charity may bear fruit, but the greatest
stituent, elemental factors (dharmas) categorized as con-
rewards lie in the supreme field of merit, the community of
sciousness, mental attitudes, material elements, elements
monks (sam:gha) led by the Buddha. The practical signifi-
neither mental nor material such as causal relation, and the
cance of this metaphor for the symbiotic relationship be-
uncreated. These psychological and physical dharmas (num-
tween monks and laity is evident, but it has also been sug-
bering seventy-five in the Sarva¯stiva¯da school and eighty-two
gested that the importance placed on the recipient stems
in the Therava¯da abhidharma) were said to arise in compos-
from the original sacrificial context of the act of almsgiving
ites in the present instant, then immediately pass away. Thus,
as a form of worship.
although normally experienced as continuous and integral,
mental functioning is merely a rapid series of discrete in-
On the other hand, the goal of the Buddhist path is not
stants of consciousness, each arising as a psychophysical com-
higher states of existence or ascension through the five
bination of numerous dharmas, and objects grasped as endur-
“courses,” including human and deva, of the realm of desire
ing and real are no more than momentary aggregates of
into the loftier realms of form and formlessness. Rather, one
dharmas informed by conceptual construction. What is actu-
seeks to sever the bonds to samsaric existence altogether. This
ally and irreducibly existent are only the elemental factors
is nirva¯n:a, which, in terms of karman, is “extinction” of af-
coming together and passing away.
flicting passions giving rise to acts of karmic retribution and
cessation of the resultant pain of continual rebirth. Since any
In the abhidharma schools, the notion of karman func-
thoughts of attachment within the realms of rebirth, even to
tioned as a fundamental causal principle underlying the lin-
meritorious acts or blissful states of life, are themselves kar-
ear, temporal flow of all things, but a number of contentious
man that will bind one to further samsaric existence, libera-
issues relating to it were debated. For example, although the
tion is attained only when one produces no karman and one’s
Therava¯da tradition emphasized intention as determinant of
karman from the past has been exhausted. Acts performed
the moral quality of even physical acts, Sarva¯stiva¯dins assert-
with detachment and equanimity (upeks:a¯) bear no further re-
ed that bodily and vocal acts, being material, manifest but
sults, whether good or bad. Hence, it is by purification of
are distinct from intention as a mental act. Further, major
the mind through right conduct, meditation, and religious
issues arose regarding karmic causation. How can actions oc-
insight, so that one’s acts are free of greed, malice, and delu-
curring in the present moment and then passing away bring
sional thinking, that nirva¯n:a is attained.
about consequences in the future? The Sarva¯stiva¯dins 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
5100
KARMAN: BUDDHIST CONCEPTS
that dharmas themselves, as elemental factors, exist in the fu-
changing; if it expires, it cannot function as cause. In either
ture and past as well as in the present, although the modes
case, it cannot produce a result. Karman must be neither con-
of existence differ. Dharmas existing in the future move,
tinuous nor discontinuous; this eradication of objectifying
through causes, into the present and arise in fusion with
conceptual bifurcation pervades the world of non-self or
countless other dharmas as actions or composite things be-
emptiness. To go beyond emptiness-contemplation as the
fore slipping into the past. Since the dharmas continue to
elimination of discriminative discourse only and to explore
exist even though they have vanished from the present, they
the active functioning of wisdom, the Yoga¯ca¯ra thought of
hold the energy to cause their results to appear upon matura-
Asan˙ga (c. 320–390 CE) and Vasubandhu (c. fourth century
tion. How can there be continuity between the agent of an
CE) adapted, from a Maha¯ya¯na perspective, such abhidharma
act and the receiver of its fruit? If there is only flux, there can
conceptions as the subconscious mind (bhavan˙ga), from
be no reception of karmic results, but if there is continuity,
which conscious processes arise and into which they subside
an enduring entity seems implied. The early tradition teaches
and the karmic seeds (b¯ıja) of mental activity. Time is a suc-
that the person who commits the act and the person who re-
cession of discontinuous instants, with mind and all things
ceives the fruit are neither wholly identical nor wholly differ-
mutually giving rise to each other and perishing moment by
ent. In order to explain the continuity of the series of psycho-
moment. This instantaneous “other-dependent” co-arising
physical moments that is the subject of karmic working,
of mind and world is not different from emptiness, wisdom,
Sarva¯stiva¯dins argued that there exists a dharma of “posses-
or true reality.
sion” (pra¯pti), which functions with all karmic acts, so that
By asserting “form is itself emptiness, emptiness is
each act or thought, though immediately passing away,
form,” Maha¯ya¯na thought departed from earlier tendencies
creates the “possession” of that act in the continuum of in-
toward mutually exclusive, substantialist-leaning concep-
stants we experience as a person. This possession itself is mo-
tions of samsaric and nirvanic realms, or the karma-created
mentary, but continually reproduces a similar possession in
and uncreated, and thus from the ethical focus developed in
the succeeding instant, even though the original act lies in
Therava¯da tradition and the atomistic analyses of karmic
the past. Through such continual regeneration, the act is
causation in the scholastic tradition.
“possessed” until the actualization of the result.
KARMIC EXISTENCE AND TRANSCENDENT WISDOM. The
Such views were rejected as contrary to the Buddha’s
implications regarding karman of the notion of nonduality
teaching of impermanence by other schools, notably the
in Maha¯ya¯na thought may be considered from the perspec-
Sautra¯ntikas, who insisted that each act exists only in the
tives of both the being of wisdom (a bodhisattva) and the per-
present instant and perishes immediately. To explain causa-
son of karmic existence (a foolish, unenlightened being). For
tion, they taught that with each karmic act a “perfuming”
the bodhisattva, the strictness of karmic working emphasized
occurs which, though not a dharma or existent factor itself,
in the early tradition is broken in several ways by the wisdom
leaves a residual impression in the succeeding series of mental
in which such dichotomies as form and emptiness, sam:sa¯ra
instants, causing it to undergo a process of subtle evolution
and nirva¯n:a, and blind passions and enlightenment are si-
eventually leading to the act’s result. Good and bad deeds
multaneously established and dissolved. Although the early
performed are thus said to leave “seeds” or traces of disposi-
tradition asserts that karman is personal, the bodhisattva’s
tion that will come to fruition.
transcendence of the dichotomy of self and other leads to the
T
practice of merit transference, by which one vows to ferry all
HE MAHA¯YA¯NA VIEW OF KARMAN. The Prajña¯pa¯ramita¯
su¯tras (c. first century
beings to the other shore of nirva¯n:a before crossing over one-
CE) and early Maha¯ya¯na thinkers re-
jected the realism of scholastic traditions that presupposed
self, giving the merit of one’s practice to others. Self does not
the enduring own-being (svabha¯va) of all dharmas and fixed
exist merely as self, but upon the foundation of both self and
the transcendent, uncreated dharma of nirva¯n:a as the ulti-
other arising in mutual dependence, that is, in emptiness.
mate religious goal. Instead, they sought to articulate the so-
This thinking is developed in Yoga¯ca¯ra writings in the con-
teriological realization of non-self in terms of a thoroughgo-
cept of “shared karman,” in which karman is at once individ-
ing nondiscriminative wisdom in which the dissolution of
ual and conjoint.
the subject-object dichotomy and the nature of all things as
Further, although the notion of karman asserts a correla-
dependently arising were expressed as emptiness or voidness
tion between the moral quality of past deeds and the circum-
(´su¯nyata¯).
stances of rebirth, the bodhisattva may choose to be reborn
in realms of suffering to save beings there. Above all, the bo-
Na¯ga¯rjuna (c. 150–250 CE), in Mu¯lama-dhyamaka-
dhisattva relinquishes the earlier view that liberation lies in
ka¯rika¯, sought to demonstrate the logical incoherence of the
departing from sam:sa¯ra and entering nirva¯n:a, abandoning all
substantialist assumptions governing ordinary human experi-
attachments, even to nirva¯n:a.
ence of—and speech about—the world, including causation.
He argued, for example, that notions of agent and act are
While attainment of nondiscriminative wisdom is a
mutually dependent, so that any conceptual reification will
prominent feature in most East Asian Buddhist traditions,
render the whole—action itself—untenable. Further, if kar-
including Huayan, Tiantai, and Chan, realization of nondu-
man persists until its result arises, it is permanent and un-
ality from a stance within karmic bondage has also been 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
KARMA PAS
5101
veloped, most clearly by Shinran (1173–1263), founder of
don, 2002. Considers Buddhist conceptions of karman on
the Japanese Shin Buddhist tradition (Jo¯do Shinshu¯) of the
the way to arguing a phenomenological understanding of
Pure Land school. In Shinran’s thought, persons come to
Yoga¯ca¯ra.
know the depths of their karmic bondage, reaching back into
McDermott, James Paul. Development in the Early Buddhist Con-
the unknowable past, through receiving the wisdom of
cept of Kamma/Karma. New Delhi, 1984. Lucid survey of the
Amida Buddha as the genuine entrusting of themselves (shin-
issues in the literature of the early tradition through Vasu-
jin) to the Buddha’s vow to bring them to enlightenment
bandhu’s Abhidharmako´sa.
though his own fulfillment of practices. They awaken to
Neufeldt, Ronald W., ed. Karma and Rebirth: Post Classical Devel-
their inability to free themselves from blind passions through
opments. Albany, N.Y., 1986. Includes articles on Buddhist
religious practices or meritorious acts, which are inevitably
traditions in China, Tibet, and Japan.
tainted by self-attachment, and at the same time they realize
Obeyeskere, Gananath. Imagining Karma: Ethical Transformation
that their birth in the Pure Land and attainment of enlight-
in Amerindian, Buddhist, and Greek Rebirth. Berkeley and
enment are fully settled, for they have attained the Buddha’s
Los Angeles, 2002. Surveys the notion of rebirth in diverse
mind as shinjin. Thus in Tannisho¯, Shinran states, “Hell is
cultures and delineates a theory of its evolution in Indian tra-
decidedly my home,” and also speaks of “the attainment of
ditions through ethicization based on karman to a notion of
buddhahood by the person who is evil” (akunin jo¯butsu), ex-
salvation as transcendent nirva¯n:a.
pressing the nonduality of karmic existence and Buddha’s
O’Flaherty, Wendy Doniger, ed. Karma and Rebirth in Classical
wisdom found throughout Maha¯ya¯na tradition.
Indian Traditions. Berkeley, 1980. Includes several articles
on Buddhist tradition and an extensive bibliography.
The notion of karman has been considered an integral
element of Buddhist awakening to human existence. At the
Ueda Yoshifumi. “Freedom and Necessity in Shinran’s Concept
same time, however, the significance of moral action—in re-
of Karma.” Translated by Dennis Hirota. Eastern Buddhist
19, no. 1 (1986): 76–100. An adaptation and translation of
lation to religious practice in the Therava¯da tradition and to
Bukkyo¯ ni okeru go¯ no shiso¯. Kyoto, 1957. See also Ueda
nondichotomous wisdom in Maha¯ya¯na traditions—has been
Yoshifumi and Dennis Hirota, Shinran: An Introduction to
a recurring issue throughout Buddhist history, and recent
His Thought. Kyoto, 1989.
concerns to formulate a Buddhist social ethics have drawn
renewed attention to issues of karman.
Warren, Henry Clarke. Buddhism in Translations (1896). Cam-
bridge, Mass., 1953. Convenient collection of important
S
passages in Therava¯da tradition in a section on “Karma and
EE ALSO Buddhist Philosophy; Dharma, article on Bud-
Rebirth.”
dhist Dharma and Dharmas; Sarva¯stiva¯da; Sautra¯ntika.
DENNIS HIROTA (2005)
BIBLIOGRAPHY
Carter, John Ross, and Mahinda Palihawadana, trans. The Dham-
mapada. Oxford, 1987.
KARMA PAS are among the most prominent lines of re-
Egge, James R. Religious Giving and the Invention of Karma in
incarnated Tibetan Buddhist masters, or tulkus. They are also
Therava¯da Buddhism. Richmond, UK, 2002. Considers the
often referred to as the Shanak pas, or “Black Hat” masters,
harmonization of the ethicized and soteriological strains of
karman in Therava¯da texts.
after the black crown passed down from each incarnation to
the next that has come to symbolize the lineage. The first
Heine, Steven. Shifting Shape, Shaping Text: Philosophy and Folk-
Karma pa, Dus gsum mkhyen pa (Dusum Khyenpa, 1110–
lore in the Fox Ko¯an. Honolulu, 1999. Highlights the ten-
1193), was an important leader in twelfth-century Central
sions between the ethical and the nondiscriminative treat-
and Eastern Tibet. As of 2004 the seventeenth Karma pa re-
ments of karman in Chan/Zen tradition.
sided in the Tibetan diaspora community in Dharamsala,
Hirota, Dennis, trans. Tannisho¯: A Primer. Kyoto, 1982. A paral-
India. Throughout the centuries, the successive Karma pas
lel translation with original text. Also in Dennis Hirota et al.,
have played a large role in the religious, cultural, and political
trans., The Collected Works of Shinran, Kyoto, 1997.
life of Tibet.
Keyes, Charles F., and E. Valentine Daniel, eds. Karma: An An-
thropological Inquiry. Berkeley, 1983. Includes articles on
The Karma Kamtshang school, of which the Karma pas
modern Tibet and Southeast Asia.
are the leaders, is but part of a larger school of Tibetan Bud-
dhism known as the Bka’ Brgyud (Kagyu) school or “Oral
Kumoi Sho¯zen, ed. Go¯ shiso¯ kenkyu¯. Kyoto, 1979. Includes articles
on a wide range of Buddhist traditions and a bibliography
Tradition” school. The Bka’ Brgyud school is one of the
of research in Japanese and European languages.
principle traditions of Tibetan Buddhism, with a history that
extends from the twelfth century to the present day. The
Lamotte, Étienne. Karmasiddhi Prakaran:a: The Treatise on Action
names and dates of the successive Karma pas, as well as their
by Vasubandhu. Translated by Leo M. Pruden. Fremont,
Calif., 1987. Introduction includes a summary of views on
allied lineage, the Shamar pas, are listed at the end of this
karman in various abhidharmic schools.
entry.
Lusthaus, Dan. Buddhist Phenomenology: A Philosophical Investiga-
Although the first two Karma pas were posthumously
tion of Yoga¯ca¯ra Buddhism and the Ch’eng Wei-shih lun. Lon-
recognized as “Karma pas” only in the late thirteenth century
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5102
KARMA PAS
at the time of the third Karma pa, Rang byung rdo rje (Rang-
with the Great Perfection system of esoteric practice devel-
jung Dorje, 1284–1339), they are nevertheless important
oped in the Rnying ma school. A verse from the Great Seal
figures in the tradition. The first Karma pa was born in the
Prayer makes this identification clear: “Free from subjective
village of Treshö, situated in the eastern Tibetan region of
activity, this is the Great Seal. Free from extremes, this is the
Kham. At the age of thirty he became a student of Sgam po
Great Middle Way. This is also called the all-encompassing
pa (Gampopa, 1079–1153), well-known disciple of Mi la ras
Great Perfection. May we attain certainty that the awareness
pa (Milarepa, 1028/40–1111/23), wellspring of many
of one is the realization of all.” This inclusive approach to
strands of Bka’ Brgyud tradition. Dus gsum mkhyen pa
soteriological doctrine has earned Rang byung rdo rje a place
founded two monasteries. Karma Gon (or Karma Densa),
in the canon of the nonsectarian movement of nineteenth-
founded in 1147 in Kham, gave the Karma pas their name
century Tibetan religious history. Indeed, Jamgön Kongtrul
(“those of Karma Gon”), though it did not play a central role
(1813–1899), the movement’s most important proponent,
in the tradition. Tsurphu, founded in 1189 in the Tolung
wrote commentaries on all three of Rang ’byung rdo rje’s
Valley of Central Tibet, some fifty miles west of Lhasa, was
most famous works. These three works are often considered
to become the true seat of the lineage, a status that it has en-
by tradition as a trilogy on Buddhist theories of ontology,
joyed up to the present day. The second Karma pa, Karma
consciousness, and soteriology. The first of these is the Trea-
Pakshi (1204–1283), was a monk at Tsurphu when he trav-
tise on Buddha Nature. In this brief work of only 225 verse
eled to Mongolia in 1154, a journey that marked the entry
lines, the third Karma pa synthesizes ontological notions
of the Karma pas into Central and East Asian politics. While
from exoteric and esoteric Buddhist scriptures, thereby pre-
he is remembered by tradition principally as a great magician
senting a comprehensive vision of buddha nature—the in-
who beguiled the Mongol leaders, he was also the author of
nate potential for enlightenment in all living beings—as seen
a massive philosophical compendium known as the Limitless
in both its latent state and its fully revealed state. The Treatise
Ocean Cycle, in which he integrated doctrines from both the
is in many ways an elaboration on two famous quotes from
Bka’ Brgyud and the Rnying ma (Nyingma) traditions of Ti-
Buddhist canonical literature, with which he begins his
betan Buddhism.
work—albeit without citing his sources.
The third Karma pa, Rang byung rdo rje, was born in
The first is from the Maha¯ya¯na Abhidharma Su¯tra, a
southwest Tibet in 1284. According to early stories of his
work oft quoted yet unknown in its entirety in Tibet. The
life, at the age of five he received a blessing in the form of
popularity of this verse is no doubt due to its bold assertion
a white light striking his head from the famous statue of the
that buddha nature exists—and is in fact the very reason en-
bodhisattva of compassion, Avalokite´svara, in Kyirong on the
lightenment is possible at all: “The beginningless essence is
southwest border of Tibet. This miraculous event led his par-
the support of all phenomena. Because it exists, so do all be-
ents to bring him before Master Orgyanpa Rinchenpal
ings, as well as the attainment of liberation from suffering.”
(1230–1309), who identified him as his deceased teacher,
The second quote is from the Hevajra Tantra: “Sentient be-
Karma pakshi. At the age of seven, Rang byung rdo rje took
ings are simply buddhas, save for being obscured by adventi-
vows as a novice monk at Dusum Khyenpa’s monastery of
tious impurity. If just this [impurity] is removed, there is
Tsurphu. At age twenty he took full monastic vows, again
buddhahood.” The rest of the work describes the nature of
at Tsurphu. As an adult, while not studying at Tsurphu or
these impurities, which hide from human beings their true
maintaining solitary yogic practice in nearby hermitages, the
nature, as well as the nature of the fully awakened buddha
third Karma pa traveled throughout Central and Eastern
that results from spiritual practice. Rang byung rdo rje leaves
Tibet giving religious instruction, founding and renovating
his presentation of the practices for removing these impuri-
religious institutions, and acting as a political mediator in
ties to the third work in his trilogy. The second, Differentiat-
times of regional conflict. In 1331 the third Karma pa re-
ing Consciousness and Wisdom, draws heavily on Yoga¯ca¯ra
ceived an order from a Mongol leader of the Chinese Yuan
sources to detail the difference between ordinary human per-
dynasty (1206–1368) to join him at his capitol. Rang byung
ception and the enlightened perception of buddhas, as well
rdo rje grudgingly acquiesced to this long journey, and in
as the mechanism by which the former transforms into the
1332 arrived at the court. Rang byung rdo rje returned a sec-
latter through contemplative practice.
ond time to China in 1338, dying at the capitol a year later.
His close relationship with the Yuan emperors gained Tsur-
Finally, the third work of the trilogy, the Profound Inner
phu Monastery tax-exempt status under Mongol sovereignty
Meaning, outlines the means by which one attains buddha-
and ensured subsequent Karma pas favorable ties with later
hood according to esoteric Buddhist tradition, particularly
Chinese imperial leadership.
the literary cycles of the Hevajra Tantra and the Ka¯lacakra
Tantra. This is perhaps Rang byung rdo rje’s most important
Rang byung rdo rje was a prolific writer on all aspects
work, and it has formed the basis of esoteric praxis to the
of Buddhist culture, authoring over a hundred works on
present day. Taking the notion of buddha nature as his start-
Buddhist ritual practice, esoteric philosophy, medicine, as-
ing point, he systematically presents the ontological founda-
trology, and ethics. He is often credited with combining the
tions of human existence, the psycho-physical development
contemplative precepts of the “great seal,” or maha¯mudra¯,
of the human body and its physiology as seen from an esoter-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KARMA PAS
5103
ic Buddhist perspective, the nature of human ignorance and
in making the phenomenon of incarnation an integral part
suffering, and finally the nature of enlightenment, as well as
of Tibetan religion and politics. For it is likely upon these
the esoteric practices leading to it.
two that the most powerful incarnation lineage to develop
in Tibet was modeled, the succession of the Dalai Lamas,
Though neither the fourth or the fifth Karma pas were
who would decisively wrest political and cultural hegemony
as prolific as Rang byung rdo rje or as influential in doctrinal
from the Karma pas and Shamar pas in the seventeenth cen-
matters, both had relations with the imperial court of Ming
tury, forever changing the face of rule by rebirth in Tibet.
China (1368–1644), thus contributing substantially to both
the prestige and the wealth of the lineage. Later Karma pas
The Karma pa Lineage
would each be remembered for particular aspects of their ca-
1. Dus gsum mkhyen pa (Dusum Khyenpa): 1110–1193
reers. The seventh authored the authoritative work on logic
2. Karma pakshi (Karma Pakshi): 1204–1283
and epistemology (prama¯n:a) in the Karma pa scholastic tra-
dition, and the ninth systematized the contemplative teach-
3. Rang byung rdo rje (Rangjung Dorje): 1284–1339
ings of the great seal traditions in several influential works.
4. Rol pa’i rdo rje (Rolpay Dorje): 1340–1383
The sixteenth Karma pa fled Tibet in 1959 under fear of
6. Mthong ba don ldan (Tongwa Dondan): 1416–1453
Chinese rule, and in 1962 he founded Rumtek Monastery
in Sikkim, an institution that was to become of seat of the
7. Chos grags rgya mtsho (Chodrak Gyatso): 1450/1454–
Karma Bka’ Brgyud in exile. He was also responsible for in-
1506
troducing the Karma Bka’ Brgyud Buddhist tradition to an
8. Mi bskyod rdo rje (Mikyo Dorje): 1507–1554
increasingly interested North American and European popu-
lace of Buddhist converts, first visiting the United States in
9. Dbang phyug rdo rje (Wangchuk Dorje): 1556–1603
1974. He died in Chicago in 1981. Political battles sur-
10. Chos dbyings rdo rje (Choying Dorje): 1604–1674
rounded the recognition of the seventeenth Karma pa, with
11. Ye shes rdo rje (Yeshe Dorje): 1675–1702
opposing camps continuing to support their Karma pa as the
authentic member of the lineage. O rgyan ’phrin las rdo rje
12. Byang chub rdo rje (Jangchup Dorje): 1703–1732
(Orgyan Trinlay Dorje, b. 1985) has received the seal of au-
13. Bdud ’dul rdo rje (Dudul Dorje): 1733/1734–1797/
thority by the fourteenth Dalai Lama, and after spending his
1798
youth at Tsurphu Monastery in Tibet, moved to the Dalai
14. Theg mchog rdo rje (Tekchok Dorje): 1799–1869
Lama’s center in Dharamsala, India.
15. Mkha’ khyab rdo rje (Khakyap Dorje): 1870/1871–
It is impossible to speak of the Karma pas without men-
1921/1922
tioning their Bka’ Brgyud brethren, the Shamar pa incarna-
16. Rang byung rig pa’i rdo rje (Rangjung Rikpay Dorje):
tion lineage, which currently numbers twelve. Rang byung
1924–1981
rdo rje himself recognized the first Shamar pa, despite the
fact that Grags pa sengge (Drakpa Senge, 1283–1349) was
17 (1). O rgyan ’phrin las rdo rje (Orgyan Trinlay Dorje):
his senior by one year. In subsequent centuries the Karma
1985–
pa and Shamar pa incarnations would share religious author-
17 (2). ‘Phrin las mtha’ yas rdo rje (Trinlay Taye Dorje):
ity in Central Tibet, the senior of the two assuming control
1983–
of the Karma Kamtshang School. The fourth Shamar pa was
intimately involved in the sectarian and political rivalries of
The Shamar pa Lineage
the late fifteenth and early sixteenth centuries, most notably
1. Grags pa sengge (Drakpa Senge): 1283–1349
between the Karma Kamtshang and the Dge lugs (Geluk)
2. Mkha’ spyod dbang po (Kacho Wangpo): 1350–1405
schools. While the Karma pa lineage has continued uninter-
rupted to the present day, the Shamar pa lineage was dis-
3. Chos dpal ye shes (Chopal Yeshe): 1406–1452. Chos
banded by the central Tibetan government in 1792 due to
grags ye shes (Chodrak Yeshe): 1453–1524
the ninth Shamar pa’s complicity in the Nepalese invasion
5. Dkon mchog yan lag (Konchok Yenlak): 1525–15836.
of Tibet, to be reinstated a century later.
Chos kyi dbang phyug (Chokyi Wangchuk): 1584–
1630. Yeshe Nyingpo ye shes snying po: 1631–1694
According to the Blue Annals of the famed Tibetan his-
torian ’Gos Lo tsa ba Gzon nu dpal (Go Lotsawa, 1392–
8. Dpal chen chos kyi don grub (Palchen Chokyi Dond-
1481), the Karma pas and the Shamar pas were, respectively,
rup): 1695–1732
the first and second incarnation lineages in Tibet. The situa-
9. Dkon mchog dge ba’i ’byung gnas (Konchok Geway
tion proves to be more complicated than this, however, and
Jungnay): 1733–1740
’Gos Lo tsa ba likely links the origins of reincarnated reli-
gious masters in Tibet to the Karma pas and Shamar pas be-
10. Chos grub rgya mtsho (Chodrup Gyatso): 1741/1742–
cause of his close relations with the Karma Bka’ Brgyud pa
1792
leaders of fifteenth-century Tibet. Nevertheless, his assertion
11. ’Jam dbyangs rin po che (Jamyang Rinpoche): 1892–
does emphasize the foundational role of these two lineages
1946
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5104
KARO, YOSEF
12. Mi pham chos kyi blo gros (Mipam Chokyi Lodro):
a reputation as one of the foremost rabbinic scholars. In that
1952–
year he began work on his monumental commentary on the
code of the great Talmudist YaEaqov ben Asher (1270–
BIBLIOGRAPHY
1343). He finished this work, the Beit Yosef, twenty years
Richardson, Hugh. “The Karma-pa Sect: A Historical Note.” In
later in Safad. Whereas the classic and most complete code,
High Peaks, Pure Earth: Collected Writings on Tibetan History
that of Moses Maimonides (Mosheh ben Maimon, 1135/8–
and Culture, pp. 337–378. London, 1998.
1204), simply and clearly set forth the law without argument
Roerich, George, trans. and ed. The Blue Annals. Calcutta, 1949–
or discussion, YaEaqov ben Asher’s Arba Eah t:urim (Four
1953; reprint, New Delhi, 1976.
Rows, i.e., four main parts) also reviewed the opinions of ear-
lier authorities. Such review may have been the reason why
KURTIS R. SCHAEFFER (2005)
Karo chose this code as the basis of his commentary, which
is, in fact, a complete digest of the whole relevant halakhic
literature. YaEaqov ben Asher’s code, however, unlike that of
KARO, YOSEF (1488–1575), Talmudic scholar, codi-
Maimonides, omits all subjects not applicable in exile and
fier of rabbinic law, and qabbalist. Yosef Karo (or Caro) grew
after the destruction of the Temple (e.g., laws concerning the
up and lived in the century following the expulsion of the
Temple, its priesthood, ritual, and sacrificial cult; legislation
Jews from the Iberian Peninsula (first from Spain in 1492
concerning kingship, the Sanhedrin, the Jubilee year, and so
by the Catholic rulers Ferdinand and Isabella, then from
on). On the basis of his Beit Yosef, Karo subsequently pro-
Portugal in 1497). It was a period of turmoil, major demo-
duced the Shulh:an Earukh (Set Table, or Short Book, as he
graphic shifts, messianic longings, and mystical revival. Karo
himself called it). This précis and synopsis soon established
was the scion of a family of illustrious scholars. Whether he
itself as the standard code of Jewish law and practice, espe-
was born in Toledo or whether his family had already left
cially after Mosheh Isserles of Cracow (d. 1572) had added
Spain for Turkey (either directly or via Portugal) before the
glosses incorporating the sometimes divergent customs of
expulsion is uncertain. His father and first teacher, Efrayim,
Ashkenazic Jewry. Since then Karo’s code has served as the
died when Yosef was still very young, and his place was taken
revered or, alternatively, reviled symbol of orthodox rabbinic
by Yosef’s uncle, Yitsh:aq Karo, to whom he frequently and
Judaism. Karo also wrote a commentary, Kesef mishneh, on
respectfully refers in his writings as “my uncle and master.”
the code of Maimonides, supplementing the earlier com-
mentary Maggid mishneh by the fourteenth-century Spanish
We do not know exactly at which schools Yosef Karo
scholar Vidal of Tolosa.
studied, but most of the first half of his life was spent in the
Balkan provinces of the Ottoman empire (Salonika, but
Many responsa of Karo are also extant. Although of less
mainly Adrianople and Nikopol). The influx of Iberian Jew-
historical influence than the aforementioned works, they
ish (Sefardic) refugees had turned Ottoman Turkey into one
throw much light on the social history of the period, in addi-
of the most important centers of sixteenth-century Jewry,
tion to illustrating Karo’s standing as a leading Talmudic au-
and Jewish communities and academies of learning were
thority.
flourishing. In Salonika Karo also met Yosef Taytazak, one
In Safad an attempt was also made—probably inspired
of the leading Talmudic scholars and qabbalistic charismatics
by the messianic temper of the age—by one of the foremost
of his generation, as well as the young ex-Marrano enthusiast
Talmudic authorities, YaEaqov Berab, to renew full rabbini-
and visionary Shelomoh Molkho. The latter’s death at the
cal ordination, which had lapsed in the first centuries of the
stake in 1532, after his ill-fated mission to the pope, left a
common era. Karo was one of the four scholars ordained by
deep impression on Karo and no doubt inspired his unful-
Berab, but the initiative proved abortive, mainly because of
filled desire to die a martyr’s death. (In fact he died in Safad
the opposition of the scholars in Jerusalem.
at the ripe age of eighty-seven.)
It was probably mystical and messianic ideology that
In addition to the academies of rabbinic learning, circles
prompted many qabbalists and devout scholars to move from
of qabbalistic and mystical pietists also flourished in the vari-
the Diaspora to the Holy Land. Around 1536 Karo, too, re-
ous Jewish centers of the Ottoman empire, especially in the
alized his long-standing intention and settled in Safad in
Balkans, and Karo and his friend and disciple Shelomoh Al-
upper Galilee, which soon became a center of intense mysti-
kabets were among their most prominent figures. These cir-
cal and devotional life. The leading qabbalists of the time had
cles undoubtedly were the seedbed of the great mystical, and
converged there, among them Mosheh Cordovero (who be-
subsequently messianic, revival that took place in Safad in
longed to Karo’s intimate circle) and Isaac Luria. Karo, like
Galilee and from there swept over world Jewry. Because of
most rabbis of his generation, was also a qabbalistic scholar
the deaths of his wives, Karo married at least three times and
but, in addition, led a somewhat unusual (though by no
had several children, of whom three survived him.
means unique) charismatic life. According to various reports,
The dates of Karo’s biography and literary activity have
Karo was visited every night by a heavenly mentor who, in
to be pieced together from incidental references in his writ-
the form of what psychology would describe as “automatic
ings. By 1522 he was settled in Nikopol and already enjoyed
speech,” revealed to him qabbalistic mysteries, exhortations
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KARUN:A¯
5105
to ascetic practice, and other matters related to his personal
In Buddhist doctrine, karun:a¯ is most commonly found
life and to his Talmudic studies. Afterward Karo wrote down
as the second of the Four Immeasurable Attitudes (catva¯ri
the communications received from his celestial maggid
aprama¯n:a¯ni) that are to be cultivated in meditative practice:
(“speaker”), who identified himself (or perhaps herself) as the
maitr¯ı (“friendliness”), karun:a¯ (“compassion”), mudita¯
heavenly archetype of the Mishnah. Among Karo’s writings
(“sympathetic joy”), and upeks:a¯ (“equanimity”). Friendliness
there is, therefore, a “mystical diary,” printed later in edited
is said to give pleasure and happiness to others, compassion
form under the title Maggid mesharim. Unconvincing at-
uproots pain and suffering, and sympathetic joy refers to
tempts have been made to deny the authenticity of the diary,
one’s joy for the happiness of others. Finally, equanimity
probably because scholarly rationalism, especially in the
frees one from attachment to these attitudes so that one may
nineteenth century, could not come to terms with the idea
go forth to practice them in the service of all those in need.
that the great Talmudist, legal scholar, and codifier Yosef
The Maha¯ya¯na scriptures, in spite of their diversity and
Karo was also an ascetic qabbalist and mystical enthusiast,
differences, reveal the multifaceted dimensions of karun:a¯.
subject to paranormal experiences. While as a qabbalist Karo
Central to all Maha¯ya¯na texts is the bodhisattva vow, which
was less outstanding than many of his Safad contemporaries,
puts the deliverance of all beings from sam:sa¯ra (i.e., the cycle
the existence of the Maggid mesharim, in the shadow, as it
of births and deaths) before one’s own deliverance. To put
were, of the Beit Yosef and the Shulh:an Earukh, is indicative
it in a more personal way, the vow states, “As long as there
of the complexities of rabbinic Judaism and of the role that
is one unhappy person in the world, my happiness is incom-
Qabbalah played in it, especially in the sixteenth century.
plete.” The vow acknowledges the absolute equality of self
and other (para¯tmasamata¯) and the interchangeability of self
BIBLIOGRAPHY
and other (para¯tmaparivartana), such that one willingly takes
Twersky, Isadore. “The Shulh:an EAruk: Enduring Code of Jewish
Law.” In The Jewish Expression, edited by Judah Goldin,
on the suffering of others.
pp. 322–343. New York, 1970.
Philosophically, the justification of compassion is root-
Werblowsky, R. J. Zwi. “Caro, Joseph ben Ephraim.” In Encyclo-
ed in the notion of ´su¯nyata¯ (“emptiness”), which sweeps
paedia Judaica. Jerusalem, 1971.
away all divisions and discriminations—self and other, good
Werblowsky, R. J. Zwi. Joseph Karo: Lawyer and Mystic. 2d ed.
and bad, like and dislike, and so forth—that are created by
Philadelphia, 1980.
the arbitrary conceptions of the subjective mind. This clear-
R. J. ZWI WERBLOWSKY (1987)
ing away of all forms of discursive thinking, originating from
the fictive self, is none other than the working of prajña¯,
which is inseparable from karun:a¯. Wisdom and compassion
KARUN:A¯, normally translated as “compassion,” is a term
are said to be like two wheels of a cart or two wings of a bird.
central to the entire Buddhist tradition. When linked with
Another important dimension of compassion that fig-
prajña¯ (“wisdom”) it constitutes one of the two pillars of
ures in Maha¯ya¯na Buddhism is maha¯karun:a¯ (“great compas-
Buddhism. Karun:a¯ is frequently described as the love for all
sion”). The adjective “great” connotes the transcendent na-
beings, as exemplified by a mother’s love for a child. Howev-
ture of the compassion that is an essential quality of
er, karun:a¯ is quite unlike conventional “love” (Skt., priya,
Buddhahood. All Buddhas—whether S´a¯kyamuni, Vairo-
ka¯ma, tr:s:n:a¯), which is rooted in dichotomous thinking
cana, Bhais:ajyaguru, Amita¯bha, Aks:obhya, and others—
(vijña¯na, vikalpa) and centered on self-concern. Love in this
manifest great compassion. Amita¯bha (Jpn., Amida) Bud-
latter sense is egoistic, possessive, clouded by ignorance
dha, for example, reveals great compassion in his “primal
(avidya¯), and easily subject to its opposite passion, hate.
vow” (Jpn., hongan), which states that his attainment of su-
In contrast, karun:a¯ is manifested in the non-
preme Buddhahood was contingent upon the guarantee of
dichotomous mode of prajña¯ that has broken through the
the selfsame enlightenment for all beings who have faith in
self-other discrimination. Thus freed of self-centeredness,
him. The practitioner of the Maha¯ya¯na path, then, becomes
karun:a¯ is concerned only with the welfare of the other. The
a recipient of great compassion. In fact, it is said that the bo-
root meaning of karun:a¯ is said to be the anguished cry of
dhisattva progresses on the path to enlightenment by virtue
deep sorrow that elicits compassion. Love in the convention-
not of his own powers but of the powers of great compassion.
al sense and compassion in its Buddhist sense may be loosely
Historically, however, karun:a¯ is also manifested in such
equated to eros and agap¯e, respectively.
practical expressions as acts of generosity or charity (da¯na).
The life of S´a¯kyamuni Buddha, especially his missionary
Among the pun:yaks:etra (“merit-fields”, i.e., sources for creat-
work of forty-five years, is a manifestation par excellence of
ing religious merit) available to the devotee are compassion,
compassion. The cruciality of compassionate deeds for the
wherein those in need, helpless beasts, and even insects are
attainment of supreme enlightenment is evident in the
the objects of care and concern; gratitude, where parents, all
ja¯takas, a collection of fables recounting the previous lives of
sentient beings, rulers, and the Three Treasures (Buddha,
the Buddha. The evolution of Buddhism in Asia and its
Dharma, Sangha) are revered; the poor, where the destitute
spread throughout the world are, from a Buddhist point of
are fed, clothed, and housed; and animals, which are to be
view, none other than the unfolding of karun:a¯ in history.
released from human enslavement. In premodern times,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5106
KASHMIR S´AIVISM
karun:a¯ was also understood and appreciated in much more
determining their forbidden status. Fish must have fins and
concrete forms: planting fruit orchards and trees, digging
scales (Lv. 11:9, Dt. 14:9). Both Jews and gentiles are forbid-
bathing ponds, dispensing medicine, building bridges, dig-
den to eat flesh torn from a living animal (Gn. 9:3). Jews are
ging wells along highways, making public toilets, establishing
not to consume the blood of permitted animals or the fat
clinics and orphanages, teaching sericulture, farming meth-
that covers their inner organs (Lv. 3:17, 7:23), that is, tallow
ods and irrigation, building dikes and canals, and countless
or suet. Both this blood and this fat were to be offered on
other welfare activities.
the altar of the Temple in the case of animals fit for sacrifice
(e.g., Lv. 1:11–12). In the case of an animal permitted for
SEE ALSO Prajña¯.
ordinary consumption but not for sacrifice, the blood is to
be poured on the ground and covered (Lv. 17:13, Dt. 12:16).
BIBLIOGRAPHY
The same is the case with the blood of fowl slaughtered for
There is no single monograph on karun:a¯ in any Western lan-
ordinary use. Animals that died of internal causes or that
guage. Because it permeates Buddhist literature, it is best to
were killed by other animals are not to be consumed (Ex.
go to the original sources. A good sampling may be found
22:30). Also, the sciatic nerve of slaughtered animals is not
in Edwin A. Burtt’s The Teachings of the Compassionate Bud-
dha (New York, 1955). For the relationship between ´su¯nyata¯
to be eaten (Gn. 32:32). Finally, a kid is not to be cooked
and compassion, see The Holy Teaching of Vimalakirti, trans-
in the milk of its own mother (Ex. 23:29, 34:26; Dt. 14:21).
lated by Robert A. F. Thurman (University Park, Pa., 1976);
RABBINIC INTERPRETATION. The rabbinic sources present a
for the working of wisdom, compassion, and upa¯ya (libera-
number of important and wide-reaching interpretations of
tive technique), see The Threefold Lotus Sutra, translated by
these biblical laws which are seen as being themselves “oral
Bunno¯ Kato¯ and others (New York, 1975); and for the Pri-
mal Vow of compassion, see “The Larger Sukha¯vat¯ı-vyu¯ha,”
Mosaic traditions” (halakhah le-Mosheh mi-Sinai). Thus, the
in Buddhist Maha¯ya¯na Texts, edited by E. B. Cowell, in “Sa-
rabbis determined that all birds of prey are forbidden for
cred Books of the East,” vol. 49 (1894; reprint, New York,
Jewish consumption (H:ul. 5.6). The requirement that fish
1969).
have fins and scales was qualified to include any fish that had
scales at any point in its development even if they subse-
New Sources
Clayton, Barbra. “Ahimsa, Karuna and Maitri: Implications for
quently fell off (B.T., H:ul. 66a–b). Milk from nonkosher an-
Environmental Buddhism.” Ecumenism 134 (1999): 27–31.
imals was forbidden because it was judged as having the sta-
tus of its source (Bekh. 1.2). An important exception to this
Jenkins, S. L. “The Circle of Compassion: An Interpretive Study
of Karuna in Indian Buddhist Literature.” Ph.D. diss., Har-
rule is the honey of bees, which the rabbis determined does
vard University, 1999.
not have anything from the bee’s body in it (see B.T., Bekh.
7b). The Babylonian Talmud presents criteria for distin-
Viévard, L. Vacuité (Sunyata) et Compassion (Karuna) dans le
guishing between permitted and forbidden fat (B.T., H:ul.
Bouddhisme Madhyamaka. Paris, 2002.
49b). The blood drained from permitted animals and fowl
TAITETSU UNNO (1987)
after slaughter is covered with soil or ashes (H:ul. 6.7).
Revised Bibliography
Sheh:it:ah. The method of slaughtering permitted ani-
mals and fowl, known as sheh:it:ah, is not explicated in scrip-
ture but is seen as the prime example of a law commanded
KASHMIR S´AIVISM SEE S´AIVISM
orally by Moses, to whom it was divinely revealed (B.T., H:ul.
28a). The throat of the animal or bird must be slit with a
perfectly smooth blade by a highly trained and supervised
KASHRUT, from the Hebrew word kasher (Eng., ko-
slaughterer (shoh:et:), who recites a blessing before cutting
sher), meaning “acceptable” (see Est. 8:15), denotes anything
across the gullet and windpipe, severing the jugular. Detailed
permitted by Jewish law for use. More specifically, it con-
regulations govern the process; internal irregularities found
notes the Jewish dietary laws. Kashrut pertains directly to (1)
in the lungs and other organs render even properly slaugh-
permitted and forbidden animals, (2) forbidden parts of oth-
tered animals unfit for consumption by Jews (t:erefah, Hul.
erwise permitted animals, (3) the method of slaughtering and
3.1ff.). Various procedures are presented for draining the
preparing permitted animals, (4) forbidden food mixtures,
blood from the slaughtered animal, such as opening the ar-
and (5) proportions of food mixtures prohibited ab initio but
teries and veins, soaking and salting the meat, and broiling
permitted ex post facto. The rules of kashrut are derived from
the meat over a flame. The laws that required Jews to eat
biblical statute, rabbinic interpretation, rabbinic legislation,
meat slaughtered by a trained shoh:et: often determined where
and custom, as outlined below.
Jews could and could not live, and the presence of a kosher
butcher has, in modern Jewish history, often symbolized the
BIBLICAL LAW. According to the Bible, animals permitted
existence of an observant Jewish community.
for Jewish consumption must have fully cloven hooves and
chew the cud (Lv. 11:3). Forbidden fowl are listed (Lv.
Milk and meat. In the area of mixing milk and meat,
11:13–19, Dt. 14:11–18), as are forbidden insects (Lv. 11:
rabbinic interpretation considerably expanded the biblical
21–22, Dt. 14:20), but no characteristics are presented for
prohibition of simply not “cooking a kid in its mother’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
KASHRUT
5107
milk.” The rabbis extended this law from animals fit to be
modern times, it has become the custom in Western Europe
offered on the altar (i.e., the lamb) to all animals and fowl
and America (but not in Israel) for the hindquarters of
in order to avoid any possible confusion (B.T., H:ul. 104a).
slaughtered animals to be sold to non-Jews as a regular prac-
The Talmud interprets the threefold mention of this prohi-
tice rather than their being eaten by Jews.
bition in the Pentateuch as entailing three distinct prohibi-
Because of the rabbinic requirement for the internal ex-
tions: (1) eating, (2) cooking, and (3) deriving any monetary
amination of slaughtered animals (bediqah) to determine
benefit from such a mixture of meat and milk. These prohi-
whether or not any abnormalities were present before slaugh-
bitions were elaborated by requirements for the use of sepa-
tering, elaborate methods of certification have evolved to
rate dishes and utensils for meat foods and milk foods.
guard against error or fraud. Often there are today compet-
RABBINICAL LEGISLATION. In addition to the interpretations
ing rabbinical groups giving approval to different sources of
presented as ultimately Mosaic, the rabbis legislated addi-
kosher meat inasmuch as demands for reliability vary. Also,
tional rules in connection with those seen as biblical or tradi-
advances in food technology have led to the requirement that
tional. All insects were forbidden because it was assumed that
most processed foods be rabbinically certified (heksher) as not
there was no longer to be found the necessary expertise to
containing any forbidden substances.
distinguish between those permitted and those forbidden.
(T:az [David ben ShemuDel ha-Levi] on Shulh:an Earukh,
Because of the custom in many Hungarian communities
Yoreh de Eah 85.1). Because of concern that gentiles might
not to consume meat with certain irregularities nevertheless
mix milk from nonkosher sources in the milk they sell to
permitted by rabbinical legislation, the practice of certifying
Jews, and that cheese from gentiles might contain nonkosher
meat as glat: kosher (Yi., “smooth,” without blemish) arose.
rennet, the precaution arose that milk and cheese must be
In America, since the immigration of many Hungarian Or-
prepared under Jewish supervision ( EA.Z. 2.6). When this
thodox Jews after World War II, glat: kosher has become a
was not a likely possibility, however, this precaution was re-
connotation of a stricter and more reliable level of kashrut.
laxed (Responsa Tashbatz, 4.1.32). The rabbis ruled that
Custom varies as to how long one is to wait after con-
whereas one may follow a milk meal with a meat meal (ex-
suming meat before consuming milk. Moses Maimonides
cept when hard cheese was eaten), after washing the hands
(1135/8–1204), followed by most other authorities, required
and rinsing the mouth, one must wait a period of time before
a six-hour interval (Mishneh Torah, Forbidden Foods 9.28).
consuming a milk meal after a meat meal.
Other authorities require a much shorter interval (B.T., H:ul.
Because at times meat foods and milk foods are acciden-
105a; Tos., s.v. le-se Eudata). Customarily, eastern European
tally mixed, the rabbis developed a number of rules to deter-
Jews and Sephardic Jews and their descendants follow Mai-
mine whether or not the mixture could be used ex post facto.
monides; German Jews and their descendants wait three
Generally, if the ratio is 60 to 1 or more, then the smaller
hours; and some Dutch Jews of Sephardic origin wait as little
substance is considered absorbed (bat:el) in the larger sub-
as slightly over one hour.
stance (B.T., H:ul. 97b), provided the smaller substance nei-
Orthodox and Conservative Judaism generally follow
ther changes the flavor of the larger substance, or gives the
the same standards of kashrut, based on biblical, rabbinic,
larger substance its actual form, and provided the smaller
and customary rules. Conservative Judaism, however, tends
substance is not still found intact.
to follow more lenient options within the law itself, such as
In order to discourage social contact between Jews and
not requiring cheeses manufactured in the United States to
gentiles which might lead to intermarriage and assimilation
be certified kosher. Reform Judaism, because it does not re-
(B.T., EA.Z. 36b; J.T., Shab. 3c), and because non-Jewish
gard halakhah in toto as authoritative, does not, therefore,
wine might have been produced for idolatrous purposes, the
regard kashrut as binding. Some Reform Jews as an individu-
rabbis forbade Jews to drink wine or wine products made by
al option do follow kashrut completely, and others follow at
non-Jews (B.T., EA.Z. 29b). However, because certain non-
least those rules that are biblically explicit.
Jews were no longer considered idolators, and for other rea-
THEOLOGICAL INTERPRETATION. Although scholars have
sons, a number of authorities relaxed some (but not all) of
long recognized similarities between the biblical laws and
these prohibitions. (See, for example, Maimonides’ Mishneh
other ancient Near Eastern customs, the laws of kashrut are
Torah, Forbidden Foods 11.7; Mosheh Isserles’s Responsa,
traditionally considered to be h:uqqim, that is, laws about
no. 124.)
which “Satan and the gentiles raise objections” (B.T., Yoma D
67b), namely laws without apparent reasons. Nevertheless,
CUSTOM. Custom determines a number of kashrut regula-
Jewish theologians have attempted to penetrate their deeper
tions, often being divergent in different communities. If cer-
meaning to discover hidden reasons for them.
tain fowl is not customarily eaten in a particular community,
then this custom has the force of law there for no other rea-
Because of the frequent biblical mention of holiness
son. Although the hindquarters of permitted mammals may
(qedushah) in connection with these laws (e.g., Lv. 11:44–
be eaten after the sciatic nerve has been totally removed, be-
45), a number of the rabbis emphasized that their very unin-
cause of the great amount of energy and time required by this
telligibility is a test of one’s full acceptance of the authority
procedure, and because of the greater availability of meat in
of God’s law (e.g., Gn. Rab. 44.1). However, even here 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
5108
KA¯S´I
general reason of holiness is taken to mean separation of Jews
ger (London, 1966), and in Douglas’s “Critique and Com-
from gentiles (Lv. 20:26). The importance of this general
mentary” on Neusner in his volume, pp. 137–142.
motif is seen in texts from the Maccabean period (c. 150
DAVID NOVAK (1987 AND 2005)
BCE), when the forced assimilation of Jews usually began with
making them eat forbidden foods (Dn. 1:8, 2 Mc. 7:1ff., 4
Mc. 5:1ff.). In rabbinic law one is required to die as a martyr
rather than violate kashrut, when the violation is clearly sym-
KA¯S´I SEE BANARAS
bolic of general apostasy (B.T., San. 74a).
Some of the earliest and latest rationales for kashrut have
emphasized the moral intent of having Jews refrain from
KATHENOTHEISM SEE HENOTHEISM
foods that are either taken from cruel animals (Letter of Ar-
isteas, 142–147) or, also, symbolize bad moral traits (S. R.
Hirsch, Horeb, trans. M. Hados, New York, 1951). Interest-
KAUFMANN, YEH:EZKEL (1889–1963), was an Is-
ingly, early Christian criticism of Judaism argued that Jewish
raeli Bible scholar and philosopher of Jewish history. Born
preoccupation with these laws actually leads to the neglect
in the Ukraine, Kaufmann was educated in Bible, Talmud,
of morality (Mk. 7:14–23).
and Jewish history and received a doctorate in philosophy
Maimonides saw the reasons for these laws as being
from the University of Bern in 1918. From 1914 to 1928
based on both considerations of safe and healthy diet and the
he lived in Germany, writing on Jewish nationalism. Immi-
avoidance of some ancient idolatrous practices (Guide of the
grating to Israel (then Palestine) in 1928, he published a
Perplexed, ed. Shlomo Pines, Chicago, 1963, 3.48; cf.
four-volume historical-sociological interpretation of Jewish
H:inukh, no. 92). This emphasis on physiological reasons is
history, Golah ve-nekhar (Exile and alienage; 1928–1932).
followed by other Jewish scholars, such as ShemuDel ben
His eight-volume Toldot ha-emunah ha-Yisre Delit (A history
MeDir in the twelfth century (e.g., on Lv. 11:30 re B.T., Shab.
of the religion of Israel; 1937–1956) is the most comprehen-
86b) and Moses Nahmanides in the thirteenth century (e.g.,
sive study of biblical religion by a modern Jewish scholar.
on Lv. 11:9 in his Commentary on the Torah). Others, howev-
From 1949 until 1957 he was professor of Bible at the He-
er, reject this whole approach as unduly secular (e.g.,
brew University of Jerusalem.
Avraham ben David of Posquières on Sifra: Qedoshim, ed.
Kaufmann’s major writings, historical and ideological,
I. H. Weiss, 93d; Zohar 3:221a–b). The qabbalists, based on
are distinguished by philosophical sophistication, method-
their view that every mundane act is a microcosm of the mac-
ological reflectiveness, and detailed textual analysis. In Tol-
rocosm of divine emanations (sefirot), worked out elaborate
dot, a comprehensive, detailed analysis of the Bible and bibli-
symbolic explanations of how the laws of kashrut reflect the
cal religion, he argues (1) that the idea of one God ruling
cosmic economy and of their spiritual effect on human life.
over nature was the unique creation of the nation of Israel,
Among these mystics were, in the fourteenth century,
(2) that monotheism arose during the early stages of the na-
Menahem Recanati, author of T:a Eamei ha-mitsvot and, in
tion’s history, and (3) that, far from being influenced by gen-
the fifteenth century, Yitsh:aq Arama, author of EAqedat
uine paganism, Israel was virtually ignorant of it. This work,
Yitsh:aq. In these classic qabbalistic treatments of kashrut, for-
which criticized prevalent ideas of modern biblical scholar-
bidden foods were seen as imparting the cosmic impurity of
ship regarding the dating of the Torah texts, Israelite mono-
the demonic forces that work against the godhead.
theism, and the impact of paganism on Israelite religion, had
a decisive influence on an entire generation of Jewish Bible
SEE ALSO Food; Passover.
scholars.
In Golah ve-nekhar, Kaufmann employs historical-
BIBLIOGRAPHY
sociological arguments to demonstrate (1) that Israel’s com-
The literature on kashrut is enormous, in both English and He-
mitment to the monotheistic idea was the decisive factor en-
brew. The following English works are particularly useful: J.
suring the nation’s survival in exile and (2) that in the mod-
J. Berman’s Shehitah: A Study in the Cultural and Social Life
ern era of secularization and nationalism, only a Jewish
of the Jewish People (New York, 1941); Samuel H. Dresner
homeland could ensure the people Israel’s survival. Like his
and Seymour Siegel’s The Jewish Dietary Laws, 2d rev. ed.
biblical studies, this work is distinguished from other works
(New York, 1966); Isidor Grunfeld’s work by the same
on Jewish history both by its scope and by its mode of argu-
name, especially volume 1, Dietary Laws with Particular Ref-
mentation.
erence to Meat and Meat Products (New York, 1972); Isaac
Klein’s A Guide to Jewish Religious Practice (New York,
1979); and my Law and Theology in Judaism, vol. 2 (New
BIBLIOGRAPHY
York, 1976). Two very different approaches to understand-
Works by Kaufmann
ing the relationship between dietary and other purity laws
Kaufmann’s major works remain untranslated. An abridged trans-
can be found in Jacob Neusner’s The Idea of Purity in Ancient
lation of Toldot ha-emunah ha-Yisre Delit, containing Kauf-
Judaism (Leiden, 1973) and Mary Douglas’s Purity and Dan-
mann’s major arguments, is The Religion of Israel from Its Be-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KEIZAN
5109
ginnings to the Babylonian Exile, translated and abridged by
Denko¯roku), founded a memorial hall at Yo¯ko¯ji to enshrine
Moshe Greenberg (Chicago, 1960). An English essay, “The
relics of five generations of So¯to¯ Zen patriarchs, wrote begin-
Biblical Age,” in Great Ages and Ideas of the Jewish People, ed-
ner’s guides to Zen training, and compiled detailed instruc-
ited by Leo W. Schwarz (New York, 1956), covers the devel-
tions for every aspect of Zen monastic life. His most influen-
opment of Israelite religion to the end of the Second Temple.
tial contribution was his detailed instructions on how the
A preliminary presentation of his Hebrew studies of Joshua
abbotship of his monasteries should be rotated among several
and Judges is The Biblical Account of the Conquest of Palestine,
lines of succession so as to ensure united support and avoid
translated by M. Dagut (Jerusalem, 1953).
schisms. This method of rotating abbotship became widely
Works about Kaufmann
adopted among subsequent So¯to¯ monasteries. It was imple-
A critical discussion of Kaufmann’s basic arguments regarding
mented most successfully not at Yo¯ko¯ji, but at So¯jiji, which
biblical Israel is Moshe Greenberg’s “Kaufmann on the
eventually grew to have more affiliated branch temples than
Bible: An Appreciation,” Judaism 13 (Winter 1964): 77–89.
any other So¯to¯ institution. By the beginning of the twenty-
For Kaufmann’s interpretation of Jewish history, see my own
“Religion, Ethnicity and Jewish History: The Contribution
first century, So¯jiji, relocated in 1910 to Yokohama (next to
of Yehezkel Kaufmann,” Journal of the American Academy of
Tokyo), had become one of the two headquarter temples
Religion 42 (September 1974): 516–531. Kaufmann’s histor-
(along with Eiheiji) of the So¯to¯ Zen school. In 1909 the
ical-sociological method is discussed critically in my “Histor-
Meiji emperor (Mutsuhito, 1852–1912) awarded Keizan
ical Sociology and Ideology: A Prolegomenon to Yehezkel
with the posthumous name Jo¯sai Daishi.
Kaufmann’s Golah v DNekhar,” in Essays in Modern Jewish
History: A Tribute to Ben Halpern, edited by Frances Malino
Keizan’s life and its significance have been the subject
and Phyllis Cohen Albert (East Brunswick, N.J., 1982),
of much unsubstantiated speculation. Many modern Japa-
pp. 173–195.
nese interpretations of Keizan reflect an artificial structural
antagonism between him and Do¯gen, with the latter’s teach-
New Sources
Luz, Ehud. “Jewish Nationalism in the Thought of Yehezkel
ings being portrayed as more pure, more elitest, and more
Kaufmann.” Binah 2 (1989): 177–190.
monastic in orientation, in contrast to which Keizan’s teach-
ings are seen as more eclectic, more common, and more ac-
LAURENCE J. SILBERSTEIN (1987)
cessible to laypeople. This narrative of Keizan as the purport-
Revised Bibliography
ed popularizer of Do¯gen’s so-called strict Zen rests not on
the historical evidence but on simplistic apologetics that at-
tempt to justify So¯jiji’s modern preeminence over and above
KAZAKH RELIGION SEE INNER ASIAN
Do¯gen’s Eiheiji. Keizan, as much as Do¯gen, focused his life’s
RELIGIONS
efforts on providing strict monastic training for monks and
nuns. Likewise, Do¯gen, as much as Keizan, worked to build
an institutional foundation for Japanese Zen. Keizan was
KEIZAN (1264–1325), more fully Keizan Jo¯kin, was the
long departed before subsequent generations of monks at
founding abbot of the So¯jiji Zen monastery. Since the late
So¯jiji and its affiliates began effecting the rapid growth and
nineteenth century, he has officially been designated, along
transformation of So¯to¯ Zen into an institution consisting
with Do¯gen (1200–1253), as one of the two founding patri-
primarily of local temples that service the religious needs of
archs of the Japanese So¯to¯ Zen school.
laypeople who themselves do not practice Zen.
Born in 1264 (not 1268 as previously assumed), Keizan
It is also true, however, that Keizan was a man of his
entered Eiheiji, the Zen monastery founded by Do¯gen in
times. In addition to Zen history, Zen training, and Zen mo-
Echizen province, in 1276. Keizan studied Zen directly
nasticism, his writings reveal many religious themes common
under four of Do¯gen’s leading disciples: Ejo¯ (1198–1280),
to other fourteenth-century Japanese religious writings. Kei-
Jakuen (1207–1299), Gien (d. 1313), and Gikai (1219–
zan openly described, for example, his reliance on inspired
1309). In 1298 Keizan succeeded Gikai as second abbot of
dreams as a source of religious authority, his use of astrology,
Daijo¯ji monastery in Kaga province. Eventually Keizan en-
his devotion to his mother and grandmother, his invocation
trusted Daijo¯ji to his disciple, Meiho¯ Sotetsu (1277–1350),
of the local gods who protect Buddhism, and his devout faith
and began constructing a new monastery in Noto province
in the bodhisattva Avalokite´svara (Japanese, Kannon). These
named To¯koku-san Yo¯ko¯ji, which he envisioned as the fu-
kinds of trans-sectarian religious values exerted, no doubt, a
ture headquarters of the So¯to¯ Zen lineage in Japan. With
greater influence on the lives of ordinary people than did
Yo¯ko¯ji as his base, Keizan founded six more monasteries
Keizan’s difficult Zen practices or abstruse Zen doctrines.
nearby, including Ho¯o¯ji, the first So¯to¯ nunnery, and So¯jiji,
For this reason, Keizan’s surviving writings constitute prime
which he entrusted to his disciple Gasan Jo¯seki (1276–
sources for the study of medieval Japanese religiosity and the
1366).
ways that it interacted with sectarian doctrinal traditions
(such as Zen) and their institutions.
Keizan worked hard to establish a firm religious and in-
stitutional basis for the nascent So¯to¯ Zen school. Toward
Keizan’s numerous writings were not collected, edited,
these ends, he authored a history of the So¯to¯ Zen lineage (the
or published during his lifetime. Extant manuscript versions,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5110
KEMPE, MARGERY
as well as published editions, are marred by numerous textual
were dangerous, as they several times led to her arrest as a
defects, copyist errors, and arbitrary editorial deletions, addi-
heretic and a narrow escape from burning. For about twenty-
tions, and rearrangements. Scholars have not begun to re-
five years, Kempe was a perpetual pilgrim, visiting not only
solve all the difficulties these texts present. Nonetheless, Kei-
every shrine in England but also the Holy Land, Rome, San-
zan’s authorship of the major works traditionally attributed
tiago de Compostela in Spain, and various northern German
to him is no longer considered doubtful. These major words
centers, gradually establishing a reputation as a prophetess
include the following: Denko¯roku (History of the transmis-
and seer among the less learned.
sion of the light); Zazen yo¯jinki (How to practice sitting
Kempe’s importance for history lies in her autobiogra-
Zen); To¯koku gyo¯ji jijo (Procedures at To¯koku monastery),
phy, the first in English, a book intended for the edification
also known as Keizan shingi (Keizan’s monastic regulations);
of nuns. Although full of moralizing and sermons, it has a
and To¯kokuki (Chronicle of To¯koku monastery).
saving shrewdness and interest in the world. In the course
of her travels, Kempe had numerous alarming encounters
SEE ALSO Do¯gen; Zen.
and met a host of people, from the archbishops of Canter-
bury and York, the holy Julian of Norwich, and innumerable
BIBLIOGRAPHY
friars to a wide range of fellow pilgrims and lesser govern-
Azuma Ryu¯shin. Keizan Zenji no kenkyu¯ (A study of Zen teacher
ment officials. It was her wish to write a mystical treatise,
Keizan). Tokyo, 1974.
such as the famous Cloud of Unknowing, but what she did,
Bodiford, William M. So¯to¯ Zen in Medieval Japan. Honolulu,
in her autobiography, was to lay the fifteenth-century world
1994.
before the reader in all its violence and piety; its blend of the
Bodiford, William M. “Keizan’s Dream History.” In Religions of
spiritual and the venal, ignorance and learning, feudalism,
Japan in Practice, edited by George J. Tanabe Jr.,
democracy, and petty officialdom; its magnificence and utter
pp. 501–522. Princeton, 1999.
filth. Here is the authentic background to Chaucer’s Canter-
Faure, Bernard. Visions of Power: Imagining Medieval Japanese
bury Tales. No other medieval document enables one so
Buddhism. Translated by Phyllis Brooks. Princeton, 1996.
clearly to realize what it was actually like for a humble pil-
Hirose Ryo¯ko¯. “Eiheiji no suiun to fukko¯ undo¯” (The decline and
grim to live and to travel in fifteenth-century Europe.
revival of Eiheiji monastery). In Eiheijishi (The history of Ei-
heiji monastery), edited by Sakurai Shu¯yu¯, vol. 1,
BIBLIOGRAPHY
pp. 379–541. Fukui Pref., 1982.
The Book of Margery Kempe, edited by Hope E. Allen and Sanford
Keizan Zenji Ho¯san Kanko¯kai, eds. Keizan Zenji kenkyu¯ (Re-
B. Meech (London, 1940), is the text dictated by Kempe to
searches on Zen teacher Keizan). Tokyo, 1974.
a priest about 1438, in the original spelling and fully anno-
tated. The narrative is confused in many places, and the read-
Sahashi Ho¯ryu¯. Ningen Keizan (Keizan as a human being). Tokyo,
er will be greatly assisted by the only modern study, Memoirs
1979.
of a Medieval Woman: The Life and Times of Margery Kempe,
“Taiso Keizan Zenji roppyaku goju¯kai daionki ho¯san.” (Special
by Louise Collis (New York, 1964), also published under the
issue dedicated to the 650th anniversary of the Great Patri-
title The Apprentice Saint (London, 1964). This biography
arch Keizan.) Shu¯gaku kenkyu¯ 16 (1974).
places Kempe’s adventures in their proper historical perspec-
Takeuchi Ko¯do¯. “Keizan Zenji ryaku nenpyo¯ (seju rokuju¯ni sai)”
tive, relating them to the wider political, social, and religious
(Brief chronology of Zen teacher Keizan’s sixty-two-year life-
issues of the day.
time). So¯to¯shu¯ kenkyu¯in kenkyu¯sei kenkyu¯ kiyo¯ 18 (1986):
LOUISE COLLIS (1987)
151–164.
WILLIAM M. BODIFORD (2005)
KENYON, KATHLEEN. Kathleen Mary Kenyon
(1906–1978) was born in London on January 5, 1906. She
KEMPE, MARGERY (c. 1373–c.1440), English pil-
graduated from Somerville College, Oxford, in 1929, and in
grim, autobiographer, and professional holy woman. Kempe
1934 she cofounded, with Mortimer Wheeler and Tessa
was the daughter of a prosperous merchant of King’s Lynn,
Wheeler, the University of London’s Institute of Archaeolo-
England. Although happily married, she tended to have hys-
gy. Kenyon served as the institute’s first secretary, then as in-
terical fits during which God spoke to her. At about the age
terim director during World War II. She was a lecturer in
of forty, having had fourteen children, she persuaded her
Palestinian archaeology (1949–1962); was appointed honor-
husband that God wished them to take a vow of chastity. By
ary director of the British School of Archaeology in Jerusa-
this time the Deity was conversing agreeably with her nearly
lem in 1951; and excavated Jericho between 1952 and 1958
every day. Her meditations tended to concentrate on the Pas-
and Jerusalem from 1962 to 1967. She served as principal
sion and to bring on wild lamentations, uncontrollable
of Saint Hugh’s College from 1962 to 1973 and upon her
floods of tears, and rollings on the ground. These were wide-
retirement in 1973 received the title Dame of the Order of
ly acceptable signs of grace in the Middle Ages, but there
the British Empire, 1973. After her death on August 24,
were always some who declared her a fraud. Such charges
1978, in Wrexham, Wales, the British School of Archaeolo-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KEPLER, JOHANNES
5111
gy in Jerusalem was renamed the Kenyon Institute in her
nest Sellin, conducted the first scientific excavations (1907–
honor (2003).
1909, 1911). They uncovered remains of a massive city wall
and palace—validation, they claimed, of the Old Testament
Kenyon is a significant figure in the history of Near
story of Jericho’s destruction (Jos. 6). However, after analyz-
Eastern archaeology. She created the Wheeler-Kenyon exca-
ing stamped jar handles and Egyptian scarabs associated with
vation method, contributed to establishing a dating system
the wall, Watzinger concluded that the wall had been de-
for Iron II occupation levels, established the Neolithic ori-
stroyed during the Middle Bronze period, much earlier than
gins of biblical Jericho, and uncovered the occupational his-
the Israelite conquest. The excavations of the British archae-
tory of Samaria. She was a teacher as well as a practitioner
ologist John Garstang (1930–1936) revealed remains of a
of archaeology. In addition to lecturing at the University of
network of walls whose collapse, he argued, resulted from
London’s Institute of Archaeology, she also conducted field
military destruction rather than disrepair or erosion. He
schools at her excavations in Jericho and Jerusalem. There
dated the walls to about 1400 BCE and, dismissing Watz-
she trained the next generation of archaeologists from En-
inger’s conclusions, announced that the archaeological evi-
gland, the United States, and Europe who in turn handed
dence confirmed the Israelite destruction of Jericho.
on her legacy to their students.
Kenyon’s Jericho project uncovered evidence of Natufi-
Kenyon began her distinguished archaeological career in
an culture just above bedrock and, in the next strata, a mud-
1929 as a photographer of Gertrude Canton-Thomson’s ex-
brick tower dated to the Neolithic period (c. 8000 BCE),
cavation of the ruins of Zimbabwe in Rhodesia. When she
making Jericho the earliest-known walled city. Her excava-
returned to England, Kenyon worked with Mortimer Whee-
tion of tombs in the same strata city provided evidence for
ler and Tessa Wheeler at Verulamium (Saint Albans), direct-
Neolithic funeral rites: clay-covered skulls decorated with
ing the excavation of the Roman theater during the summer
paint and shells. She found that the mud-brick city walls had
field seasons from 1930 to 1935. Wheeler was considered the
been repaired and rebuilt some seventeen times, probably be-
founder of modern British archaeology, and Kenyon learned
cause of earthquake damage. The building of the most recent
his box-grid excavation system. The Wheeler system divided
wall Kenyon dated to around 2300 BCE; it was destroyed in
a site into five-meter squares with one-meter balks (walls) be-
about 1550 BCE. Only a small, unfortified settlement existed
tween them in order to uncover and excavate horizontally the
on the site when the Israelites entered Canaan (c. 1400 BCE).
layered remains of human occupation according to their nat-
Her interpretation prevails, despite subsequent criticism (see
ural contours. Layers (strata) differed in color, consistency,
Wood, 1990).
and contents—information generally previously unrecorded
Kenyon’s final excavation (1962–1967) focused on the
on excavations whose major goal was recovering a site’s archi-
City of David, just south of the Temple Mount, the oldest
tecture. Diagnostic ceramics (for example, jar handles, rims,
inhabited part of Jerusalem. The most important architectur-
and bases) helped to date the strata from which they were
al features she uncovered were stepped-stone structures
recovered.
whose function and dating remain ambiguous. The 1967
Kenyon’s first foray into Near Eastern archaeology was
Six-Day War terminated Kenyon’s excavation. She died be-
her collaboration with John Crowfoot and Grace Crowfoot
fore she could publish final field reports on her work in Jeru-
at Samaria (1931–1933). Kenyon used Wheeler’s method to
salem.
excavate trenches across the top of the mound and down its
SEE ALSO Archaeology and Religion.
northern and southern slopes, uncovering evidence of
human occupation from the Roman period to Iron II. Her
BIBLIOGRAPHY
findings provided important ceramic dating material for Pal-
Kenyon, Kathleen. Digging up Jericho. London, 1957.
estinian Iron II stratigraphy and for the study of terra sigilata
Kenyon, Kathleen. Excavations at Jericho. 2 vols. London, 1960,
ware. Colleagues considered Kenyon’s fieldwork at Samaria
1965.
a high point in Palestinian archaeology.
Kenyon, Kathleen. Amorites and Canaanites. London, 1966.
Kenyon directed her career-defining excavation of Tel
Kenyon, Kathleen. Royal Cities of the Old Testament. London,
es-Sultan, ancient Jericho, from 1952 to 1958. Building on
1971.
her work in Samaria, she created the Wheeler-Kenyon meth-
Kenyon, Kathleen. Digging up Jerusalem. London, 1974.
od, which is still a popular technique among Near Eastern
Kenyon, Kathleen. The Bible and Recent Archaeology. London,
archaeologists. By this method, she dug a deep, stepped
1978; rev. ed., 1987.
trench down to bedrock on one side of the site in order to
Wood, Bryant G. “Did the Israelites Conquer Jericho?” Biblical
trace its history of human occupation. To follow a surface
Archaeology Review 16 (March–April 1990): 44–58.
or a building’s foundations, for example, she excavated hori-
KATHLEEN S. NASH (2005)
zontally in a series of five-meter squares, leaving balks intact.
Jericho was one of the first sites excavated in Palestine.
The British engineer Charles Warren surveyed the site in
KEPLER, JOHANNES (1571–1630), was the discov-
1868. Two German archaeologists, Carl Watzinger and Er-
erer of the laws of planetary motion named after him. 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
5112
KERÉNYI, KÁROLY
was born at Württemberg, Germany. Owing to his family’s
sisted in his Astronomia nova (1609) that the biblical refer-
poverty, the young Kepler had to leave school to work in the
ences to nature are not natural philosophy, he goes on to say:
fields, but his physique was too frail for such labor. In 1584,
And I urge my reader also not to be forgetful of the di-
therefore, he decided to train for the priesthood. His brilliant
vine goodness imparted to men, when the Psalmist in-
academic record earned him acceptance at the University of
vites him particularly to contemplate this, when having
Tübingen, where he was introduced to the ideas of Coperni-
returned from the temple, he has again entered the
cus. In 1594 he was appointed to the professorship of astron-
school of astronomy. Let him join with me in praising
omy at Graz. There, in addition to preparing astrological al-
and celebrating the wisdom and greatness of the Cre-
manacs, he devoted himself to studying the solar system. His
ator which I disclose to him from the deeper explana-
publication of Mysterium cosmographicum (1595) attracted
tions of the form of the universe, from the enquiry into
the attention of the great Danish astronomer Tycho Brahe,
its causes, from the detection of errors of appearance.
who invited him to Prague and whom he succeeded as impe-
Thus not only let him recognize the well-being of living
things throughout nature, in the firmness and stability
rial astronomer to the emperor Rudolf II, in 1601. Kepler
of the world so that he reveres God’s handiwork, but
published some optical discoveries in 1604 and, in 1609,
also let him recognize the wisdom of the Creator in its
found that the orbit of Mars was elliptical in shape. In the
motion which is as mysterious as it is worthy of all ad-
latter year he also explained the cause of tides. In his Diop-
miration.
trice (1611), Kepler developed the principle of the astronom-
ical (or inverting) telescope. Deeply anguished by the un-
BIBLIOGRAPHY
timely death of his favorite child and, soon after, that of his
The definitive biography of Kepler is Max Casper’s Johannes Kep-
wife, Kepler sought release by plunging into his studies of
ler (Stuttgart, 1950), which has been translated and edited
the heavenly bodies. By 1619 he had discovered the last of
by C. Doris Hellman as Kepler (New York, 1959). A popular
his three famous laws, which he published in De harmonice
and very readable account is Arthur Koestler’s The Water-
mundi. It should be remarked that “Kepler’s laws of motion”
shed: A Biography of Johannes Kepler (New York, 1960).
were scattered amid many other conjectures and planetary
Books 4 and 5 of Kepler’s The Epitome of Copernican Astrono-
relationships postulated by Kepler and that he himself did
my and book 5 of his Harmonies of the World can be found
in the series “The Great Books of the Western World,” vol.
not attach particularly great importance to them (as opposed
16 (Chicago, 1952).
to other relationships that did not prove so fruitful for later
science).
New Sources
Ferguson, Kitty. Nobleman and His Housedog: Tycho Brahe and Jo-
Kepler’s work is permeated with his conviction that the
hannes Kepler: The Strange Partnership that Revolutionised Sci-
book of nature is written in mathematical symbols and that
ence. London, 2002.
reality can be grasped only through mathematics. “Just as the
Field, J. V. Kepler’s Geometrical Cosmology. Chicago, 1988.
eye was made to see colors, and the ear to hear sounds,” he
Gingerich, Owen. Eye of Heaven: Ptolemy, Copernicus, Kepler.
said, “so the human mind was made to understand, not
New York, 1993.
whatever you please, but quantity.” Kepler seems never to
have shown any opposition to or disrespect for theology, al-
RAVI RAVINDRA (1987)
Revised Bibliography
though he regarded the realms of the theologians and the
natural philosophers as quite different. He insisted that the
Bible, when it refers to natural objects and events, should not
be taken literally.
KERÉNYI, KÁROLY (1897–1973), was a Hungarian-
Kepler took his religion, in which he displayed an un-
born scholar of classical philology, the history of religions,
yielding individualism, seriously. He was expelled from his
and mythology. He was born in the southeastern corner of
home and from his position at Graz for refusing to embrace
the Austro-Hungarian Empire in the town of Temesvár (now
Roman Catholicism, and he was excluded from communion
Timisoara, Romania). Growing up in a Roman Catholic
in the Lutheran church in Linz both for his refusal to give
family of small landowners, Kerényi learned Latin and was
a written statement of conformity with the Lutheran doc-
drawn to the study of languages. Classical philology was his
trine and also on suspicion of being a secret Calvinist. He
major subject at the University of Budapest; his doctoral dis-
wanted to find a genuine harmony among these three fac-
sertation (1919) was entitled “Plato and Longinus: Investiga-
tions: “It hurts my heart that the three factions have misera-
tions in Classical Literary and Aesthetic History.” He spent
bly torn the truth to pieces between them, that I must collect
several years as a secondary-school teacher, traveled in Greece
the bits wherever I can find them, and put them together
and Italy, and undertook postdoctoral studies at the universi-
again.”
ties of Greifswald, Heidelberg, and Berlin, under Hermann
Diels, Ulrich von Wilamowitz-Moellendorff, Eduard Nor-
In his astronomical work—discovering laws and harmo-
den, Eduard Meyer, and Franz Boll. To Boll he dedicated
nies of the solar system and the music of the spheres, to
his first book, Die griechisch-orientalische Romanliteratur in
which he assigned specific musical notes—Kepler regarded
religionsgeschichtlicher Beleuchtung (1927), the scholarly re-
himself as priest of God in the temple of nature. Having in-
ception of which led to Kerényi’s appointment as privatdo-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KERÉNYI, KÁROLY
5113
cent in the history of religions at the University of Budapest.
until his death in 1973. Between 1941 and 1963 he lectured
He became professor of classical philology and ancient histo-
frequently at the annual Eranos conferences in Ascona.
ry at Pécs in 1934 and at Szeged in 1941, while retaining his
T
docentship at Budapest.
HE SCIENCE OF MYTHOLOGY. Kerényi’s approach to Greek
religion in his first book on Hellenistic romance literature
During a visit to Greece in 1929, Kerényi met Walter
was consistent with the standard historical method. In the
F. Otto (1874–1958), whose approach to the history of reli-
1930s he followed Otto’s interpretation of the Greek god-
gions influenced him profoundly. He resolved to combine
heads as “forms of being” (Seinsgestalten), that is, ideal figures
the “historical” and the “theological” methods and to go be-
corresponding to particular spheres of reality in the common
yond the limits of academic philology. His first works in this
experience of the world, whose essential aspects are repre-
new direction were the essay collection Apollon (1937) and
sented by means of symbolic features. The exposure to these
Die antike Religion (1940).
“forms” has a strong emotional impact, but the impact is not
merely a psychic phenomenon, because it has an objective
Two significant influences from outside his field came
reference. Kerényi, like Otto, made use of the anthropologist
to bear on Kerényi in the 1930s. In 1934 he began a corre-
Leo Frobenius’s Ergriffenheit—the idea of “being-grasped”
spondence with Thomas Mann (1875–1955) that, except for
by prominent phenomena of the external world—which pro-
a wartime hiatus, lasted until Mann’s death. In the late 1930s
motes myth-making activity in human cultures. Kerényi
Kerényi came into contact with C. G. Jung (1875–1961),
claimed that scientific inquiry into religions does not face the
and their first joint publication on mythology appeared in
mind’s “illusions” but rather its “realities” (“Realitäten der
1941. Jung encouraged Kerényi’s move to Switzerland in
Seele,” in Apollon, 1937, p. 27). Mythology, in other words,
1943 as a cultural attaché charged with maintaining contact
is grounded in actual human life, not insane or childish im-
with the Western democracies, in spite of Nazi domination
agery, as positivism had envisaged it. At the same time, how-
of Hungary; the following year, when the Germans occupied
ever, such fundamental “humanism” cannot be understood,
his homeland, Kerényi could not return to Hungary and
as historicism understands it, by explaining religion as if it
chose permanent exile in 1947. Fifteen years later he and his
were only the output of a given cultural and social setting.
family became Swiss citizens. They lived near or in Ascona,
The human “reality” reflected in myths and symbols is some-
in the Italian-speaking canton of Ticino, where Kerényi led
thing deeper than a simple matter of facts. It is a complex
the life of an independent humanist, though he taught occa-
interaction between a human being’s consciousness and the
sionally in Basel, Bonn, and Zurich. He was a cofounder in
riddles of the existence by which he or she is “grasped” and
1948 of the C. G. Jung Institute in Zurich, where he also
stimulated to reflect and to interpret. Kerényi’s perspective
lectured.
is thus equally distant from metaphysical theology and from
atheistic anthropology—though it is “theological” (in a
In the course of his work with Jung, Kerényi conceived
Greek sense), because the representations of the gods are
a plan to study the Greek gods with the aim of developing
taken seriously, and also “anthropological” insofar as the
a view of the Greek pantheon that modern people could en-
human being is the ultimate concern of religious discourse.
compass; to this end he took the findings of psychology into
For this reason it has been defined as a peculiar form of reli-
consideration, while maintaining that he followed a path
gious phenomenology or hermeneutics (Magris, 1975).
separate from that of Jungian psychology. As Kerényi saw it,
every view of mythology is a view of human culture. Thus,
The basic difference with respect to Otto lies in the fact
every “theology” is at the same time an “anthropology.”
that Kerényi shares only partially his mentor’s neoclassical
Kerényi’s method was to test the “authenticity” of mytholog-
patterns of thought. Kerényi does not consider the Greek
ical tradition by examining stylistic traits. The essence of his
mythological figures as exclusively luminous and positive
work, Kerényi thought, consisted in establishing a science of
forms of being contemplated by the Hellenic “spirit.” He
ancient religion and mythology based not merely on a de-
aims to analyze the divine forms to underline their negative
tailed knowledge of the literature and archaeology but also
aspects or “dark side” (Schattenseite). For example, Apollo ap-
on a reciprocal sympathy between the interpreter and his ma-
pears on one hand as linked to beauty and light; but on the
terial; this would broaden the field of learning already
other hand he is a gloomy death-bringing god, whose symbol
opened by traditional historical methods. Mythologie der Gr-
is the wolf. The objective experience of the polarity of life
iechen (1951) and Die Heroen der Griechen (1958) are his
and death, of world and afterworld, is part of the complexity
most comprehensive achievements in this regard.
of human reality: this is what can actually “grasp” the mind
and be given a mythological form.
In exile, Kerényi’s reputation as a mythologist prospered
among scholars, and he also became known as a popular in-
While working out this research project, Kerényi found
terpreter of myths. His honors included membership in the
Jung to be a natural partner; their collaboration lasted for a
Norwegian Royal Academy of Sciences, an honorary doctor-
couple of decades after their joint programmatic work, The
ate from the University of Uppsala, the Humboldt Society
Science of Mythology (1941). The founder of analytical psy-
gold medal, and the Pirckheimer Ring of Nuremberg. In ad-
chology had been keenly interested in mythology since his
dition, he was a Bollingen Foundation fellow from 1947
break with Sigmund Freud’s psychoanalytical movement.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5114
KERÉNYI, KÁROLY
Jung assumed that along with the individual unconscious,
meanings, and situations that are deeply rooted in the uni-
which owed its existence to personal experience, a second
versal human experience. Moreover, these archetypal images
psychic system existed—the collective unconscious—
and meanings are given historical consistency only in one
inherited by all individuals and consisting of primordial
specific cultural setting, or more than one, provided that
forms, the so-called archetypes, whose main manifestations
their being interconnected is supported by anthropological
within human history were mythological constructs. Accord-
evidence. The science of mythology deals with “culture-
ing to this view, which Kerényi accepted in principle, a com-
typical” phenomena (kulturtypisch), but it achieves its goal
parison among different cultures was suitable because essen-
as a “humanistic” discipline by trying to grasp their “arche-
tially the same archetypes appear everywhere as a common
typal” relevance (archetypisch) at a deeper level than the his-
heritage of humankind. In The Science of Mythology, for ex-
torical one.
ample, the Greek myth of Persephone parallels the religious
Kerényi carried out this kind of “excavation” (the meth-
tradition of a remote Indonesian tribe (discovered by Adolf
od of archaeology offering in his view the nearest resem-
Jensen, a pupil of Frobenius), although any historical link be-
blance to the mythologist’s work) in the fifteen books and
tween the two cultures is highly hypothetical.
several brilliant papers he wrote from 1942 to 1962, the most
Another issue Jung and Kerényi shared was the analogy
creative period of his scientific career. The Greek religion
between the internal structure of myths and dreams, so that,
emerged in the Mycenaean and archaic age on the back-
as Kerényi put it, the myth can be defined as a “collective
ground of the pre-Greek Mediterranean substrate, mainly ev-
dream,” and the dream as an “individual myth.” The my-
idenced in the Minoan culture of ancient Crete. Its general
thologist is allowed to apply the method of free association
frame seems to have been a dialectic of life and death, as well
that Jung had been using with his patients, thus uncovering
as a sort of circularity between the natural world and the un-
in apparently minor details a decisive connection between
derworld. This dialectic was symbolically exhibited in such
different mythological figures or events, in which an analo-
ritual performances as the labyrinth dance (Labyrinth-
gous archetypal theme is expressed (e.g., the femaleness por-
Studien, 1942; Werke 1) or portrayed in key mythological
trayed in different ancient goddesses). But the most impor-
figures that underwent a complicated “culture-typical” evo-
tant thing Kerényi derived from Jung was undoubtedly the
lution. Initially, the female godhead prevails, whereas the
idea of the essential ambivalence of human nature. The Jun-
male godhead plays a subordinate function as begetter (Po-
gian distinction not simply between consciousness and un-
seidon-type) or divine child (Dionysos-type). The archetypal
conscious, but also between the soul and the “shadow,” and
mother-begetter scheme evolved eventually to the husband-
between animus and anima (the male and female aspect of
wife couple (Zeus und Hera, 1972). The idea of the origin
each individual soul), should have stimulated Kerényi’s view
of life also appears in a masculine version in the Cabyrian
of the mythological thought as expressing the human ambiv-
couple (father-son) around whom the mysteries of Samo-
alence through the polarity of light side and dark side, and
thrace were centered (Mysterien der Kabiren, 1944).
through the deep meaning of gender symbolism. Moreover,
The idea of life as being essentially exposed to death but
Kerényi applies, in a way, to the understanding of mythology
nevertheless triumphant over death and suffering is another
the method of the analytical therapy, according to which the
basic archetypal idea expressed in different ways by the fig-
formation of the “self” takes place when one is able to estab-
ures of Hermes and Dionysos (Hermes, 1943; Dionysos,
lish a constructive interaction with one’s hidden “double.”
1976). The feminine version of the same idea is embodied
In a similar way, the protagonist of a mythological narrative
in the mother-daughter couple (Demeter and Persephone)
also has to cope with and overcome the manifold figures of
of the Eleusinian mysteries. In this case, the rape of the maid-
death. This is the archetypal meaning of the different situa-
en by Hades (for Kerényi a form of chthonic Dionysos) em-
tions Kerényi investigated with profound sensitivity: the
phasizes the dark side of the gender relationship, but the
fight against a dragon; travel in unknown lands; the descent
male’s violence also implements the female’s transition from
to the underworld; initiation; and the heroic contest. Psy-
virginity to motherhood, whereby a divine child (a form of
chology enhances the study of myths by adding a keener in-
younger Dionysos) is given birth miraculously within the
sight into the basic questions all humans generally face (all-
realm of the dead. It is noteworthy that many issues were in-
gemeinmenschlich). The mythologist thus performs a
terlaced in an apparently simple tale: the complexity of the
“humanistic inquiry on the soul” (humanistische Seelenfor-
female nature; the process of the mother-daughter, father-
schung).
son duplication; the switching from negative to positive; and
the knowledge, transmitted by the mystery cult, that even the
Nevertheless, Kerényi carefully avoided appearing as a
sinister sphere of death allows life to endure and the deceased
psychologist or a Jungian historian of religions like Eric Neu-
to join it again (Mysterien von Eleusis, 1962).
mann. Kerényi adopted a softer version of the archetype the-
ory. He proposed that this term should be employed (in
The science of mythology does not aim to build a sys-
keeping with ancient Greek) only as an adjective, not as a
tematic theory. Its work consists in analyzing definite blocks
noun. There exist no “archetypes” as everlasting psychical
of mythical and ritual tradition; its requirements are clever-
structures in human minds, but rather “archetypal” images,
ness and extensive acquaintance with philology, archaeology,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KERÉNYI, KÁROLY
5115
and even the “indirect tradition” offered by the very sites and
3. Tage- und Wanderbücher (1969)
landscapes to which mythological tales were linked. More-
4. Apollon und Niobe (1980)
over, as Kerényi pointed out in his only methodological essay
5.1. Wege und Weggenossen I (1985)
(Umgang mit Göttlichem, 1955; Werke, 5.1), the historian of
5.2. Wege und Weggenossen II (1988)
religions, as well as the historian of art, cannot operate as a
pure scholar, since dealing (Umgang) with the divine requires
7. Antike Religion (1971)
a certain sense or taste for its object. The historian of reli-
8. Dionysos: Urbild des unzerstörbaren Lebens (1976)
gions must appreciate in the mythological figures the at-
Klett-Cotta (Stuttgart, Germany) later republished vol. 8 (1994),
tempt made by the human mind to elaborate in symbolic
vol. 7 (1995), and vol. 1 (1996), adding Mythologie der Griec-
form its experience of something transcending it. Even if
hen (1997), Töchter der Sonne (1997), and Urbilder der gr-
mythological figures did not “exist” anywhere, they ought
iechischen Religion (1998, containing Hermes, Asklepios,
not to be dismissed as a bare human invention, for the divine
Mysterien von Eleusis and Promethus). See also the correspon-
represents the deeper levels of being that humans actually ex-
dence with Thomas Mann, Gespräch in Briefen (Zurich,
perience every day (though they are unable to master them).
1960) and with Hermann Hesse, Briefwechsel aus der Nähe
(Munich and Vienna, 1984). Also of biographical interest is
The foremost mythogenic situations are birth, begetting, and
the correspondence with Furio Jesi, Demone e mito: Carteggio
death (the “high moments of life,” Höhepunkte des Lebens);
1964–1968, edited by Magda Kerényi and Andrea Cavalletti
in Kerényi’s formula, “the myth is myth of man.”
(Macerata, Italy, 1999). Kerényi’s writings in Italian have
In his last years, the debate on the “demythologization”
also been published under the title Scritti italiani (1955–
question raised by Rudolf Bultmann (1884–1976) offered
1971), edited by Giampiero Moretti (Naples, Italy, 1993).
Kerényi the opportunity to clarify his own assumptions. Re-
After the fall of the Communist regime in Hungary,
Kerényi’s early writings in Hungarian, along with some
ligion ought not be “demythologized” in order to be authen-
Hungarian translations of his German works, were pub-
tic, because it is grounded neither on doctrines nor fables,
lished.
but on events (Geschehen) in which the divine dimension of
Many of Kerényi’s major works have been translated into English:
reality is perceived while crossing the dimension of ordinary
life. Only the myth is appropriate for expressing the deeper
Apollon: The Wind, the Spirit, and the God (1937). Translated by
level of the experience. Thus the Greek word for “god”
Jon Solomon. Dallas, Tex., 1983.
(theos) originally had an adjectival rather than a substantive
The Religion of the Greeks and Romans (1940). Translated by
meaning—it stood for a property of the experienced event
Christopher Holme. New York, 1962.
and was not a definition of an abstract object (see Werke 7).
Essays on a Science of Mythology (1941). Coauthored with C. G.
Jung. Translated by Richard Francis C. Hull. Princeton,
SEE ALSO Brelich, Angelo; Jung, C. G.; Otto, Walter F.
N.J., 1969; reprinted as The Science of Mythology; London
and New York, 2001.
BIBLIOGRAPHY
Hermes, the Guide of the Souls (1942). Translated by Murray Stein.
Works
Zurich, 1976.
Kerényi (Károly, Karl, Charles, or Carlo, according to the lan-
Goddesses of Sun and Moon (1944). Translated by Murray Stein.
guage in which his work appeared) produced 295 separate
London, 1979; reprint, Dallas, Tex., 1991.
original works, chiefly in German, but also in Hungarian and
Italian. With different versions and translations, the total
Prometheus: Archetypal Image of Human Existence (1946). Trans-
number of his publications is more than five hundred; some
lated by Ralph Manheim. Princeton, N.J., 1997.
470 appeared during his lifetime and some forty were issued
The Gods of the Greeks (1951). Translated by Norman Cameron.
posthumously. Kerényi’s first book is Die griechisch-
New York, 1951; reprint, London, 1974.
orientalische Romanliteratur in religionsgeschichtlicher Beleuch-
Athene: Virgin and Mother in Greek Religion (1952). Translated by
tung (Tübingen, Germany, 1927, second edition Darmstadt,
Murray Stein. New York, 1978.
Germany, 1962). The collected works, including mono-
graphs on philology, mythology, and literature, as well as di-
Asklepios: Archetypal Image of the Physician’s Existence (1954).
aries and travel journals, have been published in eight vol-
Translated by Ralph Manheim. New York, 1959; reprint,
umes (twelve were originally projected) as Werke in
1997.
Einzelausgaben, published by Langen-Müller (Munich and
The Trickster: A Study in American Indian Mythology (1954). Co-
Vienna), and originally under the editorship of Kerényi’s
authored with Paul Radin and C. G. Jung. Translated by
wife, Magda Lukács. For a complete bibliography, excluding
Richard Francis C. Hull. Reprint, New York, 1990.
articles published in periodicals, updated to 1975 by Lukács,
The Heroes of the Greeks (1958). Translated by Herbert Jennings
see the Langen-Müller edition of Dionysos (1976),
Rose. London, 1974; reprint, Princeton, N.J., 1997.
pp. 447–474.
Eleusis: Archetypal Image of Mother and Daughter (1962). Translat-
The Langen-Müller program was suspended after publishing eight
ed by Ralph Manheim. New York, 1967; reprint, Princeton,
volumes, each one containing several essays under a general
N.J., 1991.
title:
Zeus and Hera: Archetypal Image of Father, Husband, and Wife
1. Humanistische Seelenforschung (1966)
(1972). Translated by Christopher Holme. Princeton, N.J.,
2. Auf Spuren des Mythos (1967)
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
5116
KEROULARIOS, MICHAEL
Mythology and Humanism: The Correspondence of Thomas Mann
KESHAB CHANDRA SEN SEE SEN, KESHAB
and Karl Kerényi. Translated by Alexander Gelley. Ithaca,
CHANDRA
N.Y., 1975.
Dionysos: Archetypal Image of the Indestructible Life. Translated by
Ralph Manheim. Princeton, N.J., 1976; reprint, 1996.
KEYS. Doors held shut with bars, and bars and bolts, were
Literature
common long before locks and keys became prevalent. Some
of the oldest myths reflect this. In Babylonian mythology,
Earlier evaluations include Charles Picard, “Un bilan moderne de
la religion antique,” Diogène 25 (1959): 125–141; Hervé
for example, Marduk makes gates to the heavens and secures
Rousseau, “La présentification du divin: L’oeuvre de Karl
them with bolts. Many later divinities in the ancient world
Kerényi,” Critique 15 (1959): 433–454; Geo Widengren,
were both guardians of closed doors and bearers of keys.
“Karl Kerényi siebzig Jahre,” Numen 14 (1967): 164–165;
The possession of keys usually signified power over re-
Karl Kerényi: Der Humanismus des integralen Menschen
gions guarded by the locks that the keys could open or close.
(Mannheim, 1971); Furio Jesi, Letteratura e mito (Turin,
The regions in question were often the underworld or places
Italy, 1968), see pp. 35–44; and Hellmut Sichtermann, “Karl
of the afterlife—for example, the realm of Hades, the Abyss
Kerényi,” Arcadia: Zeitschrift für vergleichende Literatur-
wissenschaft 11 (1976): 150–177.
in the Book of Revelation, and the Mandaean “dark worlds”
that had locks and keys different from all others. The keeper
The only encompassing monograph as of 2004 is Aldo Magris,
of keys was charged not only with guarding the passage as
Carlo Kerényi e la ricerca fenomenologica della religione
human beings went from this world to the next but also with
(Milan, 1975). Several further studies are available in Italian,
keeping the dead where they belonged. A Babylonian funer-
including Furio Jesi, Materiali mitologici (Turin, Italy,
ary chant entreats the gatekeeper of the underworld to keep
1979), pp. 3–80, where Magris’s work is strongly criticized.
close watch over the dead, lest they return.
A survey on Kerényi’s theory of language is presented by Se-
rena Cattaruzza Derossi, “Il problema linguistico in K.
The locked realm can also be this earth, the seas, or even
Kerényi,” in Miscellanea 4 (Udine, Italy, 1984): 81–119.
the cosmos itself. In Greek mythology Cybele holds the key
to Earth, shutting her up in winter and opening her again
Several papers illustrate Kerényi’s relationships with leading Ital-
in the spring. Similarly, Janus opens the door of the sky and
ian scholars of the history and philosophy of religion. These
include Dino Pieraccioni, “Mario Untersteiner e Carlo
releases the dawn. In Mesopotamian myth, Ninib guards the
Kerényi: Due spiriti europei in un epistolario,” Nuova an-
lock of heaven and earth and opens the deep, while Ea un-
tologia 2162 (1987): 293–328; Nicola Cusumano, “Károly
locks fountains. The Egyptian Serapis has keys to the earth
Kerényi in Italia,” Il Veltro 37 (1993): 161–170; Riccardo
and sea. In Breton folklore menhirs are the keys to the
Dottori, “Karl Kerényi ai Convegni internazionali di Enrico
sea and also the keys to hell; if they were turned in their locks
Castelli (1955–1971),” Mythos 7 (1995): 33–57; Paola Pisi,
and the locks should open, the sea would rush in.
“Dioniso da Nietzsche a Kerényi,” Studi e materiali di storia
delle religioni 69, no. 27 (2003): 129–218; and Natale Spine-
Because in the ancient world many divinities were key
to, “Károly Kerényi e gli studi storico-religiosi in Italia,”
bearers, their priestesses bore keys signifying that the divine
Studi e materiali di storia delle religioni 27, no. 2 (2003):
powers belonged to them as well, or that they were guardians
385–410. See also Giampiero Cavaglià, “Karl Kerényi e
of the sanctuaries of the gods. Priestesses were represented
Hugo von Hofmannsthal: Il viaggio ermetico,” Rivista di es-
carrying on their shoulders large rectangular keys. A key pic-
tetica 24 (1984): 18–31; and Volker Losemann, “Die Krise
tured on a gravestone indicated the burial place of a priestess.
der ‘alten Welt’ und die Gegenwart: Franz Altheim und Karl
There is a morphological relationship between the key
Kerényi im Dialog,” in Peter Kneissl and Volker Losemann,
eds. Imperium Romanum: Studien zur Geschichte und Rezep-
and the nem ankh sign, where the anserated cross of the
tion (Stuttgart, 1998).
Egyptian gods is carried by its top as if it were a key, especial-
ly in ceremonies for the dead. Here the cross, playing the role
Miscellaneous books dedicated to Kerényi include, Kerényi Károly
of the key, opens the gates of death onto immortality.
és a humanizmus (Zurich, 1977); Edgar C. Polomé, ed., Es-
says in Memory of Károly Kerényi (Washington, D.C., 1984);
Keys also symbolize a task to be performed and the
Luciano Arcella, ed., Károly Kerényi: Incontro con il divino
means of performing it. In the Hebrew scriptures the acces-
(Rome, 1999); and János György Szilágyi, ed., Mitológia és
sion to kingly power occurred through “laying the key of the
humanitás (Budapest, 1999).
House of David upon [his] shoulders” (Is. 22:22). For an-
cient Jewish and some non-Jewish royalty, the passing on of
WILLIAM MCGUIRE (1987)
keys was a natural symbol for the transfer of the monarch’s
ALDO MAGRIS (2005)
task and the power to accomplish it.
The key symbolizes initiation into the mysteries of the
cult. In Mithraic rites the lion-headed figure who is central
KEROULARIOS, MICHAEL SEE CERULARIOS,
to the ceremony holds in his hands two keys. It is possible
MICHAEL
that they function in the same way as the two “keys 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
KHA¯NAGA¯H
5117
kingdom” held by Saint Peter in Christianity: One represents
It derives from Manichaean antecedents as well as pre-S:u¯f¯ı
excommunication whereby the door is locked against the un-
ascetic communities (the Karra¯miyah of Khorasan in eastern
worthy soul, while the other represents absolution whereby
Iran). One of the earliest S:u¯f¯ı masters to establish a
the door is opened and the initiate achieves salvation.
kha¯naga¯h, Shaykh Abu¯ SaE¯ıd ibn Ab¯ı al-Khayr (d. 1049),
also laid down rules that were to apply to its inmates: He is
BIBLIOGRAPHY
extolled in a posthumous family biography for the firm but
Information about the symbolism of keys can be found in various
moderate spiritual discipline he imparted to the residents of
primary sources. J. A. MacCulloch’s “Locks and Keys,” in
his kha¯naga¯h. Later S:u¯f¯ı masters were less collegial and more
the Encyclopaedia of Religion and Ethics, edited by James Has-
autocratic, but they, like Abu¯ SaE¯ıd, utilized a kha¯naga¯h or
tings, vol. 8 (Edinburgh, 1915), contains material covering
the development of locks, locks and bolts, and keys as me-
similar facility for engaging in a variety of communal rela-
chanical contrivances as well as symbols. Franz Cumont in
tions.
The Mysteries of Mithra, 2d ed., translated by Thomas J. Mc-
It was also in the late eleventh century, beginning with
Cormack (New York, 1910), and Robert C. Zaehner in Zur-
the Seljuk rulers of Egypt and Syria and continuing under
van: A Zoroastrian Dilemma (Oxford, 1955) both discuss at
their successors, that the establishment of kha¯naga¯hs and
length the initiation rites of Mithraism and speculate about
the keys of the lion-headed god.
their equivalents became widespread. The most renowned
hospices were clustered in places that were also the commer-
New Sources
cial and political capitals of major Muslim dynasties—Cairo,
Lurker, Manfred. “Schlüssel.” In Wörterbuch der Symbolik. Stutt-
gart, Germany, 1983, p. 603.
Baghdad, Mosul, Lahore, and Delhi. Their persistence is
suggested by the fact that riba¯t:s founded in Baghdad in the
Ortner, S. B. “On Key Symbols.” The American Anthropologist 75
(1973).
eleventh and twelfth centuries were replicated, at least in
their broad outlines, by za¯wiyahs built in North Africa dur-
ELAINE MAGALIS (1987)
ing the nineteenth century.
Revised Bibliography
Although one would expect to find accounts detailing
kha¯naga¯h architectural design and physical layout, few exist
KHAN, SAYYID AHMAD SEE AHMAD KHAN,
from the medieval period. One of the most graphic relates
SAYYID
to the foremost saint of pre-Mughal North Indian Sufism,
Shaykh Niz:a¯m al-D¯ın Awliya¯D of Delhi (d. 1325). His
kha¯naga¯h was a huge building, consisting of a main hall
KHA¯NAGA¯H is a Persian word for the lodge or hospice
(jama¯ Eat kha¯nah), courtyard, veranda, gate room, and kitch-
where S:u¯f¯ı masters (masha¯Dikh) reside, teaching disciples
en. It accommodated several senior disciples in lower rooms,
(who sometimes are also residents), conversing with visitors,
but its crowning structure was also the least imposing: an iso-
welcoming travelers, and feeding the poor. The word is func-
lated, small room on the roof where the shaykh passed his
tionally interchangeable with equivalent technical terms of
late evening and early afternoon hours in prayer, meditation,
S:u¯f¯ı vocabulary, such as riba¯t:, tekke, tak¯ıyah, za¯wiyah,
and (rarely) sleep. The plan seems to have been repeated,
da¯ Dirah, and darga¯h, though each has a distinct, region-
with adaptations to local taste, in many regions of Central
specific connotation.
and South Asia.
Mystics must live in the world. Literature by or about
The appeal of the kha¯naga¯hs as the most visible expres-
mystics frequently emphasizes the importance of escaping
sion of institutional Sufism was multiple. To the outer circle
not only involvement in the world but, by extension, con-
of disciples, including Muslims and non-Muslims of mixed
cern with all material needs and desires. Kha¯naga¯h, together
social background who came to visit at irregular intervals, it
with its lexical equivalents, inverts that emphasis, riveting at-
housed at once a saintly presence deemed to be magical and
tention to the physical spaces that S:u¯f¯ıs inhabit, interacting
a public kitchen dispensing free food. Closer to the shaykh
with others and relying on instruments from the very world
were disciples who pursued mystical studies and began medi-
that they seek to escape.
tative exercises at his behest; they would frequent the
Usage of the word kha¯naga¯h dates back to the tenth cen-
kha¯naga¯h on a regular basis and occasionally take up resi-
tury, although its actual origin remains obscure. The modern
dence there. The most intimate circle of disciples were the
attempt to relate it to kha¯n, the widely used term for com-
permanent residents designated as successors (khal¯ıfahs) to
mercial way stations, has been dismissed by those who argue
the shaykh: Not only did he entrust them with his deepest
that the S:u¯f¯ı concept of a hospice bears no relation to the
insights, but he also allowed them to initiate others into the
mercantile institution of kha¯n. But the distinction seems spe-
tradition of his order (t:ar¯ıqah; pl., turuq).
cious because both kha¯n and kha¯naga¯h were clearly places for
Despite the continuous and widespread association of
Muslim wayfarers, whether they sought rest on a trade route
the kha¯naga¯h with S:u¯f¯ı orders and their masters, the non-
or guidance on a spiritual path.
mystical dimension of kha¯naga¯hs was never fully excised.
The kha¯naga¯h itself is embedded in a pre-Muslim,
Throughout the medieval and early modern periods, there
pre-S:u¯f¯ı history from which it was never fully disentangled.
is ample evidence of non-S:u¯f¯ı hospices and also nonmystical
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5118
KHANTY AND MANSI RELIGION
Muslims in charge of S:u¯f¯ı hospices. The reason is evident:
“The world is in truth like a hospice where God is the shaykh
The source of support for every kha¯naga¯h was lay; it derived
and the Prophet, upon whom be peace, is the steward or ser-
from the income, earned or not, of those who dwelled out-
vant” (Hamid Algar, trans., The Path of God’s Bondsmen from
side its walls. Even in those not-so-rare instances of rural hos-
Origin to Return, New York, 1982, p. 485).
pices where inmates engaged in agricultural pursuits, their
continued existence depended on contributions from the
SEE ALSO Madrasah.
wider lay circle of the shaykh’s followers and admirers. Not
BIBLIOGRAPHY
all sources of income were acceptable to all S:u¯f¯ıs, however.
There is no single book to consult on the kha¯naga¯h or its equiva-
For the Chisht¯ı and Naqshband¯ı masters, it was normative
lent terms. For an appreciation of its origin and medieval de-
(despite major exceptions) that they reject all governmental
velopment, the best starting points are the two articles by Jac-
assistance, while for the Suhrawardi and Qa¯dir¯ı communi-
queline Chabbi, “Kha¯nk:ah,” in The Encyclopaedia of Islam,
ties, any benefactor from the wealthy mercantile and ruling
new ed. (Leiden, 1960–), and “La fonction du riba¯t: à Bagdad
classes was usually welcome to make occasional offerings or
du cinquième siècle au début du septième siècle,” Revue des
even to set up permanent charitable endowments (awqa¯f; sg.,
études islamiques 42 (1974): 101–121. On the contribution
waqf) supporting the kha¯naga¯h and its operations. Those
of Abu¯ SaE¯ıd, there is the incomparable study by Fritz Meier,
saints who attempted to refuse governmental offers of assis-
Abu¯ Sa E¯ıd-i Abu¯ L-Hayr (Leiden, 1976), especially pages
ˇ
tance were often overruled and compelled to yield: Such was
296–336. The South Asian evidence is set forth in a number
of articles and monographs, the best being K. A. Niz:a¯mi’s
the power of the medieval state that few S:u¯f¯ı masters or their
“Some Aspects of Kha¯nqah Life in Medieval India,” Studia
successors could resist a headstrong ruler who wished to use
Islamica 8 (1957): 51–69; Fritz Lehmann’s “Muslim
the spiritual power of a kha¯naga¯h and its saintly denizens to
Monasteries in Mughal India,” unpublished paper delivered
undergird his own legitimacy.
to the Canadian Historical Association, Kingston, June 8,
1973; and Richard Maxwell Eaton’s Sufis of Bijapur, 1300–
That the kha¯naga¯h continued for centuries to be the
1700: Social Roles of Sufis in Medieval India (Princeton, N.J.,
mainstay of institutional Sufism has never been questioned,
1978), especially pages 165–242.
but its vitality has. Some chart a decline in the major orders
To understand the Sanu¯s¯ıyah in their North African setting, one
from the time that the kha¯naga¯h ceased to house a fraternal
can do no better than consult the comprehensive analysis of
group of like-minded S:u¯f¯ıs and became instead a tomb com-
Bradford G. Martin, Muslim Brotherhoods in Nineteenth Cen-
plex. This institution may have retained the name of
tury Africa (Cambridge, U.K., 1976), chap. 4. Also indicative
kha¯naga¯h, but in fact it perpetuated the memory of a dead
of the persistent role of the za¯wiyahs in another vital context
shaykh through greedy relatives who ignored his legacy yet
are two monographs on Egyptian Sufism: F. de Jong’s Turuq
lived off his spiritual capital by accepting all forms of public
and Turuq-Linked Institutions in Nineteenth Century Egypt
and private subsidy. Indeed, as early as the fourteenth centu-
(Leiden, 1978) and Michael Gilsenan’s Saint and Sufi in
ry, the kha¯naga¯h was commonly linked to a tomb, as well
Modern Egypt (Oxford, 1973). J. Spencer Trimingham’s The
as to an adjacent mosque and madrasah. Most Muslims,
Sufi Orders in Islam (New York, 1971), despite its seeming
however, accepted this extension of the public profile of S:u¯f¯ı
comprehensiveness, is unfortunately limited by pseudo-
agencies, because they acknowledged the masha¯ Dikh as exem-
typological explanations and an Arab puritan bias.
plars of the prophetic standard (sunnah) and boons for their
BRUCE B. LAWRENCE (1987)
own local communities.
Nonetheless, and no matter how one evaluates the
KHANTY AND MANSI RELIGION.
kha¯naga¯h and institutional Sufism, the theory of diachronic
Together
decline and charismatic sclerosis is weakened, if not refuted,
with Hungarian, the Mansi (Vogul) and Khanty (Ostiak)
by the emergence of North African reformist orders, especial-
languages form the Ugric branch of the Finno-Ugric (and,
ly the Sanu¯s¯ıyah, during the nineteenth century. Even that
ultimately, the Uralic) language family. During the first mil-
most extreme of puritanical groups, the Wahha¯b¯ıyah, tacitly
lennium BCE, the proto-Ob-Ugrians withdrew along the Ob
acknowledged the benefits that accrued to all Muslims from
River northward from the forested steppe region of south-
the extension of Sanu¯s¯ı influence. The instrument for that
west Siberia, simultaneously assimilating the autochthonous
extension was a network of hospices (za¯wiyahs), deliberately
population and losing their own Iron Age culture and
located in areas that would maximize support for the Sanu¯s¯ı
equiculture. The Ob-Ugrians (Khanty and Mansi) thus be-
armed resistance to Italian colonial administration.
came secondarily primitivized, emerging as a fishing, hunt-
ing, and reindeer-breeding sub-Arctic people. Between the
Nor was the Sanu¯s¯ı movement the death rattle of insti-
twelfth and sixteenth centuries the Ob-Ugrians split into
tutional Sufism or the last dramatic staging of fraternal
quasi-tribal or clan-based “chiefdoms,” a system that disinte-
lodges. Their continued influence in modern Egypt and Al-
grated as a consequence of sixteenth-century Russian coloni-
geria has been well chronicled, and for many Muslims the
zation. The Eastern Orthodox church began conversion of
physical abode of saints, by whatever name it is denoted,
the Ob-Ugrians in the eighteenth century, but the character
continues to embody the cosmic quality attributed to it by
of this conversion was formal and thus did not essentially in-
the thirteenth-century Kubraw¯ı saint Najm al-D¯ın al-Ra¯z¯ı:
fluence the original 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
KHANTY AND MANSI RELIGION
5119
The Mansi number 7,700, the Khanty, 21,000; of
(1) The true individual cult beings. These have their own
these, respectively 49 and 68 percent speak their ancestral
prescriptions and prohibitions and their own regular
language. The ethnographic macrogroups correspond to dia-
festivals and sacrifices; in folklore they have their own
lect groupings. Yet, while the culture and language of the var-
summoning songs and prayers. The terms pupigh
ious macrogroups is divergent enough to justify their classifi-
(Man.) and iungx (Kh.) refer to their most general class
cation as distinct peoples, the Mansi and Khanty within the
(which may be represented in idol form as well).
same microgroup differ from one another only in language
(2) The higher-level belief beings. Relations with these be-
and in their consciousness of identity. The ethnographic sub-
ings are well regulated, and their benevolence may be
groups (i.e., dialects) subdivide according to fluvial regions.
won with the practice of hospitality or, in unusual cases,
The religion of the Mansi and Khanty is identical: Within
by means of more serious sacrifice. A lower level of belief
one and the same macrogroup the same supernatural beings
being is also acknowledged. It is connected only with
are revered regardless of which people’s territory they are af-
prohibitive and preventative practices. The lesser forms
filiated with. Mansi and Khanty folklore, too, is uniform on
of word magic (incantation, short prayer) are addressed
a nearly word for word basis. A few general nature deities are
to the belief beings, who are portrayed in plays at the
known to all groups; key figures of mythology are associated
bear festival. Certain belief beings have no cult whatso-
with the northwest region, although these same figures may
ever. Folklore beings play no role in either belief or cult.
appear in the religion of the other groups under different
names. The Northern macrogroup, for instance, is familiar
CONCEPTIONS OF THE UNIVERSE. Ob-Ugric cosmology was
both with a high-ranking spirit from the Eastern Mansi and
originally vertical and tripartite: upper (sky), middle (earth),
with another high-ranking spirit from the Western Mansi.
and lower (underworld). A conception of these worlds as
On the other hand, Eastern Khanty spirits are completely
seven-layered is known, but not concretely elaborated. In the
unknown to them. From the perspective of both system and
lower sphere of the sky dwell the Wind Old Men, named
cult, the religion of the Vasjugan Khanty is the most com-
after the cardinal points. In the various upper layers of the
plex. Ob-Ugric culture as a whole is of a marginal West Sibe-
sky revolves Sun Woman, with her team of horses, or Moon
rian type, distinct in quite a few traits. Its study is complicat-
Old Man with his arctoid dog sled. Later, this worldview be-
ed by the factor of secondary primitivization.
came contaminated with a horizontal system: Upper-Ob
(southern), Middle-Ob, and Lower-Ob (northern). Accord-
The following is a description of the best documented
ingly, the productive region is located in the South, which
macrogroup, the Northern. Characteristic of this society are
sends migratory birds and which is the home of the world
a dual moiety system (mo´s and por: the former relatively posi-
tree and the fountain-of-youth lake. Conversely, at the
tive, the latter relatively negative in connotation) and the
mouth of the Ob, on the Arctic Ocean, lies the dark land
loose agglomeration of patriarchal consanguineous groups
of the dead. At present, syncretistic twofold conceptualiza-
that trace their origins to spirit ancestors conceptualized as
tions predominate.
simultaneously anthropo- and zoomorphic. This descrip-
tion, however, must unavoidably portray a more archaic
The earth, brought up as a chunk by two bird represen-
form of social organization than is actually the case today.
tatives of the netherworld (a little and a big loon), is spread
When technical terms are referred to, they derive from either
out over the primeval sea; it is disk-shaped: A fish or a fantas-
the Sosva Mansi (Man.) or the Kazim Khanty (Kh.).
tic animal holds it up. In the present-day version, the son of
the mythic ancestral pair (identified either with the Pelim
Anthropomorphy is dominant in Ob-Ugrian religion
god or with World-Overseeing Man, both warlord guardian
today, but a latent zoomorphic character can be demonstrat-
spirits) plays a salient part. With the collaboration of the
ed for many categories of supernatural beings. The cult of
chief god’s counterpart, the folklore figure Kul, he created
spirits that arise from the shadow souls of the dead is a pro-
humankind; he then decimated his progeny with a fiery
ductive element in many forms, supporting (1) the ancestor
flood and scattered them over the world. Before the present-
cult in general; (2) the cult of hegemonic personalities, of
day Mansi and Khanty, the myth alleges, there were many
which the earlier (chiefdom period) variant is a hero cult, and
other periods: In folklore the most richly depicted are the pe-
the later variant is the cult of shamans and other worthies;
riod of the moiety ancestors and the heroic time of the origin
and (3) the cult of those who have died extraordinary deaths.
of the warlord guardian spirits.
It is a peculiarity of the northern groups that they have incor-
porated both the major mythological personalities and vari-
General mythological personalities. In the vertical
ous individuals of the unindividuated classes into a system
system, the upper sphere is embodied by the positive-
of guardian spirits tied to concrete places and societal units.
functioning chief god, Upper Sky Father (Man., Num
This category, which may be termed “warlord guardian spir-
Torem A´s; Kh., Nu˘m Turem A´si). Symbolized by the vault
its,” became primary in both the religious system and cultic
of heaven, he has the form of an old man and is active in cli-
life.
matic changes connected with the change of seasons, passive
in regard to humans. He may be approached only through
Roughly speaking, the following categories may be dis-
the intervention of high-ranking spirits, having scarcely any
tinguished according to the degree of the cult:
cult. His wife is (Lower) Earth Mother (Man., [Joli-]Ma¯
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5120
KHANTY AND MANSI RELIGION
Angkw). His counterpart is the lord of the netherworld. Ad-
a mouse he goes under the earth and regains the shadow
mixture with the horizontal worldview and the localization
souls of sick people from underworld spirits who have
of cults to particular places produced syncretistic personality
stolen them. He is a totem ancestor of the por moiety.
trinities. Above Sky Father there appeared two ancestors
(4) Sickness Lord (Man., Xu´l O
¯ ter; Kh., X˘ın´ Wurt; big
(Man., Ko´sar To¯rem and Kores To¯rem, both folklore fig-
loon, village of Sumutnyol) and Lower-Earth Old Man
ures), or there appeared alongside him two other personifica-
(Kh., ˘Ił Mu˘w ˘Iki; little loon; Sumutnyol) are two incar-
tions (the Khanty folklore figures Nu˘m S˘ıwes and Nu˘m
nations of the lord of the netherworld. The former steals
Ku˘res). His wife was reinterpreted as belonging to the same
souls; the latter either rules over them or eats them. In
category, with the name Sky Mother (folklore figure). Else-
their empire they have a family and teeming army of ser-
where she was identified with the warlord guardian spirit
vants consisting of illness spirits. They are also the
goddess Kalte´s. This same female fertility principle is repeat-
source of unpleasant insects and vermin. Some versions
ed in the trinity South Woman, Kalte´s, Gold Woman. Con-
interpret the lord of the netherworld as the son of the
crete incarnations of the lord of the netherworld include the
sky god; in any case, he functions as the subordinate of
warlord guardian spirits Sickness Lord and Lower-Earth Old
the sky god in the vertical system and the subordinate
Man, and “Devil,” the fictive master of the harmful spirits
of Kalte´s in the horizontal system. Under the name
called kuł.
Downriver Man he also constitutes a complement to
Warlord guardian spirits. These are nature deities tied
World-Overseeing Man.
to societal units of a higher level (moieties, perhaps at one
Models of the middle world. Beliefs concerning the
time tribes). Their antiquity is evidenced by the fact that
middle world reveal a general but not extensive symboliza-
their attributa often preserve features of the equiculture of
tion of natural elements. The most significant is Fire Moth-
the steppe rim. Their most representative group is now in-
er, but Earth Mother and Water Mother enjoy lesser cults.
digenous to the Middle-Ob territory of the Mansi and Khan-
The land-water opposition. Such an opposition is clearly
ty, the once-famous region of the Koda principality. The
represented by the forest and aquatic variants of the positive-
members of this group, listed here with corresponding zoo-
functioning łungx-type spirits; these oversee the natural re-
morphy, associated moiety, and cult center, are as follows:
sources of a particular territory. In eastern and southern areas
(1) Kalte´s, popularly, Mother (Man., S´a¯n; Kh., A˘ngki; fe-
they are important cult beings; in the north, they have been
male wild goose, swan, hare; mo´s moiety; village of Kal-
overshadowed by local warlord guardian spirits and the cult
tisjan). Originally a sky goddess, Kalte´s is the only
of the mis people. Closely connected with their cult is that
equestrian female warlord guardian spirit. It is she who
of the more individualized łungx-type spirits associated with
decides the number, sex, and longevity of children; she
particular natural objects (high places, boulders, trees, whirl-
also aids in childbirth. Her persona is interpreted vari-
pools). Their negative counterparts are the forest and aquatic
ously as wife, sister, or daughter of the sky god. Among
kuł, beings that represent the netherworld.
her properties there is a negative one: infidelity or stub-
The forest sphere. In the animal world-model there is no
bornness.
notion of lord over the individual animal types. In addition
(2) World-Overseeing Man (Man., Mir Susne Xum; Kh.,
to the totemistic animal cult, the greatest veneration sur-
M˘ır Sˇawijti Xu; wild goose, crane; mo´s moiety; village
rounds the larger aquatic birds (symbols of fertility), the elk
of Belogorje). His other names include Golden Lord,
(because of its celestial references), and the bear. Around the
Horseman, and Upriver Man. He is the youngest son
bear, merged with the totem ancestor of the por moiety, de-
of the sky god, the central figure of Ob-Ugric religion,
veloped a highly characteristic feature of Ob-Ugrian culture:
and functions as a mythic hero in the creation of the
a bear cult that is one of the most elaborate in the world.
world order. Married to the daughters of persons sym-
The bear cult. The fusion of conceptualizations from
bolizing nature, he excels in providing humans with
various periods has conferred upon the bear the character of
their needs. His sphere of activity ranges through all
universal mediator. His origins tie him to the upper world;
three worlds. His is the highest position of honor among
his dwelling place and connections with human society tie
his brothers: the overseeing of the world and of humans.
him to the middle world; his mouse-shaped soul ties him to
He accomplishes this by circling the world on his
the netherworld. Child of the sky god, he acquired knowl-
winged horse. In early formulations he is a solar god;
edge of the middle world despite paternal prohibition and
later formulations preserve traces of the shamanistic me-
conceived a desire to descend there. His father permitted the
diator: He is the chief communicator with Sky God.
descent but prescribed the most harmless manner of acquir-
(3) Holy City Old Man (Man., Jalp-u¯s O
¯ jka; Kh., Jem Woˇs
ing food. (At the same time he makes the bear the judge of
˘
Iki), also known as Clawed Old Man (Man., Konsing
societal norms, the guardian of the bear oath.) But the bear
O
¯ jka; Kh., Ku˘nˇseng ˘Iki; bear, mouse; por moiety; vil-
violates the prohibitions, thus becoming fair game for
lage of Vezˇakar). In the region of his cult center he is
humans.
held to be a son of the sky god. Functionally, he is the
The slain bear is a divine guest who, after the ritual con-
counterpart of World-Overseeing Man: In the shape of
sumption of his flesh, transfers into the heavens the sacrifices
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KHANTY AND MANSI RELIGION
5121
dedicated to him and the cultic folklore performed for his
grate (e.g., northern groups place it in the mouth of the Ob,
benefit, thereby ensuring his own rebirth and that of the nat-
southern groups in the mouth of the Irtysh). Water King has
ural order. A separate taboo language exists in connection
a family and is the superior of water sprites and other beings.
with the bear and the bear hunt, and the activities therein
The chief function of Water King is the direction of the mi-
are highly ritualistic.
gration of fish; warlord guardian spirits that dwell at the out-
lets of tributaries supply a redistribution network.
What follows is a description of the bear festival in its
most characteristic (northern) variant. After purifying cere-
The forest-settlement opposition. The sylvan pantheon
monies, the bear (i.e., the bear hide, placed on a stand) is re-
is much richer than its aquatic counterpart. This is explained,
galed for three to seven nights (depending on the bear’s age
in part, by the fact that the forest participates in the opposi-
and sex) with performances of a hospitable, educational, and
tion of forest and settlement. The proper place of łungx-type
amusing nature. Only men may participate as performers.
spirits is indicated by the location of their sacred place; cer-
The diurnal repertoire begins with a didactic section in
tain lower-ranked beings (e.g., the Eastern Khanty ghostlike
which the offense of murder (of the bear) is brushed aside
potˇcak) are subdivided into explicitly forest or village vari-
and epic songs are sung about the origin of the bear, the first
ants. Other figures may lack pertinent counterparts but may
bagging of a bear by a mythical personage, the bear’s func-
nevertheless be construed in terms of this opposition. Exam-
tion as judge, and the death of the particular bear present at
ples include the birchbark-rucksack woman, identified with
the ceremony. Thereafter follows a section punctuated by
the (folkloristic) figure of the anthropophagous por woman,
danced interludes, intended as entertainment for the bear,
the elf called Village-Square Being, Trash-Heap Woman,
although its function for humans is didactic. Players in birch-
Bathhouse Woman, Sinew-String-Making Woman, and
bark masks perform brief plays with song and pantomime.
others.
The plays are only a few minutes in duration, but they may
number in the hundreds. These reflect the key motifs of na-
THE HUMAN SPHERE. The warlord guardian spirit that is
ture and society and supranormal and everyday categories
tied to a concrete place is not only the sole form representing
and their interdependence. Their aesthetic quality ranges
the community but also the central category of all of cultic
from the comic to the sublime. Separate genres are represent-
life. The primary functions of the warlord guardian spirit are
ed by songs and games that depict the proliferation, way of
to ward off harmful (especially disease-causing) spirits, to
life, and capture of various animal species, and by songs and
provide succor in situations of peril, and to ensure good for-
games performed by a mythical being or clown figure who
tune in hunting and fishing. The warlord guardian spirit ap-
draws the spectators into the action.
pears in two forms: as a human, generally in the form of a
luxuriantly ornamented woman or a warrior in sword and
In the most sacred section of the festival the warlord
armor, or as an animal, in the form of a specific species of
guardian spirits are summoned. Portrayed by costumed per-
wild beast, which is then taboo for the pertinent social unit.
formers, they perform a dance that ensures the well-being of
These may be portrayed by wooden images in the form of
the community. When the bear meat is consumed, it is con-
a human (or, more rarely, an animal), sometimes with the
sumed under the illusion that birds are feasting. After this,
addition of metal disks, or made entirely of metal. The ap-
the bear is instructed on the manner of returning to the heav-
purtenances of the image are a sacred spot outside the settle-
ens. Meanwhile, the bear’s skull and the festival parapherna-
ment and the items stored there: the idol and/or its attributa,
lia are taken to a special place where cult objects are stored.
a small chamber built on stilts for preserving offerings, a sac-
The mirroring of social structure in the forest sphere. Two
rificial table, poles or trees called tir, and a sacred tree. The
types of anthropomorphic forest beings pursue daily activi-
warlord guardian spirit addresses his kindred group as his
ties similar to those of the human community and may even
“little ones” or “children”; as a projection of the actual rela-
intermarry with humans. The mis people are outstanding
tions within the group, he enjoys spirit kinship both ascen-
hunters; their benevolence provides humans with a good
dant and descendant, agnate and cognate. Characteristic fea-
hunt. The mis take as their mates those people who disappear
tures of the cult are a special idol guardian or shaman and
in the forest without a trace. The mengk people are supposed
prescriptions concerning both cyclical communal ceremo-
to be simple-minded malevolent giants. Northern Mansi as-
nies and sacrificial animals and objects.
sociate the mis people with the mo´s moiety and the mengk
Although tied to a concrete place, a warlord guardian
people with the por moiety. The origins of certain warlord
spirit may appear anywhere and at anyone’s summons. Its
guardian spirits is derived—with the mediation of the cult
connection with the individual is manifested by the fact that
of the dead—from these beings.
it selects a protegé. Every human has a warlord guardian spir-
The aquatic sphere. While the dominant being of the for-
it “master of his head.” Higher-ranked spirits can select any-
est is the bear, the lord of the waters, Water King (Man., Wit
one as protegé; lower-ranked spirits are restricted to members
Xo¯n; Kh., J˘ıngk Xon, J˘ıngk Wurt) is similar to a high-
of their own community. Ob-Ugrians oriented themselves
ranking warlord guardian spirit. Water King is not tied to
with one another in terms of the relations obtaining among
a societal unit, but each group thinks it knows of his dwelling
their warlord guardian spirits; they identified the spirits ac-
place, which in each case is the stream from which fish mi-
cording to the village held to be the center of a given cult.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5122
KHANTY AND MANSI RELIGION
Hierarchy of warlord guardian spirits. The commu-
southern equiculture. Similarly anthropomorphic are the an-
nity associated with a spirit can be of various levels in the so-
cestor cult and hero cult, which are the source of the domi-
cial hierarchy—upper (moiety, base clan), middle (roughly,
nant mark of warlord guardian spirits. To the cult of warlord
units corresponding to a clan and its branches), or lower
guardian spirits was juxtaposed the cult of those persons
(smaller, local groups). The rank of a spirit is determined by
whose decease is in some way extraordinary. A further com-
this hierarchy and by the “power” and functions attributed
ponent is the cult of proprietary spirits of natural places and
to it, which are generally in direct proportion to the antiquity
objects.
of the spirit and the complexity of its typological profile.
Family guardian spirits. Termed “house spirits”
Roughly speaking, the Ob-Ugrians distinguish three hierar-
(Man., kol puping; Kh., xot łungx), these anthropomorphic
chical categories of spirits. Spirits belonging to the high (and
spirits are difficult to differentiate from the lower-ranked
upper middle) rank are qualified as “powerful” (Man.,
warlord guardian spirits. They are variously conceived as de-
n´angra; Kh., tarem). Among these, the children of the sky
scendants of a warlord guardian spirit or its spirit assistant,
god are set apart as a separate group. To this rank belong,
as the spirit of a deceased relative, or as the proprietary spirit
besides mythological personae in general, Old Man of the
of an object that is interesting in some way (e.g., an archaeo-
Middle Sosva, the Lozva Water Spirit, the Tegi Village Old
logical find made of metal). Its votaries approach them
Man, and the Kazim Lady. The middle category, which is
through dream or the instructions of a person with cult func-
the chief locus of the hero cult, is subdivided in terms of the
tions. Such spirits serve to protect and to ensure success in
opposition between indigenous and immigrant groups. The
hunting and fishing. Successful execution of this latter office
spirits of immigrant groups are called “land-acquiring” spir-
may occasion a widening of its circle of devotees; in case of
its. Among the lower-ranked spirits, those of local character
failure, on the other hand, its idol representations suffer mis-
are sometimes distinguished by the terms “master of the vil-
treatment or even complete destruction as punishment. The
lage” or “master of the region.” The superior of the spirits
idol, its attributa, and ceremonies associated with the family
is the chief deity.
guardian spirit are miniature duplicates of those of the war-
The warlord guardian spirits, like the social groupings
lord guardian spirits; its folklore, however, is on the wane.
associated with their cults, do not form a clearly structured
Individual protective spirits have similar typological profiles.
system. The interpretation of their rank and kinship varies
Mediator spirits. Documentation for the individual
from one fluvial region to another. Genealogical, local, or
shaman spirit assistant—known as a “living spirit” (Man., lil-
functional subsystems, however, can develop in particular re-
ing puping; Kh., łileng łungx) or, when functioning purely as
gions. The basis of the genealogical order resides in the fact
an acquirer of information, a “talking spirit” (Man., potertan
that migrating groups either bring a copy of their original
puping)—is extremely poor. Typologically, such a being is
spirit with them or declare the indigenous spirit of their new
similar to family and individual spirits and probably serves
home to be their original spirit’s offspring. The range of the
merely as a messenger in the interactions of shaman and war-
cults of higher-ranked spirits roughly corresponds to dialect
lord guardian spirits.
areas. Their descendants may appear with names differing
from those of their parents, and may even appear in animal
Conceptions of the soul. Conceptions of the soul are
form. The children of middle-ranked spirits are often—at
syncretistic and not always clear even to the Ob-Ugrians.
least with regard to name and form—exact copies of one an-
Originally, they were twofold: breath spirits (Man., lili; Kh.,
other. For example, spirits named Winged Old Man or Old
łił) and shadow spirits (Man., Kh., is).
Man with the Knife, in eagle and firefly form, respectively,
The breath spirit—roughly, a symbol of the individual
crop up in villages at far remove from one another. In local
personality—has the form of a small bird; its seat is the hair
subsystems, the high-ranked spirits are the superiors of all
or crown of the head. Characters in heroic epics could send
other spirits in their cult sphere.
birds that lived on the crown of their heads or caps to fetch
information; they also practiced scalping, by which they were
The development of these spirits was determined along
able to take possession of any enemy’s soul. The soul called
two lines: diverse nature cults and multiple intertwinings of
is may have been regarded as a posthumous variation of the
cults of the dead. Both lines of development contain zoomor-
breath spirit (in men, it consists of five parts, in women,
phic and anthropomorphic elements that are reflected in the
three; it is reborn in consanguineous progeny).
diploid form of the spirits. The animal symbology of natural
forces is zoomorphic. The oldest layers of this symbology
The shadow souls—symbols of emotional and vegeta-
(e.g., the cult of aquatic birds) date to at least the Finno-
tive functionings—have the form of humans or birds. One
Ugric period. The other zoomorphic component is totemis-
subtype may leave the body during sleep or in case of fear
tic in character; its earlier layer may be Ugric, while its more
or fainting; it may also fall prey to illness spirits. After death
recent layer is arctoid and may bear the influence of the reli-
it remains for a certain time in the vicinity of the house, then
gion of assimilated autochthonous Siberian populations. The
departs, northward, for the land of the dead. The other sub-
oldest demonstrable layer of the anthropomorphic compo-
type has a more material character; its properties are roughly
nent is a group of nature deities that preserves traces of
those of shadows. After death it lives a quasimundane life 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
KHANTY AND MANSI RELIGION
5123
the cemetery until the body fades away. The free soul is a
mediate by means of iron objects (ax, knife) and light trance:
type of sleep soul living in the form of a grouse; its destruc-
The noun “magic” (Man., p¯enigh; Kh., ´sa˘rt) and its verbal
tion results in sleeplessness, then death. Under unfavorable
derivate “perform magic” (Man., p¯enghungkwe; Kh., ´sa˘rtti)
circumstances shadow souls turn into ghosts.
can refer, in both languages, to the activity of either practi-
Conceptions of the hereafter. The hereafter is a mir-
tioner. The Mansi consider the “magic(-performing) person”
rorlike inversion of the real world, lacking, however, the ce-
who operates without the use of a drum (Man., p¯enghen xum)
lestial bodies. The soul lives the same life, in the same form,
to belong to a lower degree of the shaman category; they do,
as its owner did on earth, but backwards. Once returned to
however, distinguish terminologically between this degree
the time of birth it reappears in the real world as an insect
and the full-fledged drum shaman.
or spider. Differentiation is minimal, but separation and
Destructive magic, which moves the spirits to negative
punishment of the souls of suicides is known. Atonement for
ends, is used by the “spell-casting one” (Man., sepan; Kh.,
moral offenses seems to be the result of nonindigenous in-
sepan[eng] xu; the latter term is also used to refer to the sha-
fluence.
man) and by the Mansi “destructive person” (surkeng xum)
The soul of a dead person can have three material repre-
or “spell-knowing person” (mutrang xum). These persons are
sentations. It was obligatory to make for the reincarnating
capable of spoiling luck in hunting; they can also cause sick-
soul a doll of wood, cloth, or hair (Man., iterma; Kh., ˇsungo˘t;
ness and death. While terminologically distinct, they stand
literally, “suffering one”; upet akan´, “hair baby”). Long ago,
in an unclear relation to the shaman.
this figure was so identified with the deceased that widows
Shaman. Shamanism among the Ob-Ugrians is appar-
fed it regularly and slept with it. Among certain groups, the
ently a rather developed variant of a Paleo-Asiatic type that
doll was passed from generation to generation; among others
lacked the shamanistic journey. Exceptionally, and owing to
it was eventually placed in the grave or burned. A special
foreign influence, there exists among the Eastern Khanty a
wooden figure was carved for the souls of outstanding indi-
more elaborated system of journeying and assistant spirits.
viduals. Through time, the worship of such a figure made
No special folklore is associated with the shaman. Similarly,
it possible for these souls to achieve the status of family
the figure of the female shaman who prophesizes by means
guardian spirits. Finally, for those whose remains were inac-
of a gyratory dance appears conspicuously late, in a more re-
cessible, in some regions a figure was made and kept in a sep-
cent type of heroic song. There is no specific evidence of the
arate storing place after a symbolic burial ceremony.
influence of neighboring peoples on Ob-Ugrian shamanism;
Mediators. The Ob-Ugrians belong to the marginal
although in peripheral regions certain features have been
zone of Siberian shamanism. The figure of the shaman is rel-
adopted from every possible donor, none of the various influ-
atively unimportant, the shaman’s significance being some-
ences can be called dominant.
what overshadowed by mediators who function without
The shaman can provide any cultic service. His chief
deep ecstatic trance. Overall, the study of Ob-Ugrian sha-
task is the defense of one’s shadow soul against disease spirits.
manism is hampered by extraordinarily imprecise documen-
The shaman also fills an extremely important role as acquirer
tation.
and interpreter of information (given that at least a dozen
If as a hypothesis one limits true shamanism to the prac-
different supernatural causes may give rise to unfavorable
tice of drum-accompanied deep ecstatic trance, one is left
events). His functions also include prophesy, the finding of
with two types of people who fall outside this strict delimita-
lost objects, inquiry after the souls of the dead, and the steer-
tion. The first group, the “one-sided interaction type,” in-
ing of a sacrificial animal’s soul to the spirits. The number
cludes those who transmit from the human sphere to the
of functional elements that may be demanded of the shaman
spirits, but who cannot perceive the spirits’ reactions. To this
varies from region to region. The shaman’s participation in
class belong the idol guardian in the role of master of cere-
rites of passage, the bear festival, and lesser sacrificial ceremo-
mony, the “praying man,” and epic singers, whose activity
nies is not typical. There is no evidence of the shaman pos-
is not of a healing nature. The second group, the “two-sided
sessing the role of conductor of souls. The shaman acquires
interaction type,” consists of those capable of obtaining in-
the greatest significance in situations of peril that affect the
formation from the spirits, and who—to a certain degree—
community.
can set them into motion. They can perform these feats in
There are no explicit categories of shamans among the
sleep, however, or in a light trance. The only categories
Ob-Ugrians. The shaman’s strength depends on the nature
known among the Eastern Khanty are those who mediate
and number of his spirit assistants, or on the warlord guard-
through singing accompanied by string instruments, dreams,
ian spirits, which are susceptible to influence. Stronger and
or the summoning of the spirits of forest animals. To the
weaker shamans are distinguished, but without special termi-
north, a possible equivalent is the Mansi potertan pupgheng
nology. There are no reliable data for a distinction between
xum (“talking spirit-man”), who summons his prophetic
“black” and “white” shamans. In fact, the activity of the sha-
spirits by means of a stringed instrument.
man is ambiguous, because he may, to redeem the sick per-
Terminologically, the Ob-Ugrians make little distinc-
son’s soul, offer up the soul of another; at times of rivalry
tion between the activity of shamans and that of persons who
he endangers the life of himself and his family.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5124
KHANTY AND MANSI RELIGION
The shaman, like all other mediative persons, is in prin-
In the cult of warlord guardian spirits there were pre-
ciple at everyone’s disposal. His activity, whether unrecipro-
sumably differences of ceremony according to moiety (espe-
cated or remunerated with minor gifts and/or hospitality, is
cially with regard to the bear cult) and according to consan-
insufficient for independent subsistance. The shaman can in-
guineous group. Accordingly, at joint ceremonies the
crease his income only as the preserver of high-ranked war-
proprietors of the cult being played active roles, while new-
lord guardian spirits. Both men and women can be shamans,
comers or guests played relatively passive roles.
but in general the former have higher status.
Periodic communal holidays were important in the
There are no reliable data for special shamanic attire or
maintenance of social relations. The most inclusive and in-
accoutrements; the cap and the headband, however, are doc-
volved such holiday was the festival organized by the por
umented as headgear. The primary type of drum is oval, with
moiety in the village of Vezˇakar. Held every seven years, it
a frame both decorative and resonating; its Y-shaped handle
lasted three months and followed the pattern of the bear fes-
is sometimes embellished with representations of a spirit’s
tival. Several hundred participants were attracted to this
face. The skin is unadorned; the position of the pendants
event from northern regions. Periodic visits to warlord
(made of metal) varies. The drum may be replaced by a
guardian spirits were sometimes prescribed, during the
stringed instrument. Fly agaric is the usual narcotic.
course of which the devotees made joint sacrifices. Regularly
intermarrying groups invited one another to the larger festi-
Selection and recruitment of apprentice shamans is pas-
vals, which could be linked with cultic competitions, pro-
sive; it is generally attributed to the will of the chief deity,
phetic practice, the singing of epics (for the entertainment
or World-Overseeing Man. Sensitivity, deviant behavior,
of the spirits), plays, and amusements. Generally prescribed
and musical proclivities are required; somatic marks, illness,
pilgrimages to high-ranking warlord guardian spirits brought
and inheritance are also documented but not universal. The
about more extensive relations, as did various alms-collecting
candidate rehearses his repertoire as an assistant without ben-
tours undertaken in the interest of maintaining the cults of
efit of initiation, only gradually assuming his role.
such spirits.
The shamanic séance takes place in a darkened house,
Sacrificial ceremonies. There are two kinds of sacri-
where the shaman communicates—with drum-accompanied
fices. (1) In bloodless sacrifice (Man., pu¯ri; Kh., por) the spir-
song, then with gyratory dance—with the warlord guardian
its absorb the vapors (or “strength”) of the food and alcoholic
spirits appropriate to the occasion. Metal objects (such as ar-
beverages that have been set out for them; later, the humans
rows) set out for the purpose announce by their rattling that
present eat it. (2) In blood sacrifice (Man., Kh., jir) the spirits
the spirits have arrived (through the roof). When contact is
receive a portion of the animal’s soul-bearing body parts (the
established, the shaman is overcome by a warm breeze.
blood, certain organs, the head, the entire skin) and thus take
Thereafter a protracted, dramatized debate takes place on the
possession of the animal’s shadow soul. The most precious
following subjects: (1) determining the cause of the problem;
sacrificial animal is the horse, which was sacrificed to high-
(2) summoning the spirit responsible or contacting it
ranking mythological personalities (especially World-
through an assistant spirit; (3) probing the cause of the prob-
Overseeing Man) throughout the entire region irrespective
lem and the nature of the sacrifice needed for its termination;
of the presence or absence of an equestrian culture. In addi-
and (4) ensuring the benevolence of the spirits. The role of
tion, reindeer (in the north) and horned cattle and roosters
the shaman is limited to setting events in motion; the actions
(in the south) were usual sacrificial animals. Spirits of the
themselves (i.e., journey, recovery of the sick person’s soul)
upper sphere were said to favor light-colored animals; those
are carried out by the spirits, who, should they resist, can tor-
of the nether sphere favor dark-colored animals. In a typical
ment the shaman severely. The shaman ends his state of
northern sacrifice, the animal is either strangled or dealt a
trance and announces the result; he may also take part in the
blow to the head with the back of an ax; simultaneously, the
offering of a sacrificial animal.
spirit is summoned by shouts. The animal is then stabbed
in the heart with a knife and its blood is let. The blood and
OTHER FEATURES OF THE CULTIC LIFE. Characteristic of
entrails are consumed raw on the spot; there are separate pre-
the entire region are the restrictions on religious practice for
scriptions concerning the cooking and distribution of the
women considered impure. If invested with any kind of spe-
flesh. In addition to animals, fur, cloth, and coins may serve
cial significance or cultic character, an object, living creature
as objects of sacrifice. Among metals, silver has the highest
(especially the horse), place, or ceremony carried a list of pro-
value.
hibitions for such women. They were not allowed to visit the
sacred locales of warlord guardian spirits. At the bear festival
Periodic sacrifices may be classified into two types, an-
they could participate only in the interlude dances. Customs
nual and macroperiodic (every three or seven years). Re-
connected with birth and death were in the hands of the old
quired communal sacrifices are tied to the economy of the
women. Women sometimes had a separate sacred place near
seasons; so, for example, in spring (fishing season) and au-
the village and a separate cult rendered to Kalte´s. Among
tumn (hunting season) sacrifices carried out to ensure a good
males, those who had assumed the care of the family idols
catch and bountiful quarry were frequent at the beginning
after their parents’ death were most fully esteemed.
of the season, while thanksgiving sacrifices were generally at
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KHANTY AND MANSI RELIGION
5125
the end of the season. For animal sacrifices autumn was the
ing off harmful forest beings, and so on. The Christian wor-
most propitious season. During important communal sacri-
ldview brought little change other than a gradual increase in
fices the shaman would take part, and men in a light ecstatic
the significance of the sky god. Qualitative change arose in
trance would perform sword dances in commemoration of
step with Russification, especially for southern groups. At
the ancient heroic deeds of certain warlord guardian spirits.
present, in consequence of the spread of civilization and
atheism, Ob-Ugrian young people are ill-informed about re-
It should also be mentioned that the idol-like represen-
ligious matters, and their attitude toward their religious heri-
tation of spirits among the Ob-Ugrians is not fetishistic in
tage is inconstant.
character and is thus not absolutely obligatory. It is of impor-
tance only as an exterior representation or as a dwelling-place
SEE ALSO Bears; Finno-Ugric Religions; Num-Tu¯rem; Sha-
for the spirit; if necessary, the image can be replaced with a
manism.
new representation.
BIBLIOGRAPHY
Nonindigenous influences. The most archaic (but far
from the oldest) exterior influence may be found in the cul-
Folklore Collections
tural elements derived from assimilated sub-Arctic popula-
Avdeev, I. I. Pesni naroda mansi. Omsk, 1936.
tions. These elements are evident in magic related to produc-
Chernetsov, V. N. Vogul Dskie skazki. Leningrad, 1935.
tion, in certain elements of totemism, and in the bear cult.
Kálmán, B. Manysi (vogul) népköltési gyüjtemény. Budapest, 1952.
If one accepts the hypothesis that the por moiety is connected
Kannisto, Artturi. Wogulische Volksdichtung. 4 vols. Helsinki,
with this unknown sub-Arctic people, the number of such
1951–1963.
elements grows larger. Iranian-speaking and Turkic speaking
Kulemzin, V. M., and N. V. Lukina. Legendy i skazki khantov.
peoples influenced the proto-Ob-Ugrians in several phases
Tomsk, 1973.
from the Finno-Ugric period (fourth millennium BCE)
Munkácsi, B. Vogul népköltési gyüjtemény. 4 vols. Budapest, 1892–
through the Ugric period (until circa 500 BCE). These peo-
1921.
ples played an important role in the development of equicul-
Pápay, J. Osztják népköltési gyüjtemény. Budapest and Leipzig,
ture among the Ob-Ugrians. Traces of steppe culture are pre-
1905.
served in the dominant role of the horse as a sacrificial animal
Patkanov, S. Die Irtyschostjaken und ihre Volkspoesie. 2d ed. Saint
and divine attributa, in the representation of mythological
Petersburg, 1900.
persons from the upper sphere dressed in open, wide-sleeved
garb, and in the symbology of images found on hitching
Reguly, A., and J. Pápay. Osztják hofsénekek. Budapest, 1944.
posts. Contact with Turkic peoples also brought, most re-
Reguly, A., and J. Pápay. Osztják (changi) ho˝sénekek. Budapest,
cently, elements of Islam (from the Siberian Tatars), as can
1951.
be seen in the book of destiny that occurs as an attributum
Steinitz, W. Ostjakische Volksdichtung und Erzählungen, vol. 1.
and in elements of relatively differentiated conceptions of the
Budapest, 1975.
netherworld. A surprisingly large number of religious terms
Steinitz, W. Beiträge zur Sprachwissenschaft und Ethnologie. 4th ed.
were borrowed from or through the Komi (Zyrians), espe-
Budapest, 1980.
cially in connection with conceptions of the soul and the
Vértes, E. K. F. Karjalainens südostjakische Textsammlungen, vol.
goddess of fertility. Such Komi influence may have been en-
1. Helsinki, 1975.
hanced when the Komi fled into Siberia to escape conversion
Secondary Sources
to Christianity by Stephen of Perm (fourteenth century).
Chernetsov, V. N. “FratrialDnoe ustroistvo obsko-ugorskogo obsh-
chestva.” Sovetskaia etnografiia 2 (1939): 20–42.
The first intention of Eastern Orthodox efforts at con-
version (which began in the eighteenth century) was the an-
Chernetsov, V. N. “K istorii rodovogo stroia u obskikh ugrov.”
nihilation of the most important idols. This external threat
Sovetskaia etnografiia 6–7 (1947): 159–183.
had two consequences: heightened solicitude for cultic ob-
Chernetsov, V. N. “Concepts of the Soul among the Ob-
jects and a disassociation of spirits from their representations.
Ugrians.” In Studies in Siberian Shamanism, edited by Henry
Within a century, a network of church-centered villages had
N. Michael. Toronto, 1963.
developed, displacing, wherever possible, the cult centers of
Gondatti, N. L. Sledy iazychestva u inorodtsev Zapadnoi Sibiri.
ranking warlord guardian spirits. At times, the clergy exploit-
Moscow, 1888.
ed the possibilities of identifying the personalities of the two
Hoppál, Mihály. “Folk Beliefs and Shamanism among the Uralic
religions; formulas of correspondence thus quickly gained
Peoples.” In Ancient Cultures of the Uralic Peoples, edited by
ground; the sky god was equated with God the Father, Kalte´s
Péter Hajdú, pp. 215–242. Budapest, 1976.
with the Virgin Mary, World-Overseeing Man with Jesus,
Karjalainen, K. F. Die Religion der Jugra-Völker. 3 vols. Helsinki,
Pelim with Saint Nicholas. Ob-Ugrians understood the new
1921–1927.
religion entirely in terms of their own categories. Thus, a
Kulemzin, V. M. “Shamanstvo vasDDiugansko-vakhovskikh khan-
church was the idol chamber of the Russian god, the icon
tov.” In Iz istorii shamanstva, pp. 3–155. Tomsk, 1976.
was the idol itself (before which even animals were sacri-
Kulemzin, V. M. Chelovek i priroda v verovaniiakh khantov.
ficed), the cross worn about the neck was an amulet for ward-
Tomsk, 1984.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5126
KHA¯RIJ¯IS
Sokolova, Z. P. Sotsial Dnaia organizatsiia khantov i mansov v
effective use of guerrilla tactics helped to weaken
XVIII–XIX vekakh. Moscow, 1983.
MuEa¯wiyah’s Umayyad dynasty before it was overthrown by
Toporov, V. N. “On the Typological Similarity of Mythological
the Abbasid revolution in 750. Their revolts continued
Structures among the Ket and Neighbouring Peoples.” Semi-
under the early Abbasids, and the appellation kha¯rij¯ı came
otica 10 (1974): 19–42.
to mean “rebel.”
Tschernejtzow, V. N. “Bärenfest bei den Ob-Ugrien.” Acta Ethno-
Being from the first people who could not compromise,
graphica (Budapest) 23 (1975): 285–319.
the Kha¯rij¯ıs quickly separated into sects: Muslim heresio-
Bibliographies
graphers list more than twenty. Each sect usually elected an
NikolDskii, N. P. “Obzor literatury po etnografii, istorii, folDkloru
imam, a “commander of the faithful,” and regarded itself as
i iazyku khantov i mansov.” Sovetskaia etnografiia 2 (1939):
the only true Islamic community. Basic to Kha¯rij¯ı doctrine
182–207.
are the tenets that a Muslim who commits a major sin has
Novitskii, G. “Kratkoe opisanie o narode ostiatskom” (1715). Re-
apostatized, and the shedding of his blood is lawful; that any
issued in Hungarian in “Studia Uralo-Altaica,” no. 3. Szeged,
pious Muslim is eligible to become an imam; and that if he
1973.
sins or fails to be just, he may be deposed. Non-Kha¯rij¯ı Mus-
New Sources
lims were regarded as either polytheists or infidels. Jews or
Balzer, Marjorie Mandelstam. The Tenacity of Ethnicity: A Siberi-
Christians who accepted Kha¯rij¯ı rule were, however, scrupu-
an Saga in Global Perspective. Princeton, N.J., 1999.
lously protected. Kha¯rij¯ıs who sought death in jiha¯d (reli-
gious war) against other Muslims were considered shura¯t, or
EVA SCHMIDT (1987)
Translated from Hungarian by Daniel Abondolo
“vendors” (of this world for paradise).
Revised Bibliography
The principal sects were the Aza¯riqah, the S:ufr¯ıyah, and
the Iba¯d:¯ıyah. The Aza¯riqah probably took their name from
Na¯fiE ibn al-Azraq, son of a former Greek slave and black-
KHA¯RIJ¯IS are the “third party” in Islam, who anathema-
smith. They excluded from Islam all those who were content
tize both the majority Sunn¯ıs and the Sh¯ıE¯ı partisans of EAl¯ı.
to coexist peacefully with non-Kha¯rij¯ı Muslims or who be-
Although few in number today, the Kha¯rij¯ıs played a role of
lieved in taq¯ıyah, dissimulation of their true beliefs, and all
great importance in the history of Muslim theology and po-
who would not make the hijrah, or emigration, to join them.
litical theory.
They practiced isti Era¯d:, or “review” of the beliefs of their op-
ponents, putting to death those who failed to pass their cate-
Their origins lie in the agreement between the fourth
chism, often including women and children, and held that
caliph, EAl¯ı, and his challenger, MuEa¯wiyah, kinsman and
infants of “polytheists” went to hell with their parents. They
avenger of the murdered third caliph, EUthma¯n, to submit
maintained that even a prophet was not immune from sin,
their quarrel to arbitration, following the Battle of S:iff¯ın (AH
and hence from final infidelity; that menstruating women
37/657 CE). A group of EAl¯ı’s followers, at first mostly from
should still pray and fast; that a thief’s “hand” should be cut
the Arab tribe of Tam¯ım, held that EAl¯ı had, by agreeing to
off at the shoulder; and that it was not lawful to stone adul-
treat with rebels, committed a great sin and could no longer
terers, because this punishment is not prescribed in the
be considered a Muslim. They made an exodus (khuru¯j)
QurDa¯n. They broke with the other Kha¯rij¯ıs of Basra in 684
from his camp and collected at H:aru¯ra¯D near EAl¯ı’s capital of
and left the city to conduct a terrible civil war in the southern
Kufa in Iraq: Hence Kha¯rij¯ıs (“those who went out”) are
provinces of Iraq and Iran. This was led by Zubayr ibn
sometimes referred to as H:aru¯r¯ıyah. From the beginning
Ma¯hu¯z until 688, then by Qat:a¯ı ibn Fuja¯Dah until their final
they insisted on the equality of all Muslims regardless of race
defeat in 699. Qat:a¯ı was one of a series of gifted Arab Kha¯rij¯ı
or tribe, “even if he be a black slave,” and they found an im-
poets.
portant following among the non-Arab converts.
The S:ufr¯ıyah are said to have originated among the fol-
Despite all efforts, EAl¯ı was unable to conciliate them.
lowers of EAbd Alla¯h ibn S:affa¯r al-Tam¯ım¯ı. They believed
In the end he was forced by their raids and provocations to
that peaceful coexistence with other Muslims was legally per-
attack their headquarters on the Nahrawa¯n canal (July 17,
missible; unlike the Aza¯riqah they did not practice isti Era¯d:,
658). This attack became more of a massacre than a battle,
and unlike the Iba¯d:¯ıyah they held that non-Kha¯rij¯ı Muslims
and it aroused sympathy for the Kha¯rij¯ıs. Within three years
E
were polytheists rather than merely infidels. They emerged
Al¯ı was murdered at the door of his mosque in Kufa by Ibn
as an active sect in 695 and found an enthusiastic following
Muljam al-Mura¯d¯ı, a Kha¯rij¯ı seeking revenge for the slain
among the Arab tribes of the upper Euphrates Valley. Under
of Nahrawa¯n.
a series of fierce leaders they made their own bid for supreme
The intellectual center of Kha¯rij¯ı doctrine for the next
power in the troubled events at the close of the Umayyad ca-
century was the great Iraqi port of Basra, but then moved
liphate. From 745 to 751 they fought in Iraq, then Fa¯rs, then
to North Africa. There Kha¯rij¯ı doctrine struck a responsive
Kishm Island, and finally in Oman, where their imam was
chord among the Berber tribes, and North Africa became the
slain by an Iba¯d:¯ı imam. The sect’s activities then moved
Scotland of these Muslim Puritans. Kha¯rij¯ı revolts making
chiefly to North Africa, where it had found Berber adherents
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KHMER RELIGION
5127
after 735. Berber S:ufr¯ıyah captured the important caravan
Ta¯hart were recognized by Berber tribes from Morocco to
city of Sijilma¯sah in southern Morocco in 770 under an
Tripolitania, as well as by the Iba¯d:¯ıyah of Basra, Iran, and
imam named Abu¯ Qurrah. Like many other Kha¯rij¯ıs they
Oman. Their traders were early missionaries of Islam in sub-
were active traders. They maintained an imamate for about
Saharan Africa. In the latter half of the ninth century, this
a century but at last seem to have been converted to the
state was weakened by a series of religious schisms and by ex-
Iba¯d:¯ıyah and to Sunnism.
ternal enemies, and many of its Berber supporters converted
to Sunnism. The remains of the state were destroyed in 909
The Iba¯d:¯ıyah are the only surviving division of the
by the rise of the Fatimid caliphate, based in Kairouan. The
Kha¯rij¯ıs, and because they have preserved their writings, they
last imam fled to Sadra¯tah in the oasis of Wargla. The de-
are also the best known. Numbering probably fewer than a
scendants of the fugitives of Ta¯hart live today in the oases
million, they are found in the oases of the Mzab and Wargla
of the Mzab, deep in the Sahara.
in Algeria, on the island of Jerba off Tunisia, in Jabal
Nafu¯sah and Zuwa¯ghah in Libyan Tripolitania, in Zanzibar,
Twelve subsects of the North African Iba¯d:¯ıyah are men-
and in Oman, where the ruling family is Iba¯d:¯ı. The mer-
tioned by historians of the sect. Three of these, the
chants of the Mzab, Jerba, and Oman present a good exam-
Nukka¯r¯ıyah, the Nafa¯th¯ıyah, and the Khalaf¯ıyah, have
ple of closed religious trading communities similar to the
survived to modern times in small numbers, chiefly in Tripo-
Jews, the Parsis, or the Isma¯E¯ıl¯ı Muslims. Practicing
litania.
Iba¯d:¯ıyah do not tolerate tobacco, music, games, luxury, or
celibacy, and must eschew anger. Concubinage can be prac-
SEE ALSO Caliphate; Imamate; MuEtazilah; Ummah.
ticed only with the consent of wives, and marriages with
other Muslims are heavily frowned upon. They disapprove
BIBLIOGRAPHY
of S:u¯f¯ısm, although they have a cult of the saintly dead. Sin-
The best sources on the Kha¯rij¯ıs are, of course, in Arabic, with
others in French, German, and Italian. Most of these will be
ners in the community are ostracized until they have per-
found listed after three excellent articles in The Encyclopaedia
formed public admission of guilt and penance.
of Islam, new ed. (Leiden 1960–): G. Levi Della Vida’s
The sect was first mentioned about 680, in Basra. It
“Kha¯ridjites,” Tadeusz Lewicki’s “Iba¯d:¯ıyya,” and R. Ru-
took its name from EAbd Alla¯h Ibn Iba¯d:, who broke with the
binacci’s “Aza¯rik:a.” Two classic Sunn¯ı heresiographies have
Aza¯riqah in 684 and continued to live in Basra, where he pre-
been translated into English, however, and are valuable read-
sided over a secret council called the Jama¯Eat al-Muslim¯ın
ing, though written from a distinctly hostile stance. These are
EAbd al-Qa¯hir al-Baghda¯d¯ı’s Moslem Schisms and Sects
(Collectivity of the Muslims). His work was continued under
(Al-Fark: Bain al-Firak:), translated by Kate Chambers Seelye
Ja¯bir ibn Zayd, an eminent scholar and traditionist. The ear-
(New York, 1919–1935), pp. 74–115, and A. K. Kazi and
liest mutakallimu¯n, or theologians, of Islam were Iba¯d:¯ıyah
J. G. Flynn’s “Shahrasta¯n¯ı: Kita¯b al-Milal waDl Nih:al (The
who debated with the circle of H:asan of Basra. Ja¯bir was
Kha¯rijites and the MurjiDites),” Abr-Nahrain 10 (1970/71):
from the Omani tribe of Azd and did much to organize the
49–75. A valuable article by a leading scholar of the Iba¯d:¯ıyah
sect. It had close contacts with the Basran MuEtazilah and,
is Tadeusz Lewicki’s “The Ibádites in Arabia and Africa,”
like them, held that the QurDa¯n was created, that humans
parts 1 and 2, Cahiers d’histoire mondiale 13 (1971): 51–130.
have power over their own acts, and that there will be no be-
An older but still useful introduction is William Thomson’s
atific vision. The Iba¯d:¯ıyah have also been called the
“Kha¯rijitism and the Kha¯rijites,” in The Macdonald Presenta-
Wa¯s:il¯ıyah, after Wa¯s:il ibn EAt:a¯D, an early MuEtazil¯ı.
tion Volume: A Tribute to Duncan Black Macdonald (1933;
reprint, Freeport, N. Y., 1968).
After Ja¯bir, the Basra collectivity was headed by Abu¯
E
JOHN ALDEN WILLIAMS (1987)
Ubaydah Muslim al-Tam¯ım¯ı. He retained the Basra head-
quarters as a teaching and training center and prepared teams
of teachers (h:amalat al- Eilm) to go and spread the doctrine
in remote Muslim provinces. When the time was ripe, these
KHILA¯FAH SEE CALIPHATE
teams were to set up imams: Like the Zayd¯ı Sh¯ıE¯ıah and
many MuEtazilah, the Iba¯d:¯ıyah hold that there can be more
than one imam if communities of widely separated believers
KHMER RELIGION. The majority of Khmer, the
need them. At other times, when circumstances dictate,
dominant ethnic population of Cambodia, identify them-
Iba¯d:¯ı communities may legally dispense with the imamate,
selves as practitioners of Therava¯da Buddhism. As in other
to be ruled by councils of learned elders.
contemporary Southeast Asian cultures with strong
Iba¯d:¯ı imamates rose and fell in Yemen, Oman, and Tri-
Theravadin identities, the Buddhism practiced in Cambodia
politania in the eighth century. Omani traders carried the
is characterized by two trends. Although the Theravadin his-
doctrine to East Africa in the ninth century. The greatest
tory of Cambodia is understood by most Khmer to extend
Iba¯d:¯ı imamate was that of Ta¯hart, founded in central Algeria
back to ancient times, the self-conscious construction of
around 760, which became hereditary in a family of Persian
Cambodia as a Theravadin nation is largely a modern devel-
origin, the Rustam¯ıs. During the latter part of the eighth
opment. Khmer Buddhism is (and has long reflected) a com-
century and the first half of the ninth century, the imams of
plex interweaving of local and translocal religious ideas,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5128
KHMER RELIGION
movements, rituals, practices, and persons. This history in-
sophical, religious, and political thought of Indians were as-
cludes, first, the blurring of clear distinctions between
similated and reinterpreted by Khmer and other Southeast
Therava¯da, Maha¯ya¯na, and Tantric historical development
Asian peoples during the first centuries CE, possibly through
in Cambodia, and second, the incorporation of Buddhist val-
a combination of trade, diplomatic, and religious contacts
ues into local spirit cults and healing practices. As Buddhist
both with India and Indians directly and also through trade
scholars have only recently begun to recognize, the older nor-
and court relations with Southeast Asian neighbors. Among
mative presentation of a monolithic “Therava¯da” tradition
the most important borrowings from India for the Khmer
dominating Southeast Asia is largely a scholarly fiction.
was the introduction of Sanskrit writing and literature. Ar-
cheological evidence from the pre-Angkorian (seventh to
Buddhism in Cambodia during the past two millennia
ninth centuries) and Angkorian (ninth to fourteenth centu-
has been marked by numerous transformations as it was
blended, in different forms, with local and Hindu-influenced
ries) periods shows that the Khmer utilized both Sanskrit and
cults; as diplomats, missionaries, monks, and traders import-
Khmer for inscriptions: they used Sanskrit for expressive lit-
ed new interpretations, monastic lineages, and practices; and
erary purposes, such as extolling the virtues of the gods, and
as Buddhism rose and fell from official patronage. There are
Khmer for more documentary purposes, such as listing dona-
striking continuities in Khmer religious history as well: the
tions of slaves to temples. Sanskritist Sheldon Pollock has
political potency of religion in various Khmer kingdoms,
suggested that the attraction of Sanskrit as a cosmopolitan
states, and regimes; the intertwining in all periods of Bud-
language was aesthetic; it provided a powerful medium for
dhist, Brahmanic, and spirit cults and practices; and, at least
imagining the world in a larger, more complex, and translo-
since the widespread popularization of Therava¯da Buddhism
cal way. By the middle- or post-Angkorian period (fifteenth
after the fourteenth century, the important role of Buddhist
to nineteenth centuries), the use of Sanskrit for literary pur-
ideas and values in the moral vocabulary and ritual practices
poses had been replaced by the vernacular, which had devel-
of Khmer people.
oped its own cosmopolitan idiom. For the Khmer, this pro-
cess of the thorough transformation of the Indian literary
Based on Pali scriptures, many Khmer Buddhists have
imagination is evident in the celebrated Khmer rendering of
understood their national religion to originate in the A´sokan
the Ra¯ma¯yan:a, known in Khmer as the Ra¯makerti (pro-
missions of the third century BCE. Archeological evidence,
nounced “Ream-ker”), the Glory of Ra¯m. The Khmer adapta-
however, suggests a somewhat later introduction of Bud-
tion of the Indian epic transforms the hero, Ra¯m, into a bo-
dhism, possibly as early as the second century CE, when
dhisattva, reflecting Khmer ethical and aesthetic concern
Khmer-speaking peoples were congregated in small chief-
with the biography of the Buddha. The Ra¯makerti appears
doms referred to in Chinese records as Funan. Buddhism was
as a frequent theme in Khmer art in temple murals and
likely introduced into the Khmer regions by Indian mer-
paintings and in bas reliefs on the galleries of Angkorian tem-
chants, explorers, and traveling monks, but the extent to
ples. It has also been reenacted in elaborate traditional dance
which this movement should be regarded as a full-scale “im-
forms, composed as narrative poetry, and retold in many oral
plantation” has been debated. The theory of the importation
versions, including shadow puppet plays known as spaek
and spread of Buddhism and other Indian ideas and cultural
dham: and lkhon khol performances used ritually as spirit of-
forms into Southeast Asia has been termed Indianization by
ferings.
scholars. In the nineteenth and early twentieth centuries, a
historical account of the “origin” of Southeast Asian cultural
From the second century onward, historical evidence
forms through the mode of a dominant Indian civilization
suggests that Buddhist and Brahmanic practices coexisted
was widely accepted by colonial scholars of Cambodia, pre-
and became intertwined with local animist traditions and
sumably because of its resonance with dominant colonial
spirit beliefs in the Khmer regions. Chinese records indicate
views of race and civilizational development. By the 1930s,
that Khmer court rituals during the Funan period included
the work of the French Indologist Paul Mus (soon joined by
the worship of S´iva-lin˙gam, suggesting devotion to S´iva, as
other historians) began to call into question the extent to
well as evidence of local spirit cults. The transregional move-
which the Khmer and other Southeast Asian cultures were
ments of Buddhist missionaries and pilgrims may well have
shaped by Indian influence, arguing instead that Indian
introduced Buddhism into Southeast Asian courts. Chinese
forms had been easily absorbed in Southeast Asia because
histories reveal that Chinese monks en route to India by sea
they complemented existing indigenous ideas and practices,
visited sites in Southeast Asia, and likewise that a Buddhist
and that the cultural influences moved both ways, not just
monk from Funan named Na¯gasena traveled to China in the
one way.
sixth century. At Oc-Eo, a port city of the Funan era, arche-
ologists have discovered Buddha images associated with the
More recently, a consensus has emerged among many
Maha¯ya¯na tradition.
historians that Indians probably never established a political
and economic process akin to modern-era colonization by
Epigraphic records of religious life began to appear in
Europeans in Southeast Asia; nor is there thought to have
the seventh century, during the period referred to as pre-
been a large movement of Indian settlers to Southeast Asia.
Angkor, when the Khmer regions were apparently dominated
Rather, aspects of the language, arts, literature, and philo-
by a group of chiefdoms or kingdoms referred to in Chinese
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KHMER RELIGION
5129
sources as Chen-la. These inscriptions, primarily composed
1001), Su¯ryavarman I (1001–1050), and Jayavarman VI
in Khmer and Sanskrit, suggest that the pre-Angkorian rulers
(1080–1107) all patronized Buddhism in addition to other
were for the most part devotees of S´iva or Vis:n:u. Contempo-
religious cults. Maha¯ya¯na Buddhism came to the forefront,
rary historians warn against over-interpreting this evidence
however, toward the end of Angkorian predominance, dur-
to suppose that an Indian-like “Hinduism” was in existence.
ing the reign of Jayavarman VII (1181–c.1218). Historian
Rather, drawing on persuasive linguistic evidence, Michael
David Chandler has suggested that Jayavarman VII may have
Vickery has pointed to the practice among pre-Angkor
developed an interest in Maha¯ya¯na Buddhism during a stay
Khmer of attributing Indian names to their own indigenous
in Champa, where Maha¯ya¯na Buddhism was flourishing. In-
deities.
fluenced by Buddhist ideas, Jayavarman VII followed a peri-
od of bloody warfare in his reign by constructing public
These inscriptions also suggest the simultaneous prac-
works, such as rest houses, hospitals, and reservoirs, as well
tice or at least the presence of diverse religions, including
as the temples Ta Prohm and Preah Kan to honor his parents
Buddhism, which was tolerated and to different degrees sup-
in combination with the goddess of wisdom, Prajña¯pa¯ramita¯,
ported by most pre-Angkorian rulers. Buddhism was appar-
and the Bodhisattva Loke´svara (symbolizing compassion).
ently practiced alongside or synthesized into the activities of
He also erected the Bayon temple in the center of his capital
indigenous cults with some Indian features. These sources
containing the central image of the Buddha, with four-faced
also reveal that pre-Angkorian Buddhist influences were
images of Loke´svara on its towers and exteriors, an image
drawn from India, China, Sri Lanka, and other parts of
that has been widely associated in modern times with Cam-
Southeast Asia, such as Dvaravati and Champa, with more
bodian identity and with a widespread romantic fascination
than one form of Buddhism in evidence. Numerous
with Angkor. This image has sometimes been interpreted as
Avalokite´svara figures, as well as a reference to the name
a likeness of Jayavarman VII as well, possibly representing
Loke´svara in an inscription from 791 (found in present-day
a further reinterpretation of the earlier devara¯ja concept, now
Siemreap), indicate Mahayanist influence. Yet some early
connecting king and bodhisattva.
Pali inscriptions from the pre-Angkor period have also been
found along with Sri Lankan and Dvaravati style Buddha im-
During the eleventh to thirteenth centuries, as inhabi-
ages showing Theravadin presence.
tants of the Southeast Asian maritime regions were adopting
Islam, people in mainland areas, including Cambodia, were
The end of the pre-Angkor period was a period of politi-
turning to Therava¯da Buddhism. Although there is a general-
cal and economic expansion and centralization in the Khmer
ly acknowledged acceptance among scholars of the “ascen-
region. As kings enlarged their territories, the Khmer politi-
dancy” of Therava¯da Buddhist ideologies and practices dur-
cal linking of king and deity began to emerge, a concept re-
ing this period, it is not exactly clear why or how. Victor
ferred to in Sanskrit inscriptions as devara¯ja, which may have
Lieberman explains the popularization of Therava¯da Bud-
grown out of older indigenous traditions linking rulers and
dhism after about 1400 in connection to expanding trade
local deities of the earth. This association developed more
and prosperity moving from coastal to inland regions. He
fully during the Angkor period, starting with the kingship
suggests that Therava¯da Buddhism became associated with
of Jayavarman II (802–854). While the ideological details of
this movement and that it perhaps provided a larger, more
the devara¯ja cults remain unclear—whether or to what ex-
cosmopolitan and universal vision of the world for its new
tent kings understood themselves as embodied deities or as
adherents. Given the syncretic nature of Khmer religion in
supplicants to or patrons of particular deities remains con-
general, it is likely that Theravadin ideas and practices con-
tested—scholars have surmised that the considerable politi-
tinued to intermingle with other Buddhist forms. As the
cal and economic influence wielded by Angkorian kings was
dominant political and economic influence of Angkor waned
inseparable from their close ties to cycles of agricultural pro-
and the kingdoms of Pagan and Sukothai (in present-day
duction and fertility, their roles as moral exemplars and pro-
Burma and Thailand) replaced it as regional powers, trade,
tectors and patrons of religious life. These dimensions of
diplomatic, and other cultural contact with these Theravadin
kingship were manifested in the building projects un-
kingdoms spread Theravadin ideas to Khmer-speaking peo-
dertaken by the Angkorian kings, in reservoirs, images, and
ple. A Khmer prince, possibly a son of Jayavarman VII, is
mountain temples such as Angkor Vatt, the fabulous reli-
supposed to have been among a group of Southeast Asian
gious monument constructed by Su¯ryavarman II (1113–
monks who traveled to Sri Lanka to study Buddhism at the
c.1150) and dedicated to Vis:n:u.
end of the twelfth century and ordained in the Mahaviharin
Most of the early Angkorian kings were Saivites or devo-
order, a lineage that was carried back and established in
tees of Harihara, a Khmer deity incorporating aspects of both
Pagan. During the next two centuries, Therava¯da Buddhism
S´iva and Vis:n:u. But Maha¯ya¯na Buddhism was also in evi-
became assimilated into all levels of Khmer society and syn-
dence and became increasingly connected with royal patron-
thesized with older Brahmanic and spirit practices, such as
age and political power during the Angkorian period. Yaso-
agricultural and life-cycle rites, worship of qnak ta¯ (local spir-
varman, regarded as the founder of Angkor (889–900),
its), spirit mediumship, alchemy, and healing practices.
dedicated hermitages to S´iva, Vis:n:u, and the Buddha;
During the post-Angkorian or “middle period,” the
Ra¯jendravarman II (c. 944–968), Jayavarman V (c. 968–
population and agricultural centers of the Khmer region
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5130
KHMER RELIGION
gradually shifted southward. While Khmer religion retained
held wider repercussions for challenging a rigid historiogra-
its syncretic character, Theravadin forms and idioms domi-
phy of a dominant Pali Theravadin tradition in the region,
nated. Cultural historian Ashley Thompson sees this move-
François Bizot has argued that Khmer Buddhism prior to the
ment reflected in the appearance of wooden Theravadin
period of renovation initiated by Ang Duong was character-
viha¯ras built adjacent to Angkorian Brahmanic stone tem-
ized by strong Tantric influences, which were largely eradi-
ples, and in the shift in iconography from images of deities
cated during the nineteenth and early twentieth centuries.
such as S´iva, Vis:n:u, and Harihara to images of the Buddha.
Bizot’s current translations seek to preserve remnants of these
Pali replaced Sanskrit as the language of inscriptions and lit-
traditions, marginalized and preserved in the esoteric teach-
erature along with Khmer, and much of the classical Khmer
ings, texts, and meditation practices of small numbers of ad-
literature was composed during this time. Along with the de-
herents.
velopment of Buddhist interpretations of the Ra¯makerti,
Beginning in 1848, when Ang Duong was installed on
Khmer art and literature began to assume Theravadin ideas
of the relationship between Buddhist virtue and kingship,
the Khmer throne under Siamese patronage, he initiated a
and merit-making and karma; they also developed an em-
Buddhist purification movement that lasted for nearly a cen-
phasis on the cosmic biography of the bodhisattva perfecting
tury, and which formed the basis for the creation of modern
virtues in his different rebirths on the path to buddhahood,
Khmer Buddhism during the early decades of the twentieth
and a cosmology and ethical orientation reflecting notions
century. Ang Duong, who composed a number of well-
of rebirth and moral development in the three-tiered world
known literary works himself, gathered Buddhist-trained li-
of the Trai Bhu¯m. A sixteenth-century inscription translated
terati in his court, and turned his attention toward revitaliz-
by Thompson, for example, refers to the merit produced by
ing Buddhist education and rebuilding Buddhist material
a royal couple, the king’s subsequent rebirth in Tus:ita Heav-
culture. The strong court ties with Siam, affinities between
en, and his resolve to become an arahant at the time of the
Khmer and Thai Buddhism, as well as the vibrancy of Bud-
Buddha Maitreya.
dhist literary culture in Bangkok during much of the nine-
teenth century, led the Khmer to turn to Bangkok for Bud-
While Khmer scholars tend to situate the end of the
dhist texts and education. Modern Khmer Buddhism, as it
middle period and the beginning of the modern period in
developed, was thus also strongly influenced by the Thai
the mid-nineteenth century with the advent of French colo-
Buddhist reforms introduced in the nineteenth century by
nial rule in 1863, a significant shift in the fate of modern
King Mongkut and his sons, King Chulalongkorn and (in
Khmer Buddhism began to occur toward the end of the eigh-
the Khmer transliteration) Supreme Patriarch Vajiraña¯-
teenth century. From this point until the early nineteenth
n:avarorasa.
century, Cambodia was involved in almost continual warfare
with its Siamese and Vietnamese neighbors, followed by un-
This Siamese influence is evident in the biographies of
rest and violence later in the nineteenth century, as a result
the two leading Khmer monks of the nineteenth century,
of internal revolts, Buddhist millenarian rebellions, piracy,
who both received their ordinations in Bangkok. Samtec
and banditry. The Buddhist material culture that had devel-
Brah: Sanghara¯j D¯ıen˙ (1823–1913), the sam:gha chief who
oped during the middle period was damaged or destroyed as
oversaw most of the Buddhist renovation in Cambodia, was
a result of this warfare and social chaos. A nineteenth-century
captured as a prisoner of war by the Siamese army as a young
Khmer official wrote in his memoir that in the late 1840s,
boy and taken to Bangkok as a slave, where he became con-
once a relative peace was restored for the first time in more
nected to the entourage of the exiled Ang Duong. D¯ıen˙ was
than a century, the countryside of Cambodia was “shat-
ordained as a novice at the age of eleven, and by the time
tered,” poverty and starvation were apparent everywhere, and
he was ordained as a monk in 1844, he had already won the
Buddhist temples were destroyed or broken apart. Orphaned
notice of Rama III for his brilliance. By the age of twenty-
and poor, he recalled, “I knew only suffering and misery and
five, his reputation as a scholar and monk-scribe was well es-
my heart was broken. I wanted to ordain in the discipleship
tablished in monastic circles in Bangkok, and his works in-
of the Lord Buddha. . . . But in Vatt Sotakorok there were
cluded a translation of the Trai Bhu¯m from Thai, as well as
no Dhamma-attha-sa¯stra-pali [Buddhist scriptures] and in
the pa¯timokkha, a section of the Vinaya or monastic code reg-
the vatt [temple] where I was ordained as a bhikkhu, there
ularly recited by monks. D¯ıen˙ returned to Cambodia at the
remained only ignorant and backward monks.”
request of Ang Duong to head up the restoration of Bud-
dhism in the kingdom, and following a Thai model of ad-
The destruction of Buddhist texts, temples, educational
ministrative centralization, he began to conduct the first of
facilities, and generations of scholar-monks over a sustained
several reorganizations of the sam:gha that occurred between
period of time, as well as the weakening of the Cambodian
the 1850s and 1880. Appointed to the rank of supreme patri-
monarchy, the influence of Thai Buddhist reforms, and the
arch in 1857, D¯ıen˙ also instituted monastic Pali exams, be-
colonial religious policies imposed by the French, all contrib-
ginning in 1858. He retained his close connections with the
uted to a shift in the religious landscape of Cambodia during
Khmer throne during Norodom’s reign (r. 1864–1904), and
and after the reign of King Ang Duong (r. 1848–1860). In
was venerated by the general populace until his death in
his path-breaking work on Khmer Buddhism, which has also
1913.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KHMER RELIGION
5131
The other highly regarded Khmer monk of the nine-
side of urban areas, the wider imprint of Thai reformism in-
teenth century was Samtec Brah: Sugandha¯dhipat¯ı Pa¯n
fluenced young Khmer monks in the more traditional
(c.1824–1894), the monk credited with the importation of
Maha¯nika¯y order in Cambodia. These young monks, led in
the Dhammayutnika¯y (Mongut’s reformist sect) to Cambo-
particular by Chuon Nath (1883–1969) and Huot Tath
dia. Born in Battambang, Pa¯n was ordained as a novice in
(1891–1975), pushed for a series of innovations in the
1836 at Vatt Bodhiva¯l in Battambang; in 1837 he went to
Khmer sam:gha beginning in the early twentieth century: they
Bangkok to study Pali, his biography states, because of “the
advocated the use of print for sacred texts (supplanting the
deplorable state of Buddhist education in his [natal] pago-
traditional inscription of palm-leaf manuscripts mandated by
da.” He was ordained in the Maha¯nika¯y sect as a bhikkhu at
sam:gha officials for Buddhist texts into the 1920s in Cambo-
the age of twenty-one, but in 1848, he was exposed to an in-
dia); a higher degree of competence in Pali and Sanskrit
fluential teacher of the Dhammayut sect; one biography
studies among monks; a vision of orthodoxy based on under-
states that he also studied Pali under the direction of Mong-
standing of Vinaya texts for both bhikkhu and laypersons;
kut, who was still in the monkhood at this time. Pa¯n re-
and modernization in pedagogical methods for Buddhist
ordained as a Dhammayut bhikkhu in 1849, with Mongkut
studies. As the modernist and reformist ideas of Nath and
presiding at the ceremony.
That developed, the two monks came to champion the un-
The date of Pa¯n’s return to Cambodia and the founding
derstanding and practice of a rationalistic, scripturalist, de-
of the Dhammayut sect in Cambodia has been attributed to
mythologized Buddhism, similar in many respects to the re-
the reigns of both Ang Duong and Norodom, either in 1854
formed Buddhism of Mongkut.
or 1864. While the exact date is uncertain, it is clear that in
symbolic and political terms, the erudite monk Pa¯n—and
Chuon Nath, often considered to be the greatest Khmer
with him, the establishment of the Dhammayut sect—
monk of the twentieth century, was born in Kompong Speu
emanated from the highest court circles in Bangkok. Pa¯n was
and ordained as a bhikkhu at Vatt Bodhi Priks in Kandal in
accompanied on his return to Cambodia by a number of Sia-
1904; he was educated as a novice first at Vatt Bodhi Priks
mese monks, who presented the kingdom with a collection
and later at Vatt Un:n:a¯lom. After his ordination as a bhikkhu
of eighty Siamese texts, presumably the tipit:aka, which had
he returned to Vatt Un:n:a¯lom, where he continued his Pali
been “lost” in Cambodia during the years of warfare. Under
studies under the direction of Brah: Maha¯vimaladhamm
Norodom, Pa¯n constructed the seat of the Dhammayut
Thon˙, who was in turn a student of Brah: Samtec Sanghara¯j
order in Vatt Bodum Vaddey in Phnom Penh. He was ap-
Dien˙. Nath’s younger colleague and long-time collaborator,
parently literate in Pali, Sanskrit, Thai, Lao, Burmese, and
Huot Tath, was also born in Kompong Speu, and was or-
Mon, and could also read ancient Khmer inscriptions.
dained in 1912 at Vatt Un:n:a¯lom. Both men generated con-
Dhammayut sources suggest that he was an important com-
troversy and were held in scorn by some of their older col-
piler of Vinaya commentaries, monastic training manuals,
leagues within the Maha¯nika¯y during their early years as
and manuals on merit-making rituals.
reformers, but they rose to prominent monastic ranks during
the late 1920s and 1930s, serving as professors at the Sa¯la¯
While these two widely-respected and well-educated
Pali and as key members of the Commission for the Produc-
monastic leaders were able to foster the renovation of Bud-
tion of the tipit:aka. Nath was appointed as sam:gha head in
dhism envisioned by Ang Duong from the 1850s onward,
1963; Tath followed as sanghara¯j in 1969, after Nath’s death,
monks and novices seriously interested in advanced Pali
holding this title until his execution by the Khmer Rouge in
studies were still better served in Bangkok, usually after re-
1975.
ceiving a basic primary and novitiate education in Cambo-
dia. Monastic biographical sources suggest that prior to
The reforms envisioned by the faction of Nath and Tath
about 1910, young boys studying in Khmer temples learned
were not uniformly accepted within the Khmer sam:gha.
Khmer literacy, writing, arithmetic, vernacular religious lit-
Early attempts by Nath to introduce print met with resis-
erature such as cpap’ (didactic poetry), ja¯taka, lpaen: (narra-
tance from established sam:gha officials and led to increasing
tive poetry), and sometimes kpuan (manuals) or tamra¯ (tech-
factionalism between modernists and traditionalists within
nical treatises) on astrology, medicine, or ritual procedures.
the Maha¯nika¯y that continued into the 1970s. The reformist
Monks and novices who traveled to Bangkok for study or
efforts led by modernist monks did however coincide with
text collection purposes, such as Ukña¯ Suttantapr¯ıja¯ Ind
both the pedagogical ideologies and political interests of
(1859–1924), Brah: Maha¯vimaladhamm Thon˙ (1862–
French colonial administrators who backed Nath and Tath
1927), and Brah: Ma¯s-Kan˙ (1872–1960), encountered new
in an effort to reinvigorate Buddhist education within the
methods of Pali grammar instruction, translation, and textu-
protectorate. The French administration took on the role of
al analysis that went beyond the older pedagogical traditions
sam:gha patron in part to foster European models of scientific
employed in most Khmer monasteries of the day of rote
education but also, fearing Siamese and Vietnamese influ-
memorization, often without clear understanding of the Pali
ence, to stem the flow of Khmer Buddhist literati to Bang-
verses being chanted.
kok, as well as the movement of monks within French Indo-
Although the Dhammayutnika¯y imported from Siam
china. The modernist agenda also helped to counter the
and patronized by the royal family never took wide hold out-
influence of millenarian Buddhism in the provinces, 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
5132
KHMER RELIGION
threatened French rule. In French Cambodia, as well as in
evil, of that I will be the heir. What we do we will reap, what
southern Vietnam, peasant insurrections linked anticolonial-
we sow we will reap.” Given this understanding, moral be-
ism with predictions of a Buddhist dhammik (“righteous
havior and especially the attainment of high levels of moral
ruler”) who would usher in the epoch of the Buddha
purification—most often by monks and other religious virtu-
Maitreya.
osos—were highly valued. But even for lay people, religious
participation was marked by the frequent ritual invocation
The Buddhist reform movement advocated by Nath,
of the five Buddhist precepts (s¯ıl pram: in Khmer: to abstain
Tath, and their fellow professors and scholars at the Sa¯la¯
from taking life, stealing, false speech, improper sexual rela-
Pali—known initially as Dharm-thm¯ı (“modern dhamma”)
tionships, and the use of intoxicants), as well as by ceremo-
and later as Dhammaka¯y or simply sma¯y (“modern”) Bud-
nies of homage and taking refuge in the “triple gem” (the
dhism—shaped the contours of official scholarly Buddhism
in Cambodia as these reformers taught in advanced Buddhist
Buddha, dhamma, and sam:gha), and by merit-making
educational institutions and dhamma-Vinaya schools, and
through offering gifts of food and robes to monks, through
prepared textual compilations. But this textually-oriented
the copying or dedication of Buddhist texts, and for those
Buddhism was never the only or even the dominant expres-
with enough means, through sponsoring religious building
sion of religious life in modern Cambodia, and even while
projects. Gratitude to parents or teachers, to whom one
a figure such as Chuon Nath was widely respected as a great
could dedicate merit, and veneration toward monks, the
scholar, he was also venerated by the Cambodian populace
king, and the nation were increasingly intertwined with ide-
as the possessor of extraordinary powers of iddhi, such as the
ologies of merit-making during the twentieth century. A
ability to understand the speech of birds.
Khmer proverb translated by Bounthay Phath conveys the
understanding of impermanence and dukkha that inscribed
In urban as well as rural areas, Khmer religious life dur-
the religious ethos of her childhood in Phnom Penh during
ing most of the twentieth century was deeply ritualistic, in-
the 1950s and 1960s: “Wherever one goes, suffering will go
volving the daily or seasonal worship of deities of the earth,
along just as the shadow follows the body.”
water, rice fields, and cardinal directions, as well as local tute-
lary spirits and ancestors, along with the care and manipula-
While modernist sam:gha officials and scholarly Bud-
tion of the relationships between humans and these powerful
dhists in the 1920s and 1930s sometimes decried the religion
spirit beings. (Some of these generalizations remain current,
practiced by the majority of Khmer as “non-Buddhist,” for
but since so many aspects of Khmer life were altered after
the most part, the spirit practices, Brahmanist court rituals,
1975, it is more accurate to confine these descriptions to the
ancestor propitiation, and healing cults amply documented
pre-1975 religious context documented by ethnographers
by ethnographers coexisted with reformist forms of
such as Eveline Porée-Maspero and May Ebihara). Spirit
Therava¯da Buddhism. This complementarity between “pop-
houses in fields and outside of houses were often attended
ular” and textual interpretations of Buddhism was visible
daily, while shrines within the house were maintained for an-
even in 1930 when the Buddhist Institute was established
cestor spirits, known as meba¯, whose dissatisfaction or disap-
under the directorship of French curator Susanne Karpelès,
proval could potentially cause illness in family members.
a French Indologist who promoted Nath’s and Tath’s reform
While Buddhist monks were invited to offer prayers and
Buddhism; Karpelès and her staff happily orchestrated color-
blessings or sprinkle sacred water at weddings, funerals,
ful processions and merit-making festivals in the countryside
housewarmings, and other life-cycle events, other religious
as they collected copies of Buddhist manuscripts for the Bud-
practitioners besides monks often presided at these kinds of
dhist Institute and Royal Library. The major project of the
events. These included a¯cha¯ry, lay teachers at the vatt who
institute was to produce a critical Khmer-Pali printed edition
assisted with life-cycle rituals, protective amulets, and so on;
of the Tipit:aka, culled by a commission of Buddhist scholars
gru¯ Khmaer, traditional healers who could diagnose and cure
from palm-leaf manuscripts donated by the Khmer popu-
many illnesses, including those connected with the spirit
lace, and finally completed in 1968. After 1930, the Bud-
world; ru¯p arakkh, spirit mediums who could communicate
dhist Institute continued to lead the development of modern
with the spirits of the dead, arakkh; and chmap, midwives
Buddhism in Cambodia, and historian Penny Edwards has
who assisted with the rites and practices necessary to assure
argued for its role as a site for imagining Khmer nationalism.
safety for mothers and infants during the highly vulnerable
Monks were among the most prominent dissidents against
passage of childbirth.
the French colonial regime, and the institute also helped give
rise to the development of the Communist Party in Cambo-
The ethical ideas underlying these religious practices re-
dia; Mean (Son Ngoc Minh) and Sok (Tou Samouth), later
flect several central themes. First and perhaps most impor-
leaders of Khmer communism, were both recruited by Su-
tant, is a belief in the efficacy of the law of karma (kamm in
sanne Karpelès for Buddhist education.
Khmer). Summarized by the contemporary Khmer monk
Venerable Maha Ghosananda, this law states: “Karma means
In spite of this early connection between Buddhism and
action. . . . I am the owner of my karma. And the heir of
the Communist Party, after the Khmer Rouge took power
my karma. I am related to my karma, and abide supported
in April 1975, they quickly sought to eradicate Buddhism
by my karma. Whatever karma I shall do, whether good or
in Democratic Kampuchea. Ian Harris estimates that 63 per-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KHMER RELIGION
5133
cent of monks died or were executed during the Democratic
ideas are reaching contemporary Khmer Buddhists, includ-
Kampuchea years; many others were forced to disrobe, Bud-
ing “engaged Buddhism,” models for Buddhist-led care for
dhist monasteries were destroyed or used for other purposes,
AIDS patients, and human rights education and conflict me-
Buddhist text collections were discarded, and Buddhist prac-
diation techniques taught through the medium of Buddhist
tices were forbidden. Nearly two million people died as a re-
concepts. The internationally known Khmer monk, Maha¯
sult of Khmer Rouge policies enacted between 1975 and
Ghosananda, a student of Gandhian ideas, began leading
1979.
peace marches across Cambodia in 1989 known as
dhammaya¯tra¯ (dhamma pilgrimages), which crossed war
Since the Vietnamese invasion of 1979 that brought an
zones and called attention to injustices in contemporary soci-
end to the murderous Democratic Kampuchea regime, Bud-
ety. Nadezhda Bektimirova reports that after the 1997 coup,
dhism has slowly reemerged in Cambodia, in some ways re-
seven hundred monks marched for peace in Phnom Penh,
sembling Buddhism before 1975 and in other ways altered.
carrying the slogan “May peace come to the home of every
The People’s Republic of Kampuchea allowed the reorgani-
Cambodian.”
zation of the Khmer sam:gha under the Venerable Tep Vong,
but imposed severe restrictions on Buddhist participation
SEE ALSO Buddhism, article on Buddhism in Southeast
and expression. These were gradually lifted by the People’s
Asia; Hinduism in Southeast Asia; Samgha, article on Sam-
Republic of Kampuchea and the subsequent (1989) State of
gha and Society in South and Southeast Asia; Southeast
Cambodia government. Since 1989, many temples (vatt)
Asian Religions, article on Mainland Cultures.
have been rebuilt, often from contributions by overseas
Khmer, and Buddhist life has been widely reconstituted.
BIBLIOGRAPHY
Research by anthropologists John Marston and Judy
The classic, indispensable synthetic work on Khmer history is
Ledgerwood, among the first to begin to document the new
David Chandler’s A History of Cambodia, rev. 3d ed. (Boul-
der, Colo., 2000). The Khmers, by Ian Mabbett and David
religious context, suggests that older strains of Khmer Bud-
Chandler (Oxford, 1995), emphasizes early Khmer history.
dhist thought, such as tensions between “modernists” (sma¯y)
The essays by Keith Taylor, Ian Mabbbett, J. G. De Ca-
and “traditionalists” (pura¯n:), as well as millenarian move-
sparis, Barbara Watson Andaya, and Anthony Reid in The
ments (connected in some cases with the nineteenth-century
Cambridge History of Southeast Asia, vol. 1: From Early Times
versions), have reemerged in this new period. Ledgerwood’s
to c. 1800, edited by Nicholas Tarling (Cambridge, UK,
work has also begun to document the ways in which contem-
1992), along with Victor Lieberman’s Strange Parallels:
porary political leaders such as Hun Sen are returning to the
Southeast Asia in Global Context, c. 800–1830 (Cambridge,
pre-revolutionary model of political rulers as patrons of the
2003), can provide a picture of the history and development
sam:gha in order to establish authority and legitimacy. On the
of the Khmer in a larger regional perspective. Chandler, a
other hand, the loss of so many monks, intellectuals, and
student of Paul Mus and strongly influenced by his theories
about indigenous culture, reflects the turn toward producing
texts and a whole generation of young lay people raised with-
“autonomous” histories of Southeast Asia. Together with Ian
out any religious education during the Democratic Kampu-
Mabbett, he translated and edited Mus’s India Seen from the
chea period is seen by some contemporary Buddhist leaders
East: Indian and Indigenous Cults in Champa (Cheltenham,
as a major obstacle to the rebuilding process and an irrepara-
Australia, 1975). While Indianization theories have been
ble break with the past. The traumatic experience of the
challenged, George Coedès’s The Indianized States of South-
Democratic Kampuchea period and its aftermath has in
east Asia, translated by Sue Brown Cowing, remains an im-
some cases ushered in new kinds of cynicism and questioning
portant comprehensive regional treatment of Southeast Asia.
of basic Buddhist truths, such as the efficacy of the law of
Louis Finot’s Le Bouddhisme, son origine, son evolution
karma; in contemporary Phnom Penh, the classic karmic for-
(Phnom Penh, 1956), which shares the Indianization bias,
mula, “If you do good, you will receive good in return; if you
was written in the early 1920s in part to convey this notion
do evil, you will receive evil,” is sometimes sardonically re-
to Khmer Buddhist monks. It deals primarily with Indian
Buddhist history rather than Khmer Buddhism, and was in-
phrased to reflect a widespread perception of governmental
fluential for both Chuon Nath and Huot Tath, who studied
corruption: “If you do good, you will receive good; if you
Buddhist history and epigraphy with Finot in Hanoi in the
do evil, you will receive a car.” Other contemporary Khmer
early 1920s.
now identify even more strongly with Buddhism; many seek
Bizot’s most important work, in which he lays out his theory of
to remember the dead through merit-making ceremonies or
Tantric influence in Cambodia, is Le Figuier à cinq branches
to ease traumatic memories through meditation practice. Lay
(Paris, 1981); he continues to translate and publish vernacu-
meditation movements have begun to flourish in Phnom
lar works in this vein. Relatively few synthetic works are
Penh, a trend already decades old in other Theravadin coun-
available on Khmer Buddhist history in European languages.
tries such as Burma and Thailand.
Ian Harris’ new Cambodian Buddhism: History and Practice
(Honolulu, 2004), drawing primarily on European sources,
As diasporic Khmer establish new Buddhist centers
provides a much-needed overview of Khmer Buddhist histo-
around the world in cities such as Lowell, Massachusetts, and
ry. This work can be supplemented with Charles F. Keyes,
Long Beach, California, and as Japanese and Western Bud-
“Communist Revolution and the Buddhist Past in Cambo-
dhists and aid workers visit Cambodia, new global Buddhist
dia,” in Asian Visions of Authority: Religion and the Modern
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5134
KHMER RELIGION
States of East and Southeast Asia, edited by Charles F. Keyes,
XXème siècle (Paris, 1993), as has Judith Jacob in her highly
Laurel Kendall, and Helen Hardacre (Honolulu, 1994), and
useful The Traditional Literature of Cambodia: A Preliminary
the topical essays on historical and contemporary religion in-
Guide (Oxford, 1996). In Khmer, the most-cited work on
cluded in History, Buddhism, and New Religious Movements
literature is by L¯ı Dha¯m Ten˙, Aksarsa¯str Khmaer (Khmer lit-
in Cambodia, edited by John Marston and Elizabeth Guthrie
erature [Phnom Penh, 1961]).
(Honoloulu, 2004). In Khmer, Huot Tath has a history of
The classic work on colonial Buddhism is still Adhémard Leclère’s
Khmer Buddhism called Brah:buddh-sa¯sana¯ nau Prates
Le bouddhisme au Cambodge (Paris, 1899); this work is par-
Kambhuja¯ Sankhep (An abbreviated account of Buddhism in
ticularly useful for its records of Leclère’s conversations with
Kampuchea; Phnom Penh, 1961).
Khmer monks of the period. His numerous translations of
Michael Vickery’s brilliant and meticulous reading of Khmer epig-
Buddhist vernacular works from the period are also available.
raphy and other historical sources in Society, Economics, and
Alain Forest’s Le Cambodge et la colonisation française: His-
Politics in Pre-Angkor Cambodia: The 7th–8th Centuries
toire d’une colonisation sans heurts (1897–1920) (Paris, 1990)
(Tokyo, 1998) treats the pre-Angkor period, while Ian Mab-
touches on many aspects of Buddhist organization during the
bett’s Patterns of Kingship and Authority in Traditional Asia
French Protectorate period, and The French Presence in
(London, 1985) and Stanley Tambiah’s World Conqueror
Cochinchina and Cambodia: Rule and Response (1859–1905)
and World Renouncer (Cambridge, U.K., 1976) examine his-
by Milton E. Osborne is especially helpful for understanding
torical relationships between kingship and religion in Cam-
millenarianism (Ithaca, N.Y., 1969). Essays by Penny Ed-
bodia and elsewhere in the Theravadin world. Helpful works
wards and Anne Hansen in History, Buddhism, and New Reli-
on Angkor (and after) include the collected essays in Sculp-
gious Movements in Cambodia (cited above) treat the role of
ture of Angkor and Ancient Cambodia: Millennium of Glory,
religion in “imagining” Khmer identity during the colonial
edited by Helen Ibbitson Jessup and Thierry Zephir (Wash-
period. The most helpful published source in Khmer on the
ington, D.C., 1997); Charles Higham’s The Civilization of
early twentieth century is Huot Tath’s memoir Kalya¯mitta
Angkor (Berkeley, 2001); and Eleanor Mannikka’s Angkor
rabas’ khñu (My Kalya¯mitta [Phnom Penh, 1993]). Bunchan
Wat: Time, Space, and Kingship (Honolulu, 1996). Michael
Mul’s essay “The Umbrella War of 1942” in Peasants and
Vickery’s Yale University dissertation, “Cambodia After
Politics in Kampuchea, 1942–1981, edited by Ben Kiernan
Angkor: The Chronicular Evidence for the Fourteenth to
and Chantou Boua (London, 1982) considers later involve-
Sixteenth Centuries” (1977), and Ashley Thompson’s “In-
ment of monks in anticolonialism, and the introductory
troductory Remarks Between the Lines: Writing Histories of
chapters of Ben Kiernan’s How Pol Pot Came to Power (Lon-
Middle Cambodia,” in Other Pasts: Women, Gender and His-
don, 1985), offer a tightly condensed overview of Buddhist
tory in Early Modern Southeast Asia, edited by Barbara Wat-
developments during the colonial period. Many Khmer re-
son Andaya (Manoa, Hawai’i, 2000), both deal with post-
formist writings from 1914 and later are still available; they
Angkorian epigraphy. Reid’s edited volume Southeast Asia in
were often reprinted decades later (without revision) by the
the Early Modern Era: Trade, Power, and Belief (Ithaca, N.Y.,
Buddhist Institute. These are largely Buddhist ethical works
1993), and Khin Sok’s Le Cambodge entre le Siam et le Viêt-
by monk-scholars such as Um:-Su¯r and Lv¯ı-Em, as well as
nam (de 1775 à 1860) (Paris, 1991), take different approach-
Nath and Tath. Tauch Chhuong’s oral historical work, Bat-
es, one broadly cultural and regional, one closely focused on
tambang during the Time of the Lord Governor, which con-
Khmer social stratification and political history, but both
tains chapters on religious life in Thai-ruled Battambang,
help one to understand Khmer society in the late middle/
was translated by Hin Sithan, Carol Mortland, and Judy
early modern period. David Chandler’s “Going Through the
Ledgerwood (Phnom Penh, 1994).
Motions: Ritual Aspects of the Reign of King Duang of
In addition to the ethnographic works on Khmer ritual life dis-
Cambodia, 1848–1860” in Facing the Cambodian Past, by
cussed above, Eveline Porée-Maspero’s Étude sur les rites
David Chandler (Chiangmai, Thailand, 1996), discusses
agraires des Cambodgiens (Paris, 1962–1969), and May Ebi-
royal patronage of Buddhism on the eve of colonialism.
hara’s Columbia University Ph.D. dissertation, “Svay: A
There are a number of helpful works in reference to Khmer litera-
Khmer Village in Cambodia” (1968) and “Interrelations be-
ture, which is largely religious in nature. Saveros Pou’s work
tween Buddhism and Social Systems in Cambodian Peasant
is extensive, but of special note in reference to religion is her
Culture” in Anthropological Studies in Theravada Buddhism,
study, Études sur le Ra¯makerti (XVI–XVII siècles) (Paris,
edited by Manning Nash et al., (New Haven, Conn., 1966);
1977), and her translation and analysis of the cpap’, Guir-
Ang Choulean’s Les êtres surnaturels dans la religion populaire
lande de Cpa¯p’ (Paris, 1988). François Bizot’s Ra¯maker ou
khmère (Paris, 1986); and Alain Forest’s Le culte des genies
l’amour symbolique de Ra¯m et Seta¯ (Paris, 1989) is a study and
protecteurs au Cambodge: Analyse et traduction d’un corpus de
translation of a Khmer version of the text used as a manual
texts sur les neak ta (Paris, 1992), give a thorough treatment
for the practice of Tantric meditation in which the Buddhist
of spirit cults and practices. Work on Buddhism in the Dem-
adept follows the journey of Ra¯m as a form of spiritual in-
ocratic Kampuchea period is still emerging, but published
struction. A contemporary oral version of the Ra¯makerti used
works include Yang Sam, Khmer Buddhism and Politics
for ritual purposes has been collected and edited by Pic Bun-
1954–1984 (Newington, Conn., 1987), and Boua
nin as Ra¯makerti bol daoy Ta¯ Say (Ra¯makerti as recited by
Chanthou, “Genocide of a Religious Group: Pol Pot and
Grandfather Say [Phnom Penh, 2000]).Khing Hoc Dy has
Cambodia’s Buddhist Monks” in State Organized Terror:
written a comprehensive survey of Khmer literature and au-
The Case of Violent Internal Repression (Boulder, Colo.,
thors, Contribution à l’histoire de la littérature khmère: Littéra-
1991). Many works are available on diasporic Khmer reli-
ture de l’epoque “classique” (XVème–XIXème siècles) (Paris,
gion, including several essays collected in Cambodia Culture
1990), and Ecrivains et expressions littéraires du Cambodge au
Since 1975: Homeland and Exile, edited by May Ebihara et
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KHOI AND SAN RELIGION
5135
al. (Ithaca, N.Y., 1994) and Nancy Smith-Hefner’s Khmer-
ambivalent quality of explanations about natural phenomena
American: Identity and Moral Education in a Diasporic Com-
has led anthropologists to treat these concepts in a descrip-
munity (Berkeley, 1999). Some of the work cited above is
tive, folkloristic manner. Yet there is an underlying order of
from unpublished sources; ethnographic research on Khmer
shared symbolic categories that represents an inclusive pro-
religion by Judy Ledgerwood and John Marston (referred to
cess of cultural management. In its broad outlines, this sys-
above) is not yet available. An overview on contemporary re-
tem is common to all Khoisan groups, even though there is
ligion appears in Nadezhda Bektimirova’s “The Religious
variation in content and emphasis from one group to
Situation in Cambodia in the 1990s” in Religion, State, & So-
ciety 30, no. 1 (2002): 63–72.
another.
ANNE HANSEN (2005)
The key to understanding Khoisan cosmology lies in its
creation myths. In the beginning of time all species were con-
flated. Body parts were distributed in a haphazard, capricious
KHOI AND SAN RELIGION.
manner by the creator and were intermixed among the differ-
The Khoi and San
ent animals. These beings moved through mythical time, eat-
are the aboriginal peoples of southern Africa. The appella-
ing and mating with each other and being reincarnated in
tions formerly applied to them (Hottentot and Bushmen, re-
different forms. In the process, each species assumed the
spectively) have gone out of use because of their derogatory
identity suggested by its name and thereafter lived in the sur-
connotations. Properly, the terms Khoi and San refer to
roundings and ate the food appropriate to it. As order was
groups of related languages characterized by click consonants
achieved, the creator played an ever smaller active role in
and to speakers of these languages, but they are frequently
events; now he lives in the sky, relatively remote from earthly
applied in a cultural sense to distinguish between pastoralists
affairs. Generally positive values are attributed to him. An-
(Khoi) and foragers (San). In historical time (essentially,
other being has the role of administrator; he is responsible
within the past 250 years in this region), these people were
for and is the cause of everything that occurs on earth. He
found widely distributed below the Cunene, Okavango, and
is said to be stupid because he continues to make mistakes.
Zambezi river systems, that is, in the modern states of Na-
One of the principal mistakes is that people continue to die
mibia, Botswana, Zimbabwe, and South Africa. Smaller
when, in the logic of creation, they should not be mortal. He
numbers were, and are, to be found in southern Angola and
also capriciously sends or withholds rain, interferes in the
Zambia. The once large population of San in South Africa
conception and birth of children, and dictates success or fail-
has been completely eliminated; perhaps 20 percent of con-
ure in food production.
temporary Khoi still live in that country. Accurate censuses
of these people are available only for Botswana, where today
There is, accordingly, a dual conception of death. The
about half the estimated forty thousand San live. The fifty
death of animals is properly a part of their being; they are
thousand Khoi (except as noted above) are concentrated in
food. Human death is rationalized as the caprice of the ad-
Namibia.
ministrator and justified on the grounds that he eats the
Archaeological and historical evidence document the
dead, whose spirits then remain with him. These spirits have
coexistence in these areas of herding and foraging economies
an incorporating interest in death because “their hearts cry
for at least the past fifteen centuries. Bantu-speaking as well
for their living kin,” and they wish to perpetuate the social
as Khoi and San agropastoralists have been in the region
order from which they came. The dead are thus agents of the
along with foragers during this entire span of time. The first
administrator and a danger to the living, especially during
ethnographies were compiled by German ethnologists in the
dark nights away from camp.
last decade of the nineteenth century; a few accounts by mis-
This duality is pervasive in Khoisan cosmological
sionaries, travelers, and traders are available for the preceding
thought. Aside from the obvious oppositions between life
one hundred years.
and death, earth and sky, that are found among so many peo-
All of these herders and foragers were seasonally migra-
ples, a deeper configuration of a dialectical nature is present.
tory, circulating within group-controlled land tenures in re-
Comparative data is scarce; however, a good deal is known
sponse to seasonal distributions of pastures and plant and an-
about the Zˇu/ho˜asi San (!Kung) of Namibia and Botswana;
imal foods. The basic residential group was an extended
these people are by far the most numerous living San. This,
family often with close collateral extensions; it seldom ex-
plus the fact that they share some specific details with Nama
ceeded fifty persons in size. Two or more of these units, or
Khoi, is suggestive ground for using the data obtained from
segments thereof, came together for social, economic, and
them for a paradigm case. The Zˇu/ho˜asi creator, !xo, and the
ritual reasons at specified times, and contact among adjacent
administrator, //angwa, may be seen—and are sometimes de-
groups was maintained by frequent visiting. Descent among
scribed by informants—as a contrasting pair.
the San is bilateral. Patrilineal clans are attributed to the
In other words, !xo is a completed proper being, as is
Khoi. Neither social system contains hierarchical strata at
a Zˇu/o˜a person. (The name Zˇu/ho˜asi means “completed peo-
present, although there is evidence for them in the past.
ple”: zˇu means “person,” /ho˜a “finished” or “complete,” and
On the surface, Khoisan cosmological concepts are not
si is a plural suffix.) //angwa is incomplete, chaotic, “without
uniformly coherent. The apparent ad hoc and sometimes
sense.” !xo’s attributes are desirable, //angwa’s despicable.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5136
KHOI AND SAN RELIGION
by smearing honey around his mouth. This reversal of pro-
!XO
//ANGWA
priety and the fact that he is covered with long hair (Khoisan
Creative
Destructive
have little body hair) is taken as further proof of the confused
Passive
Active
incompleteness that situates him in residual mythological
Cool
Hot
time. Shamans enter this time while in trance to confront the
Clean
Dirty
administrator.
Hairless
Hirsute
Bees/Honey
Flies/Feces
Zˇu/ho˜asi shamans go in disembodied flight to the sky
Cattle/Sheep
Horses/Goats
and wrestle with //angwa in an attempt to force him to cor-
The color blue
The color red
rect some error—an illness, a social disfunction, or an uncer-
Cultural order
Natural order
tainty about events. In entering this state, shamans take on
some of its attributes; they sprout body hair or feathers, be-
come partly or wholly animal, and fly. To be able to partici-
pate in this realm they must partake of it. They eat the bile
The one gives life, the other takes it away. Some Zˇu/ho˜asi
of a lion, the musk gland of a skunklike weasel, the fat from
think of them as alternative aspects of the same person. That
an eland and a porcupine, and the roots of the three plants
this division, and by implication the cosmological system of
that grow in the supernatural world. Bitterness (of bile and
which it is a part, may have considerable time depth is sug-
gland) and fat are the dual sources of strength, as are the roots
gested by the attribution of cattle and sheep to the cultural
of extrasensory vision. These elements—eaten once during
order of!xo, while horses and goats are assigned to the unfin-
the course of learning to be a shaman—empower ordinary
ished domain of //angwa. Archaeological evidence places
men to challenge the strength of the supernatural and, by
both cattle and sheep firmly within the first millennium CE
overcoming it, to restore order to the social and natural uni-
in southern Africa; horses are much more recent. Linguisti-
verse.
cally, cattle and sheep are derived from a single native stem
in most Khoisan languages; horses and goats, on the other
The ritual context in which these activities take place in-
hand, are called by a term borrowed from Setswana or—in
volves the entire kin-based community. Only a few people
the case of horses—by extensions of the local word for zebra.
who are directly affected may participate in minor cases, but,
small or large, the form of both divinatory and curing rituals
Among the Nama, the creator (rendered Tsui //goab by
is the same. Both involve trance as the essential visionary
Schapera) has functions identical to those of !xo and, like his
condition in which the shaman is enabled to exercise his or
Zˇu/ho˜asi counterpart, had an earthly trickster manifestation
her power. Women and girls sit in close physical contact,
during the time of creation. It was this trickster (≠gaun!a
forming a circle facing a fire; they sing and clap songs that
among Zˇu/ho˜asi; Heitsi Eibib among the Nama) who car-
are associated with specific natural elements, usually animals
ried out the actual acts of creation. Khoi, in the past, had an-
but also plants or their products. Men and boys dance closely
nual rain ceremonies in which several groups joined. Preg-
around the circle, chanting a counterpoint to the songs. Cer-
nant cattle and sheep were slaughtered on these occasions
tain dancers are identified with particular animals and their
and their flesh consumed; their milk, blood, and the water
songs; they are more likely to enter trance during perfor-
in which they were boiled were used to douse the fire on
mances of these songs. As a dancer feels the trance state ap-
which they had been cooked. Prayers for rain were offered
proaching, he or she intensifies his or her movements and
to Tsui //goab as this was done. The Nama counterpart of
vocalizations, uttering piercing cries and calling for help,
//angwa is //gaunab, derived from //gau, “to destroy.” Their
which is signified by heightening the intensity of the music.
administrative roles are parallel. Earlier writers claim that
It is said that in the mythological past, the actual animal
southern Khoi and southern San worshiped the moon, but
being danced (an eland, for example) was attracted to the
as Schapera notes, these reports are inadequate and unsys-
performance, but now only its spirit attends.
tematic; it is, therefore, difficult to give full credit to such
claims. Contemporary San use the moon as a quite specific
During divinatory trances, Zˇu/ho˜asi shamans shout de-
and accurate timepiece. When referring to the time of occur-
scriptions of their encounter with //angwa in which the cause
rence of an event, they will point to a position of the moon
of the social or physical illness under investigation is re-
in the sky or state that the moon’s return to a position will
vealed. This cause is almost invariably some transgression on
coincide with some event. Women mark their menstrual cy-
the part of either the patient or a close kinsman, usually in-
cles and the durations of their pregnancies in like manner,
volving the violation of rights to property (especially the
but they do so strictly for calendric purposes. It is possible
products of land) or personal rights (infractions of obliga-
Europeans interpreted these actions as “moon worship.”
tions, sometimes extending to ancestors). But this direct
cause is always expressed indirectly as having disrupted the
Although the mythological past is not thought to be ac-
cosmological order through some mediating agency; for ex-
tive in the present natural world, many of its elements are
ample, the offender may have eaten (or only have killed) a
very much involved in the control of this world. The admin-
forbidden animal. During the curing trance, the shaman
istrator eats not only humans but also flies, which he attracts
rubs the patient and everyone else present with his hands 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
KHOMIAKOV, ALEKSEI
5137
arms, thereby transferring healing energy through the medi-
Marshall, Lorna. “!Kung Bushman Religious Beliefs.” Africa 32
ating agent—sweat.
(1962): 221–252. Narrative and descriptive account contain-
ing useful information but no comprehensive analysis.
Thus the myths and their reenactment constitute the
Schapera, Isaac. The Khoisan Peoples of South Africa. London,
conceptual dimensions of Khoisan reality. They integrate
1930. Based on accounts of missionaries and travelers. Valu-
subjective experience with the larger structural context
able information but outdated synthesis.
through a repertoire of causal principles that, though not ex-
Silberbauer, George B. Hunter and Habitat in the Central Kalahari
pressly verbalized in ordinary discourse, are based on an un-
Desert. Cambridge, Mass., 1981. Primarily an ecological,
derlying symbolic order. Trance rituals mediate between
evolutionary study, but also includes information on the reli-
these realms. Although couched in causal metaphors, respon-
gious system of the G/wi San.
sibility is normally allocated to living individuals (through
Wilmsen, Edwin N. “Of Paintings and Painters, in Terms of
their having transgressed the cosmological order) and almost
Zˇu/ho˜asi Interpretations.” In Contemporary Studies on Khoi-
always involves a consensus solution to current social disrup-
san in Honour of Oswin Köhler on the Occasion of His Seventy-
tions. The act of divination translates the cosmological con-
fifth Birthday, edited by Rainer Vossen and Klaus Keuth-
structs in terms of the specific instance at hand. The random,
mann. Hamburg, 1986. An economic and political analysis
amoral, impersonal forces of nature—which have an order
of prehistoric and contemporary San paintings.
of their own, personified by the administrator and his do-
New Sources
main—are temporarily neutralized by this dialectic between
Deacon, Janette and Thomas A. Dowson, eds. Voices from the
culture and society. In the process, although the internal
Past: /Xam Bushmen and the Bleek and Lloyd Collection. Jo-
logic remains intact, both are transformed.
hannesburg, 1996.
Gall, Sandy, The Bushmen of Southern Africa: Slaughter of the Inno-
There is abundant evidence that these contemporary
cent. London, 2001.
systems of thought are derived through transformations of
Kent, Susan, ed. Cultural Diversity among Twentieth-Century For-
more ancient systems. Many rock paintings throughout
agers: An African Perspective. Cambridge, U.K. and New
southern Africa depict persons in postures identical to those
York, 1996.
assumed during trance today. Therianthropic and therio-
Sanders, A. J. G. M., ed. Speaking for the Bushmen: A Collection
morphic figures comparable with those of current creation
of Papers Read at the 13th International Congress of Anthropo-
myths abound among these paintings. The basic structure of
logical and Ethnological Sciences. Gaborone, South Africa,
these myths and many specific referents (rain bulls whose
1995.
blood brings rain; water snakes that have hair, horns, limbs,
Smith, Andrew B. The Bushmen of Southern Africa: A Foraging So-
and ears; beings that partake of the mythic past in the pres-
ciety in Transition. Athens, Ohio, 2000.
ent) are shared by many Khoisan and southern Bantu-
Steyn, Hendrik Pieter. Vanished Lifestyles: The Early Cape Khoi
speaking peoples, suggesting a long history of associated cos-
and San. Pretoria, South Africa, 1990.
mological construction. There is also evidence for compara-
Suzman, James. “Things from the Bush”: A Contemporary History
tively recent change from more active totemic association
of the Omaheke Bushmen. Basel, Switzerland, 1999.
with natural elements, especially animals, prominent today
Wannenburgh, Alf. The Bushmen. Cape Town, South Africa,
in trance. The colonial era and its aftermath disrupted the
1999.
political and economic lives of Khoisan as well as Bantu-
EDWIN N. WILMSEN (1987)
speaking peoples; in this process, it is possible but not yet cer-
Revised Bibliography
tain that destructive, uncontrollable elements of the cosmo-
logical system became emphasized over the constructive
forces of creation, and that today the administrator (//angwa
KHOMIAKOV, ALEKSEI (1804–1860), was a Rus-
of Zˇu/ho˜asi) has disproportionate power when compared
sian Orthodox lay theologian. Khomiakov was influential in
historically with the role that the creator (!xo) has played.
determining the character of the Russian intelligentsia in the
1840s and 1850s; the emergence of one of its principal
BIBLIOGRAPHY
schools of thought, Slavophilism, is closely linked with his
Biesele, Megan. “Sapience and Scarce Resources.” Social Science
name. He was a member of the landed gentry and a partici-
Information 17 (1978): 921–947.
pant in the salons of Moscow. His skills as a dialectician and
Lee, Richard B. The !Kung San: Men, Women, and Work in a For-
debater were respected even by those (such as Herzen) who
aging Society. New York, 1979. The first comprehensive view
shared few of his views. Khomiakov’s skills as a writer were
of the San. Although it falls prey to many traditional faults
less evident in his own milieu as the result of censorship or
of evolutionary theory in anthropology, it is much more sys-
tematic than its predecessors.
at least the anticipation of censorship. Virtually all his writ-
ings on religion were published abroad and in French. Most
Lewis-Williams, David. Believing and Seeing: Symbolic Meanings
of these were published posthumously in their country of ori-
in Southern San Rock Paintings. London, 1981. Excellent in-
gin; few were available in Russian before 1879.
tegration of prehistoric and historical rock art with contem-
porary and archival stories. Points the way toward further
Khomiakov graduated from the University of Moscow
fruitful research.
as a mathematician but never received any formal instruction
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5138
KHUSRAW, AM¯IR
in theology. In view of the limitations under which Russian
BIBLIOGRAPHY
academic theology labored at this time, this was probably an
Birbeck, William J., ed. Russia and the English Church during the
advantage. It allowed him to probe church life for the essen-
Last Fifty Years: Containing a Correspondence between Mr.
tials of the Orthodox faith and to delineate them in a re-
William Palmer Fellow of Magdalen College, Oxford and M.
markably succinct and forceful fashion. Most notable among
Khomiakoff, in the Years 1844–1854 (1895). Reprint, Farn-
borough, 1969. Includes also the invaluable The Church Is
his theological compositions was the essay The Church Is One
One.
(c. 1850).
Bol’shakov, Sergius. The Doctrine of the Unity of the Church in the
In this essay Khomiakov adumbrated his celebrated
Works of Khomyakov and Moehler. London, 1946. Originally
teaching on sobornost’, the cornerstone of his theology. The
a doctoral dissertation which juxtaposes Khomiakov’s
term—a Russian neologism—defies translation, and
thought with that of his Roman Catholic contemporary
Khomiakov invariably preferred to transliterate rather than
J. A. Möhler. The latter’s Die Einheit in der Kirche (1825)
provides important parallels for Khomiakov’s work, even if
translate it. He himself objected to the French translation,
it cannot be considered as its source.
conciliarité. In modern times no one word has been found
as an acceptable, equally comprehensive, alternative.
Christoff, Peter K. An Introduction to Nineteenth-Century Russian
Slavophilism: A Study in Ideas, vol. 1, A. S. Xomjakov. The
Khomiakov derived sobornost’ from the ninth-century
Hague, 1961. A wide-ranging study of Khomiakov’s work as
(and subsequently standard) Church Slavonic translation of
a whole; the only such study in English to date.
the Nicene Creed, where the term catholic (katholikos) had
SERGEI HACKEL (1987)
been rendered as sobornaia. For him, the word denoted more
than mere universality. It spoke rather of a church in which
free and complete unanimity prevailed. Such freedom could
admit of no constraint. Papal authoritarianism was indicative
KHUSRAW, AM¯IR (AH 651?–725?/1254?–1325? CE),
of a profound malaise in Western Christendom, and
was a distinguished Indo-Persian poet, musician, and pane-
Khomiakov campaigned vigorously against it. Indeed, for
gyrist. His father, Sayf al-D¯ın Shams¯ı, was most probably
Khomiakov, any kind of authoritarianism contradicted the
a slave-officer in the court of the Delhi sultan Iltutmish
very nature of the church. His intuition on this subject was
(r. 1211–1236). Orphaned at an early age, Khusraw was
to receive confirmation in 1848 when the Eastern patriarchs
brought up in the household of his maternal grandfather,
and bishops replied to the papal encyclical of that year. Their
EIma¯d al-Mulk, another high-ranking nobleman and a for-
reply was enthusiastically echoed by Khomiakov (1850) in
mer Hindu Rajput who must have converted to Islam fol-
his correspondence with William Palmer: “The unvarying
lowing the establishment of Turkish rule in India in the early
constancy and the unerring truth of the Christian dogma
thirteenth century.
does not depend upon any Hierarchical Order: it is guarded
Almost every aspect of Khusraw’s life and work has been
by the totality, by the whole people of the church, which is
mythologized to the point where it is difficult to separate the
the Body of Christ” (Birbeck, 1895, p. 94). By the same
true historical personage from his current popular image. He
token, the individualism of the Protestant world was to be
is today hailed as a great patriot and is counted among the
rejected. In 1851 he declared that it is in the Orthodox
foremost S:u¯f¯ıs of India. Credited with the composition of
church that “a unity is to be found more authoritative than
many lyrics used for qawwa¯l¯ıs, a genre of S:u¯f¯ı devotional
the despotism of the Vatican, for it is based on the strength
music, as well as numerous works in Hindi, he is also re-
of mutual love. There [also] a liberty is to be found more free
nowned as a creator of ragas and inventor of musical instru-
than the license of Protestantism, for it is regulated by the hu-
ments, including the sitar. Popularly referred to as H:azrat
mility of mutual love” (Birbeck, 1895, p. 102).
¨
Am¯ır Khusraw, he is accorded an honorific title raising him
In the teaching of the Slavophiles, as of Khomiakov
to the stature of a saint. His Eurs (lit., “wedding,” the anni-
himself, a social expression of such mutuality was to be found
versary of a saint’s death) is celebrated with tremendous en-
in the Russian peasant commune, the obshchina. That the
thusiasm and devotion. He is also known as Turk Allah
(“God’s Turk”) and Tut¯ı-yi Hind (“the parrot of India”).
principles of obshchinnost’ (“communality”) and of sobornost D
were interrelated, if not interdependent, was emphasized by
Khusraw displayed his precocious poetic talents at an
Khomiakov’s use of the one term obshchina (“commune”) to
early age. Seeking his livelihood in the only way open to
designate both the ecclesiastical community (koinonia) and
poets of his time, in the service of rich patrons, he finally
the peasant commune proper. But with the increasing disre-
found a position at the royal court and had no scruples about
pute and ultimate disappearance of the latter, this strand of
flattering a series of royal masters, one of whom had acquired
Khomiakov’s thought was itself to be obscured in later years.
the throne after murdering his former benefactors. Khusraw
By contrast, his teaching on sobornost’ was to capture the
was first employed by Sultan Kayquba¯d (1287–1290), at
imagination of Russian religious thinkers throughout suc-
whose request he wrote a long poem, Qira¯n al-sa Edayn (The
ceeding decades and to play its part also in the ecumenical
conjunction of the two auspicious stars). He continued in
debates of the century to come.
the service of the next ruler, Jala¯l al-D¯ın Khilj¯ı (1290–1296),
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KHVARENAH
5139
whose achievements he lauded in his Mifta¯h: al-futu¯h: (The
of the Muslim rulers, he vocalizes an intense and often crude
key to victories). The reign of EAla¯D al-D¯ın Khilj¯ı (1296–
hatred for the Hindus, identifying in them the main threat
1316) saw Khusraw at his most prolific, with Khaza¯ Din
to his class. But as a poet inspired by the ideology of the
al-futu¯h: (The treasury of victories) and EA¯shiqah (the love
Chisht¯ıyah, he displays a touching sensitivity and respect for
story of Khid:r Kha¯n and Dewal Rani). He also paid eloquent
the religion and culture of India. For this reason Khusraw
poetic tributes to the next ruler, Muba¯rak Sha¯h Khilj¯ı
represents a fine example of the evolving synthesis between
(1316–1320), who was by all accounts vain and debauched,
the Islamic and the indigenous cultures of the Indian sub-
in Nuh sipihr (The nine skies). When the Tughlaqs replaced
continent.
the Khilj¯ıs, Khusraw continued in the service of Ghiya¯th
al-D¯ın Tughlaq (1320–1325), the history of whose reign he
BIBLIOGRAPHY
encapsulated in the Tughlaq-na¯mah.
Although there are many studies on Am¯ır Khusraw, most of them
unfortunately lack critical analysis of the man or his writings.
Khusraw was the first poet in India to compose war and
The most adequate work on Khusraw in English continues
court epics in Persian. As a prose writer he was remarkably
to be Mohammad Wahid Mirza’s The Life and Works of Amir
eloquent; as a poet he was the master of all forms of verse:
Khusrau (1935; reprint, Lahore, 1962). See Amir Khusrau:
ruba¯ E¯ıs (“quatrains”), qas:¯ıdahs (“odes”), and ghazals
Memorial Volume (New Delhi, 1975) for a collection of some
(“lyrics”). A superb lyricist, Khusraw confidently mixed Per-
erudite articles by experts on various facets of his personality.
sian and Hindi metaphors with striking results.
Mohammad Habib’s Hazrat Amir Khusraw of Delhi (Bom-
But it was his association with Shaykh Niz:a¯m al-D¯ın
bay, 1927), also included in Politics and Society during the
Early Medieval Period: Collected Works of Professor Moham-
Awliya¯ D (d. 1325), a saint of the Chisht¯ı order, that is re-
mad Habib, edited by K. A. Nizami (New Delhi, 1974), is
sponsible for Khusraw’s present stature. The Chisht¯ıyah, a
a historical analysis of Khusraw by a leading scholar of medi-
S:u¯f¯ı order that flourished only in India, were at the height
eval Indian history. For a list of Khusraw’s works, see C. A.
of their popularity during the spiritual reign of Shaykh
Storey’s Persian Literature: A Bio-Bibliographical Survey, vol.
Niz:a¯m al-D¯ın. As liberal interpreters of Islam, they provided
2, part 3 (London, 1939).
an effective counterpoint to the orthodox version of Islam
SALEEM KIDWAI (1987)
as propounded by the court-associated Eulama¯D. The liberal-
ism of this order was reflected not only in their attitude to-
ward non-Muslims but also in their patronage of cultural ac-
tivities. As firm believers in the power of music and dance
KHVARENAH is the Avestan term for “splendor”
to induce mystical ecstasy, for which they were constantly at-
(OPers, farnah; MPers, Pahl., khwarr; NPers, khurrah or
tacked by the orthodox, they naturally attracted poets and
farr), designating one of the most characteristic notions of
musicians to their hospices (kha¯naga¯hs). In fact, almost all
ancient Iranian religion. It is often associated with the aure-
literary activity among the Muslims of this period was influ-
ole of royalty and of royal fortune, thanks to its identification
enced by the ideology of the Chisht¯ıyah. Among notable
in the Hellenistic period with Greek tuch¯e and Aramaic gad,
contemporaries of Khusraw also associated with the Chisht¯ı
“fortune” (gdh is also the ideogram with which khwarr is
kha¯naga¯h were Am¯ır H:asan Sijz¯ı, the great poet and mystic,
written in Pahlavi), but its meanings go beyond the sphere
and Ziya¯ al-D¯ın Baran¯ı, the courtier and historian.
¨
of royalty, and its influence transcends the confines of the
Khusraw came into contact with Shaykh Niz:a¯m al-D¯ın
Iranian world. Aspects of the concept of khvarenah are found
in 1272, and though he was never initiated into the mystic
in Manichaeism and Buddhism and are interwoven with
order, his wit and poetical and musical talents endeared him
similar concepts characteristic of other cultures, as in the
to the saint. Remarks attributed to the shaykh indicate the
Turkish notion of qut and the Armenian p’a˙rk’. In the Avesta
special fondness that he had for Khusraw.
and in Zoroastrian tradition in general, khvarenah is also per-
sonified as a yazata or a being “worthy of worship.”
The atmosphere of Shaykh Niz:a¯m al-D¯ın’s kha¯naga¯h
was particularly conducive to Khusraw’s sensibilities. As a
Fundamental to the concept of khvarenah are its con-
crucible where a composite culture was evolving from the in-
nections with light and fire, attested in the root from which
teraction between Islamic and Indic elements, it suited the
it is derived, khvar (“to burn, to glow”), which is probably—
genius of Khusraw, who was by birth the product of a similar
despite the opposing opinion of H. W. Bailey, author of an
fusion. As a poet he thrived on mystic themes and imagery;
important essay on the question (1943, pp. 1–77)—
as a gifted musician he moved the audiences at sessions of
connected with the same root as hvar, “sun” (Duchesne-
devotional music (sama¯ E) to ecstasy, and with his special ear
Guillemin, 1963, pp. 19–31). This explains why khvarenah
for languages he contributed greatly to the evolution of a lin-
is sometimes translated in Greek as doxa (“glory”) and in Ar-
gua franca that made communication possible among the
abic-Persian as nu¯r (“light”).
various groups. In brief, Khusraw came to represent almost
The khvarenah is a luminous and radiant force, a fiery
every aspect of the S:u¯f¯ı tradition in India.
and solar fluid that is found, mythologically, in water, in
Khusraw also embodies the contradictions arising from
haoma, and, according to Zoroastrian anthropogony, in
his situation. As a courtier dependent on the political survival
semen. It is an attribute characteristic of Mithra, of royalty,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5140
KIERKEGAARD, SO⁄REN
of divine and heroic figures in the national and religious tra-
KIERKEGAARD, SO⁄REN (1813–1855), was the
dition, of Yima, the first king, of Zarathushtra, and of the
most outstanding writer in the history of Danish letters and
three Saoshyants, who perform their tasks (Pahl.,
one of the leading religious philosophers of the nineteenth
khw¯eshka¯r¯ıh) on earth thanks to the khwarr that they possess.
century. Kierkegaard’s novel interpretation of the structure
It has the power to illuminate the mind and to open the eye
and dynamics of individual selfhood formed the basis of his
of the soul to spiritual vision, enabling those who possess it
radical critique of European cultural Protestantism and its
to penetrate the mysteries of the otherworld.
philosophical counterpart, Hegelianism. His innovative
Recently the winged disk in Achaemenid reliefs has been
ideas have remained extremely influential.
interpreted as the khvarenah (Shahbazi, 1980,
LIFE. So⁄ren Aabye Kierkegaard was a person of unusual com-
pp. 119–147). Deified Khvarenah (Pharro) is depicted on
plexity whose outward life was relatively uneventful. Having
coins from the Kushan empire as a standing man with flames
received a substantial inheritance, he never needed to secure
rising from his back.
a regular professional position. He devoted most of his short
life to the production of an immense body of philosophical
BIBLIOGRAPHY
and religious literature. The formative events in Kierke-
Bachhofer, Ludwig. “Pancika und Har¯ıt¯ı, Pharo und Ardochro.”
gaard’s life centered around two individuals: his father, Mi-
Ostasiaatische Zeitschrift, n. s. 23 (1937): 6–15.
chael Pedersen Kierkegaard, and his one-time fiancée, Regine
Bailey, H. W. Zoroastrian Problems in the Ninth-Century Books
Olsen; and two public conflicts: the Corsair affair, and his
(1943). Oxford, 1971.
celebrated attack upon the Danish church.
Bombaci, Alessio. “Qutlug Bolsun!” Ural-Altaische Jahrbücher 36
(1965): 284–291 and 38 (1966): 13–44.
Michael Pedersen Kierkegaard was a successful Copen-
Boyce, Mary. A History of Zoroastrianism, vol. 2. Leiden, 1982.
hagen businessman who retired at an early age to pursue his
Bussagli, Mario. “Cusanica et Serica.” Rivista degli studi orientali
theological interests. The elder Kierkegaard was a sober,
37 (1962): 79–103.
brooding man who was possessed by a profound sense of per-
Corbin, Henry. Terre céleste et corps de résurrection. Paris, 1961.
sonal guilt. In an effort to come to terms with his malaise,
he became deeply involved in the Protestant Pietism that was
Cumont, Franz. Textes et monuments figurés relatifs aux mystères de
Mithra. 2 vols. Brussels, 1896–1899.
then sweeping Denmark. Michael subjected his favorite son,
So⁄ren, to a rigorous and austere religious upbringing. The
Duchesne-Guillemin, Jacques. “Le ‘Xarenah.’” Annali dell’Istituto
Universitario Orientale di Napoli, Sezione Linguistica, 5
psychological and intellectual complexity of the father-son
(1963): 19–31.
relation left a lasting impression on Kierkegaard and indi-
Eliade, Mircea. “Spirit, Light, and Seed.” History of Religions 11
rectly informed much of his theological reflection.
(1971): 1–30.
The other personal relationship that was decisive for
Gnoli, Gherardo. “Un particolare aspetto del simbolismo della
Kierkegaard was his brief engagement to Regine Olsen.
luce nel Mazdeismo e nel Manicheismo.” Annali dell’Istituto
Shortly after proposing marriage to Regine, Kierkegaard pre-
Universitario Orientale di Napoli, n.s. 12 (1962): 95–128.
cipitated a break with her. The apparent reason for this unex-
Gnoli, Gherardo. “Über das iranische huarnah-: lautliche,
pected reversal was twofold. In the first place, Kierkegaard
˜
morphologische und etymologische Probleme. Zum Stand
discovered an unbridgeable gap between his own introspec-
der Forschung.” Altorientalische Forschungen 23 (1996):
tive, tormented personality and the seemingly innocent, in-
171–180.
experienced Regine. Second, Kierkegaard became convinced
Gnoli, Gherardo. “Nuove note sullo huarnah-.” In Oriente e Occi-
˜
that his religious vocation precluded marriage and family life.
dente. Convegno in memoria di Mario Bussagli, edited by Ch-
Many of Kierkegaard’s most important works focus on issues
iara Silvi Antonini, Bianca Maria Alfieri and Arcangela San-
raised by his perplexing relation to Regine.
toro, pp. 104–108. Rome, 2002.
Hertel, Johannes, ed. and trans. Die awestischen Herrschafts- und
The two major public events in Kierkegaard’s life in-
Siegesfeuer. Leipzig, 1931.
volved him in bitter controversy. Late in 1845, Kierkegaard
Ito¯, Gikyo¯. “Gathica.” Orient 11 (1975): 1–10.
published a criticism of the Corsair, a sophisticated Danish
Jacobs, Bruno. “Das Chvarnah—Zum stand der Forschung.” Mit-
scandal sheet, in which he exposed the association of several
teilungen der Deutschen Orient-Gesellschaft zu Berlin 119
leading intellectuals with this notorious journal. The embar-
(1987): 215–248.
rassed authors and editors responded by unleashing an abu-
Litvinskii, B. A. “Das K’ang-chü-Sarmatische Farnan.” Central
sive personal attack on Kierkegaard in which he was held up
Asiatic Journal 16 (1972): 241–289.
to public ridicule. This episode marked a turning point in
Lubotsky, Alexander. “Avestan xarenah-: The Etymology and
his life. After 1846, Kierkegaard’s writings became more
Concept.” In Sprache und Kultur der Indogermanen,
overtly Christian. The full implications of this shift emerged
pp. 479–488. Innsbruck, 1998.
clearly in Kierkegaard’s attack on the Danish church. Kierke-
Shahbazi, A. S. “An Achaemenid Symbol.” Archaeologische Mit-
gaard believed that God had chosen him to expose the scan-
teilungen aus Iran, n.s. 13 (1980): 119–147.
dal of a society that espoused Christian principles but in
GHERARDO GNOLI (1987)
which citizens lived like “pagans.” In a series of articles titled
Translated from Italian by Roger DeGaris
The Moment, Kierkegaard argued that the Christianity
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KIERKEGAARD, SO⁄REN
5141
preached in the established church of Denmark was actually
tique of Hegel and leading nineteenth-century Romantics.
the opposite of the religion practiced by Jesus. His penetrat-
In addition, the analysis of Socrates developed in this book
ing criticisms of church and society created a public furor.
forms the basis of Kierkegaard’s understanding of his own
In the midst of this controversy, Kierkegaard died (Novem-
role as an author. This becomes obvious in the final text that
ber 11, 1855).
deserves mention: The Point of View for My Work as an Au-
WORKS. Few authors have written as wide a variety of works
thor (written in 1848 and published posthumously in 1859).
as Kierkegaard. Most of his writings can be grouped in four
In this short book, Kierkegaard insists that in spite of appear-
major categories.
ances to the contrary, his diverse writings form a coherent
whole that is constantly guided by a religious purpose.
(1) Pseudonymous works. Between 1841 and 1850,
Kierkegaard wrote a series of works under different pseud-
THOUGHT. Kierkegaard’s sense of religious mission informs
onyms. These are his best-known books: Either-Or (1843),
all of his writings. The overriding goal of his work is nothing
Repetition (1843), Fear and Trembling (1843), Philosophical
less than “the reintroduction of Christianity into Christen-
Fragments (1844), The Concept of Anxiety (1844), Stages on
dom.” Since Kierkegaard believes that authentic human exis-
Life’s Way (1845), Concluding Unscientific Postscript (1846),
tence is decisively revealed in Christianity, he is convinced
Crisis in a Life of an Actress and Other Essays on Drama
that the struggle to lead a Christian life involves the attempt
(1848), The Sickness unto Death (1849), and Training in
to realize true selfhood. Kierkegaard’s writings represent a
Christianity (1850). Not until the last pages of Concluding
sustained effort to provide the occasion for individuals to
Unscientific Postscript did Kierkegaard publicly claim respon-
make the difficult movement of faith. The most important
sibility for his pseudonymous writings.
part of Kierkegaard’s carefully conceived strategy is his intri-
(2) Edifying discourses. It was Kierkegaard’s custom
cate pseudonymous authorship. The pseudonymous writings
to accompany each of the pseudonymous texts with one or
can best be understood by considering three interrelated as-
more religious works published under his own name. He fre-
sumptions that they all share: the notion of indirect commu-
quently complained that while his pseudonymous writings
nication, the understanding of the structure of selfhood, and
received considerable attention, his religious works were vir-
the theory of the stages of existence.
tually ignored. Two kinds of works make up the edifying dis-
Kierkegaard’s method of communicating indirectly
courses: ethical discourses and Christian discourses. While
through pseudonyms reflects his effort to address problems
the ethical discourses consistently exclude Christian catego-
peculiar to nineteenth-century Denmark and expresses his
ries, the Christian discourses explore religious life from the
general conception of the nature of religious truth. He re-
perspective of Christian faith. The former are more common
peatedly insists that most of his fellow Danes were simply de-
before 1845 and the latter more numerous after that date.
luding themselves when they claimed to be Christians. The
The most important Christian discourses are: Works of Love
(1847), Christian Discourses (1848), The Lilies of the Field
established Lutheran church had so domesticated Christian
and the Birds of the Air (1849), For Self-Examination (1851),
faith that the spiritual tensions that characterized original
and Judge for Yourself (1851–1852).
Christianity had all but disappeared. In this situation, Kier-
kegaard views his task as inversely Socratic. Rather than en-
(3) Polemical tracts. Since he understood himself as a
gaging in a rational dialogue that is supposed to uncover the
necessary “corrective” to “the present age,” Kierkegaard re-
truth implicitly possessed by all human beings, Kierkegaard
mained an irrepressible polemicist. As was the custom in
tries to bring individuals to the brink of decision by offering
Denmark at that time, he presented his views on current in-
them the opportunity to discover the errors of their ways.
tellectual and social matters in the public press and in pam-
Each pseudonym represents a different point of view that re-
phlets that were directed to a general audience. Kierkegaard’s
flects a distinct form of life. Kierkegaard presents these works
most important polemical writings appeared in a newspaper,
as mirrors in which people can see themselves reflected. The
The Fatherland, and his own publication, The Moment.
self-knowledge that results from this encounter with the text
These articles provide a glimpse of Kierkegaard’s immediate
creates the possibility of decisions that redefine the self.
impact on Danish society.
Kierkegaard’s method of communication is also a func-
(4) Journals and papers. Throughout his life, Kierke-
tion of his conviction that religious truth is subjectivity. In
gaard kept a detailed journal, which he knew would be pub-
contrast to Hegel’s speculative approach to Christianity,
lished after his death. The journal, which runs to twenty vol-
Kierkegaard maintains that religious truth cannot be concep-
umes, contains a wealth of information about Kierkegaard’s
tually grasped but must be existentially appropriated through
personality, writings, and his views of other philosophers and
the free activity of the individual agent. In matters of faith,
theologians.
there can be neither knowledge nor certainty. Human exis-
Two important books do not fall within this general
tence in general and religious belief in particular always in-
grouping. The Concept of Irony, with Constant Reference to
volve absolute risk. Kierkegaard’s aim is to serve as a “mid-
Socrates (1841) was Kierkegaard’s dissertation for the master
wife” who can attend but not effect the birth of the authentic
of arts degree. This work presents an early version of his cri-
self.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5142
KIERKEGAARD, SO⁄REN
This understanding of indirect communication presup-
actor eventually realizes that he actually divinizes the social
poses a specific interpretation of the structure of human self-
order by regarding moral obligation as divine command-
hood. In The Sickness unto Death, Kierkegaard ironically em-
ment. The “infinite qualitative difference” between the di-
ploys Hegelian language to formulate an account of selfhood
vine and the human creates the possibility of a conflict be-
that overturns Hegel’s understanding of subjectivity. The
tween obligation to other people and obedience to God.
self, Kierkegaard argues, is a structure of self-relation that is
Kierkegaard labels this collision a “teleological suspension of
created and sustained by the wholly other God. Each human
the ethical.” This clash between religious and moral responsi-
being is called upon to relate possibilities and actualities
bility effectively overturns ethical life.
through the exercise of his or her free will. This view of the
The religious stage of existence represents the full real-
self forms the basis of Kierkegaard’s penetrating psychologi-
ization of authentic selfhood. Kierkegaard’s analysis of the
cal analyses. In The Concept of Anxiety, Kierkegaard defines
self culminates in the paradoxical coincidence of opposites
anxiety in terms of the subject’s recognition of the possibili-
created and sustained by the faithful individual’s absolute de-
ties opened by its own freedom. Despair is the subject’s fail-
cision. Faith is the free activity of self-relation in which the
ure or refusal to be itself. Anxiety and despair combine to dis-
self becomes itself by simultaneously differentiating and syn-
close the self’s responsibility for itself.
thesizing the opposites that make up its being. In this critical
The analysis of the structure of selfhood forms the foun-
moment of decision, a person who is fully conscious of his
dation of the theory of the stages of existence. Although each
responsibility for his life constitutes his unique individuality
person is irreducibly individual, Kierkegaard maintains that
by decisively distinguishing himself from other selves and de-
it is possible to discern recurrent patterns amid the variety
fining his eternal identity in the face of the wholly other
of human lives. He identifies three basic stages of existence:
God. The qualitative difference between God and self ren-
aesthetic, ethical, and religious. Each stage represents a dis-
ders impossible any immanent relation between the divine
tinct form of life that is governed by different assumptions
and the human. Left to himself, the sinful individual cannot
and expectations. Taken together, the stages provide an out-
establish the absolute relation to the absolute upon which
line of the entire pseudonymous authorship. While Kierke-
genuine selfhood depends. The possibility of the proper rela-
gaard examines aesthetic existence in the first part of both
tion between God and self is opened by the incarnate Christ.
Either-Or and Stages on Life’s Way, the second section of each
The God-man is an absolute paradox that can never be ratio-
of these works is devoted to a consideration of ethical experi-
nally comprehended. This absolute paradox poses an irrec-
ence. The analysis of the religious stage is more complex. In
oncilable either-or: either believe, or be offended. Faith is a
Fear and Trembling, Philosophical Fragments, and Concluding
radical venture, an unmediated leap in which the self trans-
forms itself. By faithfully responding to the absolutely para-
Unscientific Postscript, Kierkegaard approaches questions and
doxical divine presence, the self internalizes the truth of the
dilemmas posed by religion from the perspective of nonbe-
God-man. In this moment of decision, truth becomes sub-
lief. The Sickness unto Death and Training in Christianity, by
jective and the subject becomes truthful. Such truthful sub-
contrast, are written from an avowedly Christian point of
jectivity is the goal toward which Kierkegaard’s complex au-
view. Finally, the third part of Stages on Life’s Way is a tortu-
thorship relentlessly leads the reader.
ous account of the inner struggle of an individual who is
caught between belief and unbelief.
INFLUENCE. Largely ignored in his own day, Kierkegaard’s
writings emerged during the early decades of the twentieth
These three stages of existence are not randomly selected
century to become a dominant force in theology, philosophy,
and arbitrarily presented. Rather, the stages are carefully or-
psychology, and literature. Kierkegaard’s theological impact
dered in such a way that as one advances from the aesthetic
is evident in Protestant neo-orthodoxy. Karl Barth and Ru-
through the ethical to the religious, there is a movement to-
dolf Bultmann developed many of the themes that Kierke-
ward authentic selfhood. Generally conceived, this progres-
gaard had identified. In the thought of Martin Buber, Kier-
sion charts the subject’s advance from undifferentiated iden-
kegaard’s influence extends into the domain of Jewish
tification with its environment, through increasing
theology.
differentiation from otherness, to complete individuation, in
which the self becomes a concrete individual, eternally re-
Kierkegaard’s work also forms the foundation of one of
the most important twentieth-century schools of philosophy:
sponsible for itself. The aesthetic stage of existence is charac-
existentialism. Kierkegaard set the terms of debate for major
terized by the absence of genuine decision. The lack of free
Continental philosophers such as Martin Heidegger, Karl
resolution results from either unreflective immersion in sen-
Jaspers, and Jean-Paul Sartre. By underscoring the impor-
suous inclination and social life or the dispassionate absorp-
tance of the problems of individual selfhood, authenticity,
tion in abstract reflection. From the ethical point of view,
transcendence, absurdity, temporality, death, desire, guilt,
the self has an obligation to become itself through free activi-
despair, anxiety, and hope, Kierkegaard’s texts provided rich
ty. Deliberate decision marks an essential moment in the
resources for an entire generation of philosophers.
process of individuation and forms a crucial stage in the jour-
ney to selfhood. The ethicist, however, is insufficiently sensi-
Less often recognized is Kierkegaard’s role in modern
tive to the self’s radical dependence on God. The ethical
psychology. His groundbreaking analyses of the psychic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KIMBANGU, SIMON
5143
states of the individual self have been expanded and extended
Some accounts claim that both his mother and father were
by psychologists such as Ludwig Binswanger and R. D.
traditional Kongo healers and that his visionary activities
Laing. The psychological theories that have arisen from the
were related to theirs. Only since the mid-1970s has much
work of Kierkegaard tend to complement and correct cur-
of the original missionary and government documentation
rents in traditional Freudian analysis.
on Kimbangu’s early activities become available to scholars.
Finally, it is important to stress Kierkegaard’s influence
Kimbangu attended a Baptist Missionary Society school
on twentieth-century literature. The hand of Kierkegaard
at Wathen, near his home village. He became a Christian as
can be seen in the works of creative authors as different as
a young man and was baptized on July 4, 1915, along with
Albert Camus, Franz Kafka, John Updike, and Walker
his wife, Marie-Mwilu, in the Baptist mission at Ngombe-
Percy.
Luete. He was trained as a catechist and religious instructor
This summary can only suggest the extraordinary im-
by the Baptist Missionary Society but failed his examination
portance of Kierkegaard’s work. The insights of this lonely
to become a pastor. During the typhoid epidemic of 1918
Dane pervade contemporary thought and shape the way
and 1919, in which many residents of his area died, Kim-
many people now understand their lives.
bangu is reputed to have received a calling to heal the sick.
He is alleged to have heard a voice that said, “I am Christ.
SEE ALSO Existentialism.
My servants are unfaithful. I have chosen you to bear witness
before your brethren and convert them. Tend my flock”
BIBLIOGRAPHY
(Martin, 1975, p. 44). Frightened, Kimbangu was unable to
Primary Sources
respond and fled to the capital city of Kinshasa (then Léo-
The standard Danish editions of Kierkegaard’s writings are So
poldville), where he worked briefly as a migrant laborer at
⁄ ren
Kierkegaards Papirer, 11 vols., edited by P. A. Heiberg et al.
an oil refinery.
(Copenhagen, 1909–1938), and So⁄ren Kierkegaard Samlede
Upon returning to his village, Kimbangu again received
Værker, 20 vols., edited by J. L. Heiberg et al. (Copenhagen,
the calling to heal. On April 6, 1921, he performed his first
1962–1964). The best English translations of these works are
public act of faith healing. He is reported to have laid hands
So⁄ren Kierkegaard’s Journals and Papers, 7 vols., edited and
translated by Howard V. Hong and Edna H. Hong with
on a critically ill woman and healed her. This act marked the
Gregory Malantschuk (Bloomington, Ind., 1967–1978),
beginning of Kimbangu’s healing revival and six months of
and Kierkegaard’s Writings, edited by Howard V. Hong
intensive religious activity. N’Kamba, the seat of Kimbangu’s
(Princeton, 1977–).
healing ministry, became known as the “New Jerusalem,”
and over five thousand local converts are reported to have
Secondary Sources
There is an enormous body of secondary literature on Kierke-
flocked to him.
gaard. Emanuel Hirsch’s Kierkegaard-Studien, 2 vols. (Güter-
As the healing movement spread in popularity, colonial
sloh, 1933), remains the most comprehensive intellectual bi-
officials and merchants began to perceive it as a revolutionary
ography of Kierkegaard. Gregor Malantschuk’s Kierkegaard’s
threat. Missionaries were skeptical of Kimbangu’s new teach-
Thought (Princeton, N.J., 1971) and Jean Wahl’s Études
ings, and merchants complained that he incited followers to
kierkegaardiennes (Paris, 1938) are fine accounts of Kierke-
gaard’s overall position. James D. Collins’s The Mind of Kier-
abandon their work and neglect the payment of taxes. With
kegaard (Chicago, 1953) provides a good introduction to
a small cadre of leaders to assist him, Kimbangu continued
Kierkegaard’s thought. For a helpful examination of the im-
to preach and perform inspired acts of healing. On June 6,
portance of Kierkegaard’s pseudonymous method, see Louis
1921, Léon Morel, a Belgian official, attempted to arrest
Mackey’s Kierkegaard: A Kind of Poet (Philadelphia, 1971).
Kimbangu and four of his most loyal assistants. Kimbangu
Stephen Crites’s In the Twilight of Christendom: Hegel vs.
eluded colonial officials until, prompted by a divine vision,
Kierkegaard on Faith and History (Chambersburg, Pa., 1972)
he voluntarily surrendered on September 12.
and my own Journeys to Selfhood: Hegel and Kierkegaard
(Berkeley, Calif., 1980) analyze the complex relationship be-
On October 3, 1921, Kimbangu was sentenced to death
tween Kierkegaard and Hegel.
by 120 strokes of the lash for sedition and hostility toward
the colonial authorities. His court-martial was characterized
MARK C. TAYLOR (1987)
by arbitrary proceedings and legal irregularities. In Novem-
ber, the death sentence was commuted to life imprisonment
by King Albert, who was reportedly influenced by the pleas
KIMBANGU, SIMON (1889–1951), African reli-
of Belgian missionaries to exercise some leniency. Kimbangu
gious prophet and founder of the Church of Jesus Christ on
was transported to Lubumbashi (then Elisabethville) in
Earth through the Prophet Simon Kimbangu. Kimbangu
Shaba province, where he was imprisoned until his death on
was born on September 24, 1889, in the village of N’Kamba,
October 12, 1951, in the “hospital for Congolese.” There is
located in the Ngombe district of what is now the Democrat-
some debate concerning whether Kimbangu, whose teach-
ic Republic of the Congo. In Kikongo, the word kimbangu
ings resembled those of fundamentalist Protestantism, con-
means “one who reveals the hidden truth.” Many legends
verted to Catholicism on his deathbed. This possibility has
surround Kimbangu’s youth and early religious activities.
been vehemently denied by his family and followers.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5144
KIMH:I, DAVID
Kimbangu’s arrest augmented the aura of mystery sur-
Contains a historical and sociological analysis of the transi-
rounding him as a prophetic figure and increased the popular
tion of the group from a popular movement to a church,
appeal of his charismatic movement. Between 1924 and
spanning the years 1921-1981. Includes discussions of the
1930, Belgian colonial authorities continued overt attempts
group’s origin, changing organizational structure, distribu-
to suppress the movement. Kimbangu’s principal followers
tion throughout the region, and relations with the colonial
were imprisoned at Lowa, and others were confined over the
and postindependence governments.
years in thirty detention centers spread throughout the coun-
Chomé, Jules. La passion de Simon Kimbangu. Brussels, 1959. An
account of the life and trial of Kimbangu by a Belgian lawyer
try. The Kimbanguist church estimates that there were
who studied the legal documents in detail. Parallels Kim-
37,000 exiles, of whom 34,000 died in prison between 1921
bangu’s arrest and sentencing to the Passion of Jesus and out-
and 1956. Recent scholarship, however, has established that
lines the legal irregularities of Kimbangu’s trial.
this figure resulted from a typographical error in a newspaper
MacGaffey, Wyatt. Modern Kongo Prophets: Religion in a Plural
article; the official exile and imprisonment figure was closer
Society. Bloomington, Ind., 1983. An analysis of prophetism
to 2,148. Although Kimbanguist detainees were isolated and
among the Kongo, including a detailed discussion of Kim-
kept under martial surveillance, the policy of detention even-
banguism and related offshoot movements in the context of
tually led to the spread of the Kimbanguist movement in var-
local cultural history and traditions.
ious regions of the Belgian Congo.
Martin, Marie-Louise. Kirche ohne Weisse. Basel, 1971. Translated
by D. M. Moore as Kimbangu: An African Prophet and His
The movement gained strength, forming itself into a
Church (Oxford, 1975). A history of the Kimbanguist move-
group that became known as the Church of Jesus Christ on
ment in central Africa from 1918 to 1960, with discussions
Earth through the Prophet Simon Kimbangu. Followers
of responses to colonial authority, doctrine and ritual of the
were called ngunza (“prophets” or “preachers”). Kimbanguist
movement, and political attitudes of the followers. Contains
offshoots, such as Salutism and Mpadism, and other mani-
a comprehensive bibliography on the Kimbanguist move-
festations of Kimbangu’s influence appeared throughout the
ment up to 1970.
region among populations with whom Kimbangu never had
Sinda, Martial. Le messianisme congolais et ses incidences politiques:
direct contact.
Kimbanguisme, matsouaisme, autres mouvements. Paris, 1972.
This book presents a comparative analysis of Kongo messian-
Between 1955 and 1957, Kimbangu’s movement expe-
ic movements as forms of religious protest. The author raises
rienced a renewal and continued to spread throughout the
many interesting questions concerning leadership in pro-
Belgian Congo. After the prophet’s death, his youngest son,
phetic groups and the history and motivations of African
Kuntima (Joseph) Diangienda, assumed leadership of the
prophets and religious leaders in the context of the colonial
church in accordance with Kimbangu’s wishes. He formal-
government.
ized its doctrine, sacraments, and egalitarian organizational
BENNETTA JULES-ROSETTE (1987)
structure. In 1969, the Kimbanguist church was admitted to
the World Council of Churches, and in 1971, it was pro-
claimed as one of the four officially recognized ecclesiastical
KIMH:I, DAVID (c. 1160–c. 1235), known by the acro-
bodies in the newly formed nation of Zaire. By the end of
nym RaDaK (Rabbi David Kimh:i), was a biblical exegete.
the 1980s there were nearly four million Kimbanguists in
David was the son of Yosef Kimh:i and the brother of
Zaire.
Mosheh Kimh:i, exiles from Almohad Spain to Narbonne,
Simon Kimbangu’s direct and indirect influence on Af-
where David was born. Both Yosef and Mosheh, David’s
rican prophetic movements has been far-reaching. The Kim-
principal teacher, were grammarians and exegetes of note,
banguist church is one of the most extensively documented
heavily influenced by contemporary Hispano-Jewish ratio-
African religious groups. It is possible to view the history and
nalism. David was the best-known graduate of the school of
transformation of the Kimbanguist church as a prototype for
exegetes that the elder Kimh:is founded in Narbonne, a city
many contemporary African religious groups that have made
whose tradition of biblical studies had been established by
the transition from grass-roots movements to established
the eleventh-century Mosheh the Preacher.
churches.
Kimh:i was the author of a masoretic guide, the EEt sofer
(Scribe’s pen); the Sefer ha-shorashim (Book of roots), a dic-
BIBLIOGRAPHY
tionary of biblical Hebrew; and the Mikhol (Compendium),
Andersson, Effraim. Messianic Popular Movements in the Lower
the most authoritative Hebrew grammar of the Middle Ages.
Congo. Uppsala, 1958. A historical account of Kimbanguism
However, he is chiefly known for his biblical commentaries,
and other prophetic movements in the Lower Kongo; ana-
which include expositions on Genesis, the Former and Latter
lyzes the history of religious protest in the area and describes
Kimbanguism as a messianic movement in the context of off-
Prophets, Psalms, Proverbs, and Chronicles. He also wrote two
shoot and related groups arising between the 1930s and the
allegorical commentaries, employing Maimonidean philo-
1950s.
sophical concepts, on the Hexaemeron (chapters 1 and 2 of
Genesis) and the chariot vision of Ezekiel.
Asch, Susan. L’église du prophète Kimbangu: De ses origines à son
rôle actual au Zaïre. Paris, 1983. A comprehensive study of
Kimh:i’s commentaries evince great interest in masoretic
the growth and development of the Kimbanguist church.
questions, and he traveled considerable distances to consult
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KING, MARTIN LUTHER, JR
5145
reliable manuscripts such as the Sefer Yerushalmi in Saragossa
New Sources
and the Sefer Hilleli in Toledo. His avowed aim was to follow
Bartelmus, Rüdiger. “‘Prima la Lingua, Poi le Parole’: David Kim-
the twelfth-century Andalusian grammarian Avraham ibn
chi und die Frage der hebräischen Tempora: sprachwissen-
EEzraD and his own father and brother in establishing a peshat:
schaftliche und exegetische Überlegungen zu IISam 14,5b
(“plain sense”) based on philological and contextual analysis.
und 15,34a.” Theologische Zeitschrift 53 (1997): 7–16.
His extensive knowledge of rabbinic Hebrew, Aramaic, and
Grunhaus, Naomi. “The Dependence of Rabbi David Kimhi
Provençal, as well as his acquaintance with Arabic, contribut-
(Radak) on Rashi in His Quotation of Midrashic Tradi-
ed to his explication of the text. Concern for internal syntax
tions.” Jewish Quarterly Review 93 (2003): 415–430.
within verses and for the general sequence of the biblical nar-
Katz, Ben Zion. “Kimchi and Tanhum ben Joseph Hayerushalmi
rative became the hallmark of his commentaries. Yet despite
on Chronicles.” Jewish Bible Quarterly 26 (1998): 45–51.
Kimh:i’s emphasis on peshat:, he cited abundant midrashim,
FRANK TALMAGE (1987)
or rabbinic interpretations—some because he felt them use-
Revised Bibliography
ful in explicating the plain sense, some as a foil against which
he could highlight the peshat:, and some to add interest and
liveliness to his text. His rationalism frequently comes to the
fore in brief digressions on the nature of providence, prophe-
KING, MARTIN LUTHER, JR. (1929–1968), was
cy, epistemology, and the rationales for observance of the
a Baptist minister and civil rights leader. The son and grand-
commandments. He generally explained miracles naturalisti-
son of Baptist preachers, Martin Luther King, Jr., was born
cally. Although the influence of SaEadyah Gaon, Avraham
into a middle-class black family in Atlanta, Georgia. As an
ibn EEzraD, and Yehudah ha-Levi can clearly be felt, the domi-
adolescent, King grew concerned about racial and economic
nant tone of his work was set by Maimonides.
inequality in American society. Sociology classes at More-
house College taught him to view racism and poverty as re-
Kimh:i demonstrated his loyalty to Maimonides when,
lated aspects of social evil, and reading Henry David Tho-
in his seventies, he journeyed across Languedoc and Spain
reau’s essay “Civil Disobedience” (1849) convinced him that
to defend Maimonides’ Guide of the Perplexed when that
resistance to an unjust system was a moral duty. At More-
work came under attack by traditionalist Jews during the so-
house, King decided to become a minister, and after gradua-
called Maimonidean controversy. He engaged in external po-
tion he enrolled at Crozier Theological Seminary to study di-
lemics as well, and a number of anti-Christological and anti-
vinity. There he acquired from Walter Rauschenbusch’s
Christian remarks can be found in his writings. Many of
Christianity and the Social Crisis (1907) the conviction that
these were censored and survive only in manuscript. Kimh:i’s
the Christian churches have an obligation to work for social
depiction of exile and redemption in terms of darkness and
justice. In Mohandas Gandhi’s practice of nonviolent resis-
light—a theme he developed at length—was prompted by
tance he discovered a tactic for transforming Christian love
his sensitivity to the tribulations of Israel brought about by
from a merely personal to a social ethic.
internal division and external oppression.
King’s interest in theology, philosophy, and social ethics
Because of its accessibility, Kimh:i’s work left an indel-
led him to enter the graduate program at Boston University
ible mark on that of the Hebraists and humanists of the Re-
School of Theology, where he earned a Ph.D. degree and de-
naissance and Reformation, and its influence on the King
veloped his own philosophical position based upon the tenet
James Version of the Bible is unmistakable.
that “only personality—finite and infinite—is ultimately
real.” In Boston, he met and courted Coretta Scott, and in
1953 they were wed. A year later, King accepted a call to be
BIBLIOGRAPHY
pastor of Dexter Avenue Baptist Church in Montgomery,
An intellectual biography and analysis of Kimh:i’s exegesis is my
Alabama. Chosen by E. D. Nixon, president of the Mont-
David Kimhi: The Man and the Commentaries (Cambridge,
gomery National Association for the Advancement of Col-
Mass., 1975), which contains a complete bibliography up to
ored People, to lead a boycott of the city’s segregated buses,
the date of publication. His philological work is analyzed in
he gained national recognition when the boycott resulted in
David Kimchi’s Hebrew Grammar (Mikhlol), translated and
a Supreme Court decision that declared laws requiring segre-
edited by William Chomsky (Philadelphia, 1952). Specific
themes are treated in the following articles by me: “R. David
gated seating on buses unconstitutional.
Kimhi as Polemicist,” Hebrew Union College Annual 38
Following the Montgomery bus boycott, King founded
(1967): 213–235; “David Kimhi and the Rationalist Tradi-
the Southern Christian Leadership Conference (SCLC) to
tion,” Hebrew Union College Annual 39 (1968): 177–218;
coordinate scattered civil rights activities and local organiza-
and “David Kimhi and the Rationalist Tradition: 2, Literary
tions. Operating primarily through the black churches, the
Sources,” in Studies in Jewish Bibliography, History, and Liter-
ature in Honor of I. Edward Kiev, edited by Charles Berlin
SCLC mounted successive attacks against segregation in the
(New York, 1971), pp. 453–478. Much detailed data in tab-
early 1960s. Public demonstrations, especially in the South,
ular form can be found in Ezra Zion Melamed’s Mefarshei
dramatized for the nation the violence of white segregation-
ha-miqra D: Darkheihem ve-shitot:eihem, vol. 2 (Jerusalem,
ists in contrast to the nonviolence of black demonstrators.
1975), pp. 716–932.
Although immediate gains at the local level were often mini-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5146
KINGDOM OF GOD
mal, King’s strategy drew national attention to the racial
discusses the concept of the kingdom of God in postbiblical
problem, awakened moral concern in many, pressured the
Judaism, the New Testament, and the history of the Chris-
federal government to act, and helped gain passage of legisla-
tian church, together with its antecedents in the ancient Near
tion protecting the rights of blacks to vote and desegregating
East, Israel, and Greece.
public accommodations. As the most eloquent speaker of the
D
movement, King moved thousands to commit themselves to
IVINE KINGSHIP IN THE ANCIENT NEAR EAST, ISRAEL,
civil rights as both a moral and a political issue. For his non-
AND GREECE. Although the notion of divine kingship is de-
fined in human political terms, it is not a mere projection
violent activism, he received the Nobel Peace Prize in 1964.
of human kingship onto a divine realm. Rather, the succes-
Against the arguments of militants, King maintained
sive phrases in which this notion occurs show that divine
that nonviolence was the only practical and moral means for
kingship was understood as transcending and rejecting
African Americans to achieve equality. Violence would bring
human kingship.
only more violence; nonviolence might convert the racist’s
conscience. Linking the cause of African Americans to the
“King of the gods.” This phrase implies sovereignty
struggle for independence of colonized peoples worldwide,
over the created order. In a pantheon, one god can emerge
King opposed the Vietnam War and condemned interna-
as supreme (1) through political shifts, as does, for example,
tional violence.
Enlil, the tutelary god of Sumerian Nippur, who becomes
“lord, god, king . . . the judge . . . of the universe” (J. B.
While organizing a “poor people’s campaign” to per-
Pritchard, ed., Ancient Near Eastern Texts relating to the Old
suade Congress to take action on poverty, King accepted an
Testament, 3d ed. with supp., Princeton, 1969, p. 575); (2)
invitation to participate in marches for striking sanitation
through syncretism in favor of a solar deity such as Shamash
workers in Memphis, Tennessee. There, on April 4, 1968,
(Pritchard, p. 387) or the Egyptian deity Amun-Re, who is
he was assassinated. Considered a modern prophet by many,
the chief, lord, and father of the gods as well as creator of
King ranks with Gandhi as a major ethical leader of the twen-
life (Pritchard, pp. 365–366); or (3) through the acclamation
tieth century.
of one god as king by the others for his victory over the pow-
ers of chaos. This final form of acquiring sovereignty springs
BIBLIOGRAPHY
from a widespread mythical pattern illustrated in the texts
Works by King
of four ancient societies.
The best introduction to King’s own version of his goals and val-
ues is Stride toward Freedom: The Montgomery Story (New
Babylon. The creation epic Enuma elish, recited at the
York, 1958), which contains a chapter explaining his intel-
spring New Year festival, describes the victory of Marduk
lectual development in the midst of an eyewitness descrip-
over the sea monster Tiamat, from whose body Marduk
tion of the bus boycott. Strength to Love (New York, 1963)
creates heaven and earth. Even before the contest the other
is a collection of sermons. Why We Can’t Wait (New York,
gods proclaim, “We have granted you kingship [sharruta]
1964) includes “Letter from Birmingham Jail,” one of King’s
over the universe entire” (4.14), and “Marduk is king!”
most cogent justifications of his philosophy of nonviolent di-
(4.28). After the battle, the gods ratify these proclamations
rect action. Where Do We Go from Here: Chaos or Communi-
and give Marduk the chief of his fifty Sumerian titles, “king
ty? (New York, 1967) outlines his detailed program for social
of the gods of heaven and the underworld” (5.112).
justice in the United States.
Works about King
Ugarit (modern Ras Shamra, Syria). Although the god
Of the many biographical sketches, the best critical treatment is
El is routinely addressed as king in this literature (Pritchard,
David L. Lewis’s King: A Biography, 2d ed. (Urbana, Ill.,
pp. 133 and 140), Baal is elevated to kingship after his victo-
1978). Stephen B. Oates’s biography, Let the Trumpet Sound:
ry over Yam, “Prince Sea.” The craftsman-god tells Baal,
The Life of Martin Luther King, Jr. (New York, 1982), is fac-
“Now you will cut off your adversary, you will take your eter-
tually more complete but lacks interpretive analysis. Martin
nal kingship [mlk ’lmk], your everlasting dominion” (Prit-
Luther King, Jr.: A Profile, edited by C. Eric Lincoln (New
chard, p. 131); and goddesses tell El, “Baal is our king
York, 1970), is a collection of insightful evaluations of King
[mlkn], our judge, and there is none above him” (Pritchard,
and his role in the civil rights movement. John Ansbro’s
pp. 133 and 138).
Martin Luther King, Jr.: The Making of a Mind (Maryknoll,
N.Y., 1982) is a valuable explication of King’s thought.
Greece. In the Homeric poems, Zeus is called the “father
ALBERT J. RABOTEAU (1987)
of gods and men” and is once called the “highest and best
of the gods” (Odyssey 19.303). In Hesiod’s Theogony (700
BCE?), Zeus leads the Olympian gods in battle against the Ti-
tans, who include Chaos (v. 700) and the dragon Typhoeus.
KINGDOM OF GOD. Among the central concepts
Hesiod recounts that after the battle, “the blessed gods, at
of the great religions, that of the kingdom of God may be
the urging of Earth [Gaia], requested far-seeing Zeus to reign
the most hopeful, for while it recognizes the reality of death
and rule over them” (i. e., as basileus and anax, vv. 881–885).
and injustice, it affirms that a just and living transcendent
It is from this victory over the Titans that Zeus acquires the
reality is entering history and transforming it. This article
title “king of the gods” (v. 886). Similarly, in Pindar’s Sev-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGDOM OF GOD
5147
enth Olympian Ode (464 BCE), Zeus is called “great king of
comes “my king” (Ps. 5:3ff.); in an indefinite future, Yahveh
the gods” (v. 34).
as king will regather dispersed Israel (Ez. 20:33) and reign
in Jerusalem (Is. 24:23, Mi. 4:7; cf. Is. 52:7–10).
Israel. In the face of Israel’s ostensible monotheism, a
group of other gods, called benei Elim (lit., “sons of gods”),
“Kingship from heaven.” This Babylonian phrase in-
is also acknowledged. These gods, however, are not like the
troduces various concepts of the divine sovereignty in the
one God (who in this context always has the name whose
state. Hammurabi in the prologue to his laws (c. 1700 BCE)
consonants are YHVH, conventionally transcribed “Yah-
tells how Anu established for Marduk an “enduring sover-
veh,” Ps. 89:5–8); they must ascribe glory to him (Ps. 29:1),
eignty” over the world. At first, the Babylonian myth Etana
for it was Yahveh who crushed the sea-monster of chaos,
states, “the people had not set up a king”; but later “kingship
Rahab (Ps. 89:10), or Leviathan (Ps. 74:13–14). And in
descended from heaven” (Pritchard, p. 114). Although the
Psalms 95:3, Yahveh is given the same title that Pindar gives
concept of kingship as bestowed from the divine realm served
Zeus, “a great king above all gods.”
to legitimate the state in Mesopotamia, in Zoroastrianism it
provided an alternative to the state. One of the aspects of
“Yahveh is king.” This phrase implies sovereignty over
Ahura Mazda¯ is Khshathra, who combines the ideas of divine
the people of Israel. In the historical books of Israel, the king-
and human “kingship.” In Yasna 44.7, kingship is presented
ship of Yahveh is cited solely to refute the claims of human
as his creation along with A¯rmaiti (“piety”); Yasna 33.10
kings (1 Sm. 8:7, 12:2; cf. Jgs. 8:23). The concept is most
speaks of “kingship and justice [asha]” in parallel just as Mat-
fully developed in the Book of Psalms, the dating of which
thew 6:33 does in the New Testament. But the prophetic Zo-
is problematic; however, Isaiah’s vision of Yahveh as king (Is.
roastrian sense of kingship is co-opted for political ends by
6:5) shows that this was a living belief in 742 BCE. In a com-
Darius, who begins his Behistun inscription (520
pact group of Psalms, Yahveh is called “king” (melekh) or is
BCE), “I am
Darius, the Great King, King of Kings . . . Ahura Mazda¯
made the subject of the corresponding verb malakh (Ps. 93:1,
bestowed the kingship upon me” (cited in Roland G. Kent’s
96:10, 97:1, 99:1). These Psalms display a unique cluster of
Old Persian: Grammar, Texts, Lexicon, 2d ed., New Haven,
motifs associated with Yahveh’s kingship: (1) his theophany
1953, p. 119).
in lightning or earthquake over Lebanon (Ps. 29) and else-
where (Ps. 97, 99); (2) his supremacy over other gods who
There are hints of such a semi-autonomous kingship in
bow down to him or are reduced to “idols” (Ps. 29, 95–97,
Stoicism, as in Epictetus’s notion of the “kingship” (basileia)
47:2 in some texts); (3) his entrance into his holy place (Ps.
of the philosopher (Arrian, Epictetus 3.22.76). But the prin-
24) or ascent to his throne (Ps. 47; cf. Ps. 93, 97); (4) his
cipal inheritor in the West of the concept of a quasi-
act of creation (Ps. 24, 95, 96), portrayed as a conquest of
independent divine kingship was later biblical Judaism.
great waters (Ps. 29, 33), where the personified elements sing
Psalms 22.28 affirms that “kingship [melukhah] belongs to
a new song (Ps. 96, 98) and the floods, now beneficent, “clap
Yahveh.” The editor who wrote 1 Chronicles 28:5 replaced
their hands” (Ps. 98:8); (5) his sovereignty over other nations
the kingship (mamlekhet) of David and Solomon, which he
or over all the earth (Ps. 47, 96, 98); and (6) his future com-
found in his source, 1 Kings 9:5, by substituting the divine
ing to judge the earth (Ps. 96, 98) as he has previously come
malkhut. Echoing an Ugaritic theme, Psalms 145:11–13 pro-
to Israel (Ps. 99:4).
claims, “thy kingship is a kingship of all the ages.” This
theme is developed in Daniel: “The God of heaven will set
Sigmund Mowinckel, in his Psalmenstudien (2 vols.,
up an everlasting kingdom” (Dn. 2:44; cf. Dn. 4:3), which
Oslo, 1921–1924), searching for a liturgical occasion for
is to be handed over to one who is “like a son of man”
these psalms in the Temple, boldly hypothesized a festival
(Dn. 7:14ff.) or to “the people of the saints of the Most
of Yahveh’s enthronement, a Thronbesteigungsfest, which he
High” (Dn. 7:27).
assigned to the autumn feast of Tabernacles (Sukkot) on the
basis of 1 Kings 8:2 (cf. Zec. 14:16). This theory, much devel-
Among the Covenanters of Qumran it was believed that
oped by Scandinavian and British scholars, assumed that the
the “covenant of the kingship” (berit malkhut) over God’s
king dramatically enacted the role of Yahveh in conquering
people was given to David and his descendants for ever (Ed-
chaos and the nations, in the god’s enthronement, and, per-
mund Lohse, Die Texte aus Qumran, Munich, 1964,
haps, even in a mock death, resurrection, and sacred mar-
p. 247). The Old Testament Pseudepigrapha sometimes as-
riage. But Roland de Vaux, in his Ancient Israel (vol. 2, New
cribe the kingship to a Messiah (which may, however, be a
York, 1965, pp. 502–506), finds no evidence for such a festi-
Christian interpolation); for example, the Syriac Apocalypse
val. And while the theme of Yahveh’s entrance to the holy
of Baruch affirms that the “anointed one” will sit “in eternal
place or ascent to his throne suggests a Temple liturgy,
peace on the throne of his kingship” (73:1).
Psalms 132:8 suggests that the god was represented in this
“King of kings.” This phrase indicates first human,
liturgy by the ark rather than by the king.
then divine, sovereignty over earthly kingships. It was first
As the contrast between these affirmations of divine
applied to human rulers annexing vassal kingships. It was
kingship and Israel’s state of exile (587/6–538 BCE) became
standard among Old Persian royal inscriptions (cf. Ezra
too great, the concept is split up between present and future.
7:12), and it is ascribed to the Babylonian king Nebucha-
In the present, God’s kingship is individualized and he be-
drezzar by Ezekiel 26:7 and Daniel 2:37 (but not by cunei-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5148
KINGDOM OF GOD
form sources). The Romans knew it as a Parthian title. Plu-
Another set of texts portrays the coming sovereignty of
tarch writes that Pompey refused the title to the Parthian
God as wholly universal. In the Mekhilta D de-Rabbi Yish-
king (Pompey 38.2) and that Antony called his sons by Cleo-
ma EeDl (Jacob Z. Lauterbach, trans., 3 vols., Philadelphia,
patra “kings of kings” (Antony 54.4).
1933, vol. 2, p. 159) one reads: “At the time when idolatry
shall be uprooted . . . and the Place [Maqom, ‘God’] shall
In Stoicism and the Judeo-Christian tradition, this title
be recognized throughout the world as the One, then will
is transferred to the God who rules over all human kingship.
his kingship be established for the age of the ages of ages.”
Cleanthes, in his Hymn to Zeus (270 BCE), names the abstract
The Aramaic Targums, which regularly translate “The Lord
god of Stoicism “Zeus” and calls him “highest king”; a later
will reign” as “The kingship [malkhut] will be revealed” (e.g.,
Stoic gave him the Persian title “great king of kings” (Dio
Is. 24:23; Ex. 15:18), twice attribute the kingship to the Mes-
Chrysostom 2.75). Yahveh is called “God of gods and Lord
siah: The Targum on Micah 4:7–8 states that “to you, O
of lords” in Deuteronomy 10:17—conceivably a late enough
Messiah of Israel, hidden because of the sins of the congrega-
text to be under Babylonian-Persian influence. Once in
tion of Zion, the kingship is to come,” and the Targum on
Greek Judaism God appears as “king of kings” (2 Maccabees
Isaiah 53:10 affirms that God’s people, after being purified
13:4). Rabbi EAqavyaD (c. 60 CE) expanded the title to under-
from sin, “shall look upon the kingship of their Messiah.”
line God’s claim over the highest of earthly monarchies,
teaching that humans are to give account “before the King
THE KINGDOM OF GOD IN THE WORDS OF JESUS. “The
of the kings of kings” (Mishna Avot 3.1). These usages are
kingdom [basileia] of God” is the sole general phrase express-
combined in Revelation 19:16 and 17:14 where the victori-
ing the object of Jesus’ proclamation. (In Matthew it mostly
ous Christ is proclaimed “King of kings and Lord of lords.”
appears as “kingdom of heaven,” probably as an artificial res-
The title became the rallying point for simple Christians to
toration of the rabbinic usage.) His affirmations about this
reject the divine status of the Roman emperor; thus the Afri-
kingdom are the unifying thread on which all his other say-
can martyr Speratus (180 CE) before a Roman proconsul
ings are strung.
confessed “my Lord, the Emperor of kings and of all peoples”
(dominum meum, imperatorem regum et omnium gentium;
Jesus’ contemporaries shared with the rabbinic tradition
text in Herbert Musurillo, The Acts of the Christian Martyrs,
at least a political coloration of the concept: Thus Acts 1:6
Oxford, 1972, no. 6).
represents disciples asking the risen Jesus, “Will you at this
time restore the kingdom to Israel?” But the gospel narratives
“Kingship of heaven.” In the rabbinic tradition this
that presuppose Jesus’ most characteristic ideas already in the
phrase expresses an understanding of the universal sovereign-
minds of others, such as John the Baptist (Mt. 3:2), Joseph
ty of God, future and/or eternal. The rabbis saw Exodus
of Arimathea (Mk. 15:43), the Pharisees (Lk. 17:20), or the
15:18 (“Yahveh will reign for ever and ever”) as the recogni-
disciples (Mt. 18:1, Lk. 14:15), are unsupported by the rab-
tion that established God’s kingship on earth (Exodus Rab-
binic texts and are probably the work of the evangelists.
bah 23.1). As the sovereignty assigned to the God of Israel
grew, his name was replaced by the term heaven. The obliga-
In the sayings of Jesus, the “kingdom of God” replaces
tion to recite the Shema’ twice daily is called “taking on the
the state of affairs that he calls “this generation”; for they are
yoke of the kingship of heaven [ Eol malkhut shamayim]”
given exactly parallel introductions. Over against the obdu-
(Mishna Berakhoth 2.2); Rabbi EAqivaD ben Yosef did so dur-
rate “men of this generation” (Lk. 7:31–34), the kingdom
ing his execution under Hadrian (135 CE, Babylonian Tal-
of God grows from its tiny hidden beginnings like a man’s
mud Bera-khot 61b). Eventually the recognition of the divine
mustard seed or a woman’s leaven (Lk. 13:18–21). Into the
sovereignty by Jews alone seemed to the rabbis insufficient:
present “faithless” and “adulterous” generation (Mk. 9:19,
Thus the great universalistic prayer EAlenu of RoDsh ha-
Mt. 12:29) there has broken a new historical reality. Four
Shanah has the petition that all the inhabitants of the world
types of sayings each illustrate one dimension of Jesus’ vision:
“should accept the yoke of thy kingdom; and do thou reign
(1) the kingdom as subject of verbs of coming; (2) the king-
over them speedily and forever; for the kingship is thine, and
dom as object of verbs of entering; (3) the kingdom as object
forever wilt thou reign in glory.”
of search or struggle; (4) “in the kingdom of God” in the
context of a banquet. (But the extended parables of Matthew
One set of rabbinic texts partially identifies the divine
are mostly omitted here, because their introduction “The
kingship with Israel’s political autonomy. Rabbi Ayyvu (c.
kingdom of heaven is like . . .” seems editorial rather than
320 CE) said: “Formerly the kingship was vested in Israel, but
organic.)
when they sinned it was taken from them and given to the
other nations. . . . But tomorrow when Israel repents, God
“The Kingdom of God is at hand.” Here is implied
will take it from the idolaters, and the kingship shall be to
a preliminary but decisive victory over injustice and death.
the Lord” (Esther Rabbah). The fortunes of Israel are seen by
In the first group of sayings, the kingdom of God is pres-
the rabbis as coloring universal history: Thus the Midrash on
ented as a quasi-autonomous reality whose arrival is being
Psalm 99 states, “As long as the children of Israel are in exile,
announced. In Mark 1:15 the expression “The kingdom of
the kingship of heaven is not at peace and the nations of the
God is at hand” is placed, perhaps editorially, as a motto or
earth dwell unperturbed.”
summary over Jesus’ entire work.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGDOM OF GOD
5149
The Lord’s Prayer. This prayer contains the petitions
Gerd Theissen (Sociology of Early Palestinian Christianity,
“Hallowed be thy name, thy kingdom come” (Lk. 11:2, Mt.
John Bowden, trans., Philadelphia, 1978, p. 99) concludes:
6:9). They echo the Qaddish, the oldest Aramaic part of the
“The best description of the functional outline of the Jesus
synagogue liturgy: “Magnified and sanctified be his great
movement for overcoming social tensions is an interpreta-
name in the world which he created according to his will.
tion of it as a contribution towards containing and overcom-
And may he establish his kingdom [yamlikh malkhuteh] dur-
ing aggression.” Later, Jesus’ criterion is reformulated with
ing your life and during your days and during the life of the
increasing degrees of legalism: To enter the kingdom of God
house of Israel, even speedily and at a near time.” The Qad-
one must keep two great commandments (Mk. 12:34); show
dish plainly includes a covert petition for the political inde-
persistence (Lk. 9:62); do the will of God (Mt. 7:21); serve
pendence of Israel. And both texts by implication are asking
the Christ hidden in the poor (Mt. 25:34); have a higher
for an end to those crimes against persons that are described
righteousness (Mt. 5:20); and avoid certain listed sins (1 Cor.
in the Hebrew Bible as a “profanation” of God’s name: debt-
6:9–10, Gal. 5:21).
slavery and prostitution (Amos 2:6–8), enslavement (Jer.
The kingdom of God as object of search or struggle.
34:14–16), and murder (Lev. 18:21).
A third group of sayings defines the kingdom of God as the
Victory over dark powers. In Luke 11:20 Jesus pro-
highest object of desire. Although certain forces “lock up the
claims, “But if I by the finger of God cast out demons, then
kingdom of heaven” (Mt. 23:13), the reader is told “seek first
the kingdom of God has come upon you.” What is asked for
God’s kingdom and all these shall be added to you” (Lk.
in the Lord’s Prayer is here announced as already operative.
21:31; cf. Mt. 6:33). The kingdom is symbolized by the
Jesus instructed his missionaries to “heal those who are sick
“treasure hidden in a field” and the “pearl of great price” (Mt.
and say to them, ‘The kingdom of God has drawn near you’”
13:44–46). But the nature of the “mystery of the kingdom
(Lk. 10:9). Proofs that the kingdom has broken into history
of God” is left unexplained at Mark 4:11; and Paul only
are the healing of sickness, often of psychosomatic types of
vaguely suggests with the expression “fellow workers for the
sickness, and victory over the destructive social forces called
kingdom of God” (Col. 4:11) the modern idea that the king-
“demons,” such as Legion, so named as a sign of military op-
dom can be promoted by human energy.
pression (Mk. 5:9), and Mammon (Lk. 16:13). God’s “fin-
“In the kingdom of God.” This phrase in a fourth
ger” is the creative force by which the heavens were made (Ps.
group of sayings is always used in connection with a banquet
8:3), oppressors overthrown (Ex. 8:19), and the Law given
at the end of time. When Jesus affirms, “I shall no more
(Ex. 31:18). No less a power, Jesus implies, could do what
drink of the fruit of the vine until that day when I drink it
has already been done through him; hence God’s sovereignty
new in the kingdom of God” (Mk. 14:25), he implies that
has already broken into history.
the kingdom can only come in through his suffering. The
“To enter the kingdom of God.” A second group of
greatest and least in the kingdom are paradoxically reversed
sayings defines the condition for entering the kingdom: be-
(Mt. 5:19, 18:4; Lk. 7:28 and Mt. 11:11) as in the parable
coming like the poor. Jesus expresses the condition negative-
of the banquet (Mt. 22:2–14, Lk. 14:16–24). The final event
ly: “It is easier for a camel to go through the eye of a needle
will be inaugurated by the apostles: To them Jesus says, “I
than for a rich man to enter the kingdom of God” (Mk.
bequeath you as my Father bequeathed me a kingdom, that
10:25). He also expresses it positively: “Allow the children
you may eat and drink at my table in my kingdom and sit
to come to me and do not forbid them, for of such is the
on thrones judging the twelve tribes of Israel” (Lk. 22:29–30;
kingdom of God” (Mk. 10:14–15; cf. Mt. 18:13–14, Jn.
cf. Mt. 19:28).
3:3–5). With far-reaching irony he says, “The tax collectors
At the inauguration of the banquet, Jesus says, there will
and harlots enter the kingdom of God before you” (Mt.
be a final division of humanity “when you see Abraham . . .
21:31). The kingdom of God is further reserved for the
and all the prophets in the kingdom of God, but you your-
handicapped (Mk. 9:47), the persecuted (Mt. 5:10), and
selves cast out; and they shall come from the east and the
those in tribulation (Acts 14:22). The rabbinic background
west . . . and recline in the kingdom of God” (Lk. 13:28–
for these sayings is the concept of “the coming age”
29; cf. Mt. 8:11–12). Two themes are combined in this text:
(ha- Eolam ha-baD): “Master, teach us the paths of life so that
the pilgrimage of all peoples to Jerusalem (Is. 49:12, etc.) to-
through them we may win the life of the coming age”
wards the “house of prayer for all peoples” (Is. 56:7); and the
(B.T., Ber. 28b).
banquet described in Isaiah 25:6–9, which ends with the ar-
The link among these groups is a deep structure of Jesus’
chaic Ugaritic motif of Yahveh swallowing up death forever.
thought underlying Luke’s “Sermon on the Plain.” The beat-
THE KINGDOM OF GOD IN CHRISTIAN TRADITION. Luke in
itude “Blessed are you poor, for yours is the kingdom of
his gospel and in the Acts when writing narrative regularly
God” (Lk. 6:20) shows that possession of the kingdom is the
speaks of “preaching the good news of the kingdom of God.”
coming reward for the poor, hungry, and mourning. The
Paul inherits the phrase “kingdom of God” in fixed phrases
saying “Love your enemies . . . and your reward will be
from the gospel tradition; the structural parallel that plays
great” (Lk. 6:35) shows that the characteristic of this ideal
the same role as the kingdom in his thought is the “righ-
poor is love of enemies, that is, nonretaliation to evil. Hence
teousness [dikaiosune] of God.” The remaining letters 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
5150
KINGDOM OF GOD
New Testament, where, as Rudolf Bultmann says, Jesus “the
dom,” a pacatissimum regnum (City of God 20.9). When he
Proclaimer becomes the one proclaimed” by the church,
goes on then to say that “the church even now is the king-
mostly speak of the kingdom of Christ. In the writings of the
dom of Christ and the kingdom of heaven” he does not
Greek church fathers the notion of the kingdom of God loses
imply it is that already perfected.
any sociopolitical connotation and is seen as the state of im-
Two kingdoms in Luther. In the High Middle Ages,
mortality or the beatific vision as entered through baptism.
Hugh of Saint-Victor (1096–1141) crystallized Augustine’s
But in his commentary on Matthew 14:7 (244 CE), Origen
two cities unambiguously into the “spiritual power” of the
coins a word that contains much of the original sense: As
church and the “secular power” of the state, with the church
Christ is “wisdom itself, righteousness itself and truth itself,”
in theory superior and in practice subservient. Martin Luther
so is he also “the kingdom itself” (autobasileia).
restored the New Testament term “kingdom of God” (Reich
The development of the concept of the kingdom of God
Gottes) but placed over against it a “kingdom of the world”
occurred primarily in the church of the West. In the thought
(Reich der Welt). God’s kingdom is one of grace and mercy;
of the Latin theologians and the official Reformation, it
the world’s kingdom, one of wrath and severity (Martin Lu-
served to legitimate the state through Augustine’s doctrine
ther, Works, ed. Jaroslav Pelikan, Saint Louis, 1955–1976,
of two cities and Luther’s of two kingdoms. The Enlighten-
46.69, 30.76). In Luther’s On Temporal Authority (1523) the
ment, while discovering the primacy of the kingdom of God
children of Adam are divided between the two kingdoms
in Jesus’ thought, tried to accommodate it to rational catego-
(Works, 45.88). The sayings “Render to Caesar what is Cae-
ries. It was the radical Reformation that most fully recovered
sar’s” (Mk. 12:17) and “The powers that be are ordained of
Jesus’ original understanding, and that transmitted the most
God” (Rom. 13:1) carry great weight for Luther (Works
vital form of the concept to contemporary Christian believers
45.99)—in part because of his dependence on the German
today.
princes for protection against Rome. Only when a political
leader gives false religious commands does Luther permit the
Two cities, two kingdoms. These concepts served to
stance expressed in Acts 5:29, “We must obey God rather
accommodate the church to the state. In his City of God
than men” (Works 45.111).
(413–426 CE), Augustine developed his grandiose contrast
between the civitas Dei, with a biblical basis in Psalms 87:3
In a sermon of 1544, Luther boldly defined the two
and 46:5, and the civitas terrena, the “earthly city,” with no
kingdoms as distinct operations of the one God:
biblical antecedent. This work laid a basis for relations be-
The worldly government [das weltlich Regiment] also
tween church and state that was not decisively challenged
may be called God’s kingdom. For he wills that it
until the resistance to Hitler by the German Confessing
should remain and that we should enter it; but it is only
church.
the kingdom with his left hand [nur des reych mit der
lincken hand]. But his right-hand kingdom [rechtes
Augustine’s concept of the earthly city is especially am-
reych], where he himself rules, and is called neither . . .
biguous. Sometimes (e.g., Sermons 214.11) he identifies the
Kaiser nor king . . . but rather is himself, is that where
city of God with the historical church and attributes to the
the Gospel is preached to the poor. (D. Martin Luthers
earthly city aspects of the state; here he has a predecessor in
Werke, Weimar, 1883–, 52.26; cf. 36.385)
the rabbinic parallelism of the “kingdom [malkhut] of the
Luther calls these two operations of God his “alien” and
earth” and the “kingdom of the firmament” (B.T. Ber. 58a),
“proper” work (opus alienum, proprium; cf. Is. 28:21 Vul-
and in one interpretation of Jesus’ saying about the “things
gate). In an early sermon of 1516 he maintains, “since God
of Caesar” and “things of God” (Mk. 12:17). Elsewhere for
could justify only those who are not just, he is forced before
Augustine the city of God is the society of the redeemed, and
his proper work of justification to carry out an alien work
the earthly city is the society of the devil; here the good and
in order to make sinners” (Works 51:19; cf. 33.140).
evil principles of the Manichaeism that Augustine previously
Sometimes Luther opposed to God’s kingdom not the
embraced resurface.
kingdom of the world but Satan’s kingdom (Works 33.227).
While Augustine’s language about church and kingdom
Unlike Augustine he closely integrates the devil’s work with
fluctuates, his underlying thought is consistent. His pre-
the work of God. On Hebrews 2:14, Luther comments: “God
decessor Cyprian saw both distinction and continuity be-
pierced the adversary with that one’s weapon . . . and so
tween present church and future kingdom: “One who aban-
completes his proper work with an alien work” (Works
dons the church which is to reign [regnatura est] cannot enter
29.135). While he protests that “God does not wish us like
the kingdom [regnum]” (On the Unity of the Church 14). So
the Manichaeans to imagine two gods, one the source of
Augustine distinguishes the temporary “inn” of the church
good, the other of evil” (On Psalms 90:16, Works 13.135),
from the permanent “home” of the kingdom (Sermons
Luther comes close to postulating a duality within God, with
131.6). Hence there are two ages of the church, now with
the devil as God’s dark side. Thus he holds that on occasion
a mixture of wheat and tares, in the future transformed into
“God wears the mask [larva] of the devil” (On Galatians
a kingdom without evil. Correspondingly Augustine distin-
5:11, Works 27.43).
guishes two periods of the kingdom: a present “kingdom of
Only one kingdom. The doctrine of “only one king-
militancy” (regnum militiae), and a future “peaceable king-
dom” was the affirmation of the German Confessing 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
KINGDOM OF GOD
5151
Luther’s scheme of two kingdoms was pushed to an extreme
selves under the common impression,” Reimarus concludes,
in the 1930s by German theologians such as Paul Althaus
he could have had “no other object than to rouse the Jews
and Emanuel Hirsch, who favored National Socialism. In
. . . who had so long been groaning under the Roman
their Zwei-Reiche-Lehre (“doctrine of the two kingdoms”)
yoke.” Thus he sees Jesus as simply a political revolutionary
the state is autonomous over against the church. Opposition
or Zealot.
to this doctrine led to a rethinking of Luther’s position. For
From an opposite, but no less rationalistic, perspective,
example, Dietrich Bonhoeffer in his Ethics (trans. N. H.
Immanuel Kant argued for a universal philosophic interpre-
Smith, London, 1955, p. 62) condemns any thinking about
tation of the kingdom of God. He took the title of the third
God and the world “in terms of two spheres,” especially
book of his Religion within the Limits of Reason Alone (1793)
when “in the pseudo-Lutheran scheme the autonomy of the
from the language of Jesus: “The victory of the good over the
orders of the world is proclaimed in opposition to the law
evil principle, and the founding of a kingdom of God on
of Christ.”
earth.” He ends the work by citing the phrase from Luke
During World War II, Karl Barth wrote that the “illuso-
17:22 (“the kingdom of God is in your midst”) in the trans-
ry paganism of the German people” had been confirmed
lation “the kingdom of God is within you,” thus giving the
rather than restrained by the “heritage of the greatest Chris-
saying the “spiritual” interpretation that remains popular:
tian of Germany, by Martin Luther’s error on the relation
“Here a kingdom of God is represented not according to a
between . . . the temporal and spiritual order” (A Letter to
particular covenant (i.e., not messianic) but moral (knowable
Great Britain from Switzerland, London, 1941, p. 36). On
through unassisted reason).”
the one hand Barth uses Luther’s language when he states
Most nineteenth-century German New Testament
that “nothingness” (i.e., evil) is “on the left hand of God as
scholars interpreted the Gospels according to Kant’s presup-
the object of his opus alienum” (Church Dogmatics, trans.
positions. This accommodation, however, collapsed with the
G. T. Thomson et al., 5 vols. in 14, Edinburgh, 1936–1977,
publication in 1892 of the first edition of Johannes Weiss’s
vol. 3, part 3, p. 361). But, contrary to Luther, he emphasizes
Jesus’ Proclamation of the Kingdom of God (trans. R. H. Hiers,
the uniqueness of God’s kingdom, insisting on the radical
Philadelphia, 1971, p. 130). Weiss concluded that “although
“antithesis of the kingdom of God to all human kingdoms”
Jesus initially hoped to live to see the establishment of the
and also to the “sphere of Satan” (Church Dogmatics 4.2.177,
kingdom of God, he gradually became certain” that he must
2.2.688). “There is no collateral rule [Nebenregierung] side
die first, but that after his death he would “return upon the
by side with [God’s] and no counter-rule opposed to it. He
clouds of heaven at the establishment of the kingdom of
alone can rule, and ought to rule, and wills to rule; and he
God, . . . within the lifetime of the generation which reject-
alone does so” (Church Dogmatics 3.3.157).
ed him.” He frankly recognized that this historical recon-
struction contradicted the “modern Protestant worldview”
Barth’s views were accepted in principle by the newly
that he shared with his contemporaries, because he could not
formed German Confessing church at the Synod of Barmen
take the “eschatological attitude” that the world was passing
(May 31, 1934) in opposition to the Nazi state church. The
away. Likewise, Albert Schweitzer conceived of Jesus as an
fifth thesis of Barmen, drafted by Barth and going beyond
eschatological visionary awaiting an imminent end of the
previous Lutheran or Reformed confessions, says that “the
world. In his The Mystery of the Kingdom of God (1901; trans.
State has by divine appointment the task of providing for jus-
W. L. Lowrie, New York, 1950, p. 55), Schweitzer explained
tice and peace. . . . The Church acknowledges the benefit
the radical demands of the sermon on the mount as an In-
of this appointment. . . . It calls to mind the Kingdom of
terimsethik, too rigorous for normal life, in the brief period
God . . . and thereby the responsibility both of rulers and
before the full establishment of the kingdom.
of the ruled.” The document contains nothing about the na-
ture of the state, much less its alleged status as a parallel king-
A number of twentieth-century scholars defined Jesus’
dom; it refers only to the state’s assigned task (Cochrane,
idea of the kingdom of God as basically completed in his
1962, pp. 192, 241).
own work. Charles Harold Dodd in his The Parables of the
Kingdom (London, 1935) rejects Schweitzer’s “thoroughgo-
The legacy of the Enlightenment. Here the concept
ing eschatology” and argues that Jesus regarded the kingdom
of the coming of the kingdom of God is accommodated to
of God as having already come. He interprets “the ministry
rational categories. Hermann Samuel Reimarus (1694–
of Jesus as ‘realized eschatology,’ that is, as the impact upon
1768), in a posthumously published manuscript, was the
this world of the ‘powers of the world to come’” (p. 151).
first modern scholar to recognize that the coming of the
Rudolf Bultmann in his Jesus and the Word (1926; trans.
kingdom of God was Jesus’ central theme (Reimarus: Frag-
L. P. Smith et al., New York, 1934, pp. 52, 131), anticipat-
ments, ed. C. H. Talbert, Philadelphia, 1970, pp. 136–138).
ing his later program of “demythologization,” interprets the
Reimarus presumes that Jesus’ contemporaries expected no
absolute certainty of the coming of the kingdom as a “crisis
other savior “than a worldly deliverer of Israel, who was to
of decision” in which every hour is the last hour. He defines
release them from bondage and build up a glorious worldly
the kingdom as “an eschatological deliverance which ends ev-
kingdom for them.” When to announce his kingdom (Mt.
erything earthly” by confronting the human being with a de-
10:7) Jesus “chose for his messengers men who were them-
cision in crisis as in Kierkegaard’s “Either/Or.”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5152
KINGDOM OF GOD
Schweitzer laid much weight on the saying in Mark 9:1,
11:6–8: Against a Delaware River landscape the wolf and
“There are some standing here who will not taste death be-
lamb, leopard and kid lie down together, the cow and bear
fore they see the kingdom of God coming with power.” If
feed side by side, and the lion eats straw with the ox; one
this verse is both historically attributed to Jesus and under-
child leads them, another plays on the serpent’s den. In a
stood literally, Jesus will seem to have been in error. There
background vignette William Penn signs his peace treaty
have been many efforts to account for the apparent error. In
with the Indians.
his On Being a Christian (New York, 1978, p. 220), Hans
The popular piety of Hymnody. Even for Luther, when
Küng argues that Jesus’ “apocalyptic horizon,” the expecta-
he turned hymn-writer, the only opposite to God’s kingdom
tion of an immediate end of the world, is “not so much an
can be Satan’s: In Ein feste Burg (1529) God’s opposite is the
error as a time-conditioned . . . worldview which Jesus
“Prince of this world” (John 12:31), and the sole kingdom
shared with his contemporaries.” Erich Grässer, in his Das
is the one we inherit, Das Reich muss uns doch bleiben. The
Problem der Parusieverzögerung in den synoptischen Evangelien
masters of English hymnody, who always attribute the king-
(Berlin, 1960), sees the entire development of the early
dom of Jesus, suffuse it with the social witness Evangelical
church as a response to the “delay of the parousia [i.e., ‘ex-
revival. Thus Isaac Watts in his paraphrase (1719) of the
pected coming’],” citing especially 2 Peter 3:4: “Where is the
messianic Psalm 72: “Jesus shall reign where’er the sun . . .
promise of his coming?” John G. Gager in his Kingdom and
his kingdom stretch from shore to shore.” Charles Wesley’s
Community: The Social World of Early Christianity (Engle-
Christmas hymn (1739) once began “Glory to the King of
wood Cliffs, N.J., 1975, p. 39) explains the whole original
kings!”; congregations still sing, “Hail, the Sun of Righteous-
Christian mission by analogy to a contemporary millenarian
ness! / Hail, the heav’n-born Prince of Peace!” Their focus
sect that, after its prediction of an immediate end is discon-
on the person of Jesus is especially plain in their transforma-
firmed, “may undertake zealous missionary activity as a re-
tion of the “kingship Psalms”: Watt’s Christmas hymn
sponse to its sense of cognitive dissonance.” Other scholars,
(1719) “Joy to the world! the Lord is come; / Let earth re-
such as Werner G. Kümmel and Norman Perrin, have char-
ceive her King” adapts Psalm 98; Charles Wesley’s ascension
acterized the supposed error as springing from the adoption
hymn “Hail the day that sees him rise . . . Take the King
of a literalistic antithesis of present/future.
of Glory in!” reworks Psalm 24.
A kingdom of righteousness and peace. This kingdom
Puritanism and the Social Gospel. English Puritans
was the heritage of the radical Reformation. Both the central-
commonly speak of God as king. In his A Holy Common-
ity and the original meaning of Jesus’ concept of the king-
wealth (1659), Richard Baxter affirms that “the world is a
dom of God were grasped by the radical reformers, less
kingdom whereof God is the King . . . an absolute Monar-
through their scholarship than through the conformity of
chy . . . All men are subjects of God’s kingdom” (Richard
their lives to Jesus’ pattern. Menno Simons (c. 1496–1561),
Niebuhr, 1937, p. 52). It is a false boast when in John Mil-
rejecting the violence of the Peasants’ Revolt of 1525 under
ton’s Paradise Lost Satan claims “Divided Empire with Heav-
Thomas Münzer but speaking from the same social situation,
en’s King I hold” (4.111). In America, where the symbolism
based his stand of nonretaliation on the sermon on the
of monarchy was less apt, the emphasis merely shifts to the
mount. He wrote, “Christ has not taken his kingdom with
kingdom of God. Jonathan Edwards in his History of Re-
the sword, although he entered it with much suffering” (The
demption regards the kingdom of heaven upon earth as a
Complete Writings of Menno Simons, trans. L. Verduin et al.,
prosperous age of the church before the apostasy and last
Scottsdale, 1956, p. 49). And again, “We acknowledge . . .
judgement. The Puritan inheritance was secularized in Wal-
no other sword . . . in the kingdom or church of Christ than
ter Rauschenbusch’s notion of the Social Gospel, in which
the sharp sword of the Spirit” (p. 300). While leaving “the
the realization of the kingdom is identified with historical
civil sword to those to whom it is committed,” Menno’s only
progress. In a manuscript of about 1891, posthumously pub-
kingdoms are those of “the Prince of Peace and the prince
lished as The Righteousness of the Kingdom (Nashville, 1968),
of strife” (p. 554). Similarly, in his Journal, George Fox, re-
Rauschenbusch holds that the “program of the Christian rev-
cording his famous testimony of November 21, 1660 before
olution,” namely, the kingdom of God on earth, “includes
Charles II, characterizes the kingdom of God as wholly pacif-
a twofold aim: the regeneration of every individual to divine
ic: “The Spirit of Christ, which leads us into all truth, will
sonship and eternal life, and the victory of the spirit of Christ
never move us to fight and war against any man with out-
over the spirit of this world in . . . all the institutions
ward weapons, neither for the kingdom of Christ nor for the
formed by human society” (p. 110).
kingdoms of this world.”
The theology of the future. After the reaction to nine-
The visual arts. The church early developed pictorial
teenth-century liberal theology in Bultmann’s existentialism
versions of the human scenes of the Gospels. But an adequate
and Barth’s neo-orthodoxy, the 1960s saw new theologies
symbol of the kingdom of God first appears in the nine-
that were oriented toward the future. For example, Wolfhart
teenth century in the many versions of The Peaceable King-
Pannenberg in his Theology and the Kingdom of God (Phila-
dom painted by the American Quaker primitive Edward
delphia, 1969) writes: “If the Kingdom of God and the mode
Hicks (1780–1849). These paintings illustrate Isaiah
of his existence (power and being) belong together, then 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
KINGDOM OF GOD
5153
message of the coming kingdom implies that god in his very
ian tradition of nonviolent resistance, writes (La grâce et le
being is the future of the world” (p. 61). And Jürgen Molt-
pouvoir, Paris, 1982, p. 206): “If I have been snatched out
mann in his Theology of Hope (trans. J. W. Weitch, London,
of the empire of darkness to enter into the kingdom, that is,
1967) holds that “the kingdom is present here as promise
into that part of reality where death has been eliminated, the
and hope for the future horizon of all things” (p. 223).
only means of combat left me is the Cross and not the revolv-
er.” After Martin Luther King Jr., the disciple of Rauschen-
Councils, Catholic and Protestant. Paul had defined the
busch and Gandhi, delivered his speech “I have a dream” at
kingdom of God as “righteousness and peace and joy in the
the Lincoln Memorial on August 28, 1963 (A Testament of
Holy Spirit” (Rom. 14:17). Those identifications are taken
Hope, ed. J. M. Washington, San Francisco, 1986, p. 217),
up in the documents of the Second Vatican Council (1963–
Coretta King commented: “At that moment it seemed as if
1965): “To the extent that [earthly progress] can contribute
the Kingdom of God appeared.” She added, “But it only last-
to the better ordering of human society, it is of vital concern
ed for a moment.” Contemporary belief in the kingdom of
to the kingdom of God” (Gaudium et Spes 39, cf. Lumen
God requires it to be reappropriated freshly by human beings
Gentium 5). Similarly, the Sixth Assembly of the World
at each historical turning point.
Council of Churches (Vancouver, 1983) affirms “the identi-
fication of the churches with the poor in their witness to
SEE ALSO Christian Social Movements; Kingship; Political
God’s kingdom”; and in its statement rejecting nuclear
Theology; Theocracy.
weapons says that “as we witness to our genuine desire for
peace with specific actions, the Spirit of God can use our fee-
ble efforts for bringing the kingdoms of this world closer to
BIBLIOGRAPHY
the kingdom of God.”
No comprehensive study of the topic exists. For a well-
documented source of texts from the ancient Near East and
The theology of liberation. A unity of piety with political
an extensive bibliography, see Thorkild Jacobsen’s The Trea-
struggle marks a new life in the Latin American church. A
sures of Darkness: A History of Mesopotamian Religion (New
key spokesman is the Peruvian Gustavo Gutiérrez, who
Haven, Conn.,1976). The Ugaritic data with relation to He-
writes: “The process of liberation will not have conquered
brew are clearly presented by Werner H. Schmidt in König-
tum Gottes in Ugarit und Israel: Zur Herkunft der Königs-
the very roots of oppression . . . without the coming of the
prädikation Jahwes, 2d ed. (Berlin, 1966). The most reliable
kingdom of God, which is above all a gift. . . . The histori-
surveys for the biblical material as a whole are Rudolf
cal, political liberating event is the growth of the kingdom
Schnackenburg’s God’s Rule and Kingdom (New York, 1963)
. . . but it is not the coming of the kingdom” (A Theology
and “Basileus” and related entries in the Theological Dictio-
of Liberation: History, Politics and Salvation, trans. Caridad
nary of the New Testament (Grand Rapids, Mich., 1964). For
Inda and J. Eagleson, Maryknoll, N.Y., 1973, p. 177). This
excellent surveys of Old Testament scholarship on Yahveh’s
theology is adapted to North American experience by James
kingship, see Joseph Coppens’s contribution to the entry
H. Cone, who in his A Black Theology of Liberation (Philadel-
“Règne (ou Royaume) de Dieu,” in the Supplément au Dic-
phia, 1970, p. 220) writes: “The appearance of Jesus as the
tionnaire de la Bible, vol. 10 (Paris, 1981), and the article
Black Christ also means that the Black Revolution is God’s
“Melek” by Helmer Ringgren et al. in the Theologisches
kingdom becoming a reality in America. . . . The kingdom
Wörterbuch zum Alten Testament, vol. 4 (Stuttgart, 1984).
Martin Buber’s Kingship of God, translated from the third
of God is what happens to a person when his being is con-
German edition (New York, 1967), is more theological than
fronted with the reality of God’s liberation.”
exegetical in its handling of the topic. John Gray restates the
The movement for justice and peace. Dom Helder Câ-
“enthronement-festival theory” uncritically but offers a thor-
ough bibliography in The Biblical Doctrine of the Reign of
mara of Recife has often said that the current world faces
God (Edinburgh, 1979).
twin threats: the actual “M-bomb” of misery and the poten-
tial holocaust of the A-bomb. In that situation, the most crit-
The rabbinic sources were first analyzed by Gustaf H. Dalman in
ical in history, many readers of the New Testament are find-
The Words of Jesus Considered in the Light of Post-Biblical Jew-
ing that its apocalyptic images of the end of the world, far
ish Writings and the Aramaic Language, rev. Eng. ed. (Edin-
from being alien to their mentality, are merely literal. To
burgh, 1909); see especially pages 91–102 in volume 1 on
the “kingship of heaven.” Thousands of rabbinic texts in
many Christian believers in the movement for justice and
German translation are included in Hermann L. Strack and
peace the kingdom of God has become the primary name for
Paul Billerbeck’s Kommentar zum neuen Testament aus Tal-
what is at work in them. James W. Douglass, in his Resistance
mud und Midrasch, 6 vols. in 7 (Munich, 1922–1961); see
and Contemplation: The Way of Liberation (Garden City,
especially the collection on “kingdom of God” in volume 1,
1972, p. 107), writes: “The way of revolution is the kingdom
pages 172–180. The use of the term kingdom in the Targum
because the revolution is the people coming together in a
is analyzed by Bruce D. Chilton in “Regnum Dei Deus Est,”
new humanity, ignited by a divine symbol given through the
Scottish Journal of Theology 31 (1978): 261–276.
man of truth—Jesus in the Temple and on the cross, Gandhi
For an introduction to the teachings of Jesus, see Hans Küng’s On
by the sea [on the salt march], the Berrigans at Catonsville
Being a Christian (Garden City, N.Y., 1976) and Günther
[destroying draft files].” In the slums of Sa˜o Paulo a French
Bornkamm’s Jesus of Nazareth (New York, 1960). The
priest, Dominique Barbé, drawing on an indigenous Brazil-
“form-criticism” (Formgeschichte) of the gospel materials, im-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5154
KINGSHIP: AN OVERVIEW
portant for assessing the historicity of the different sayings
Humphries, Michael L. Christian Origins and the Language of the
on the kingdom, was begun and almost ended with Rudolf
Kingdom of God. Carbondale, Ill., 1999.
Bultmann’s The History of the Synoptic Tradition, 2d ed.
Kainz, Howard P. Democracy and the “Kingdom of God.” Milwau-
(New York, 1968). On the Aramaic background of the say-
kee, Wis., 1995.
ings, consult Joachim Jeremias’s New Testament Theology:
The Proclamation of Jesus (New York, 1971). The case for
Liebenberg, Jacobus. The Language of the Kingdom and Jesus. New
making Jesus a political revolutionary has been restated by
York, 2000.
S. G. F. Brandon in Jesus and the Zealots (Manchester, 1967).
Malina, Bruce J. The Social Gospel of Jesus. Minneapolis, 2001.
For a bibliography of the research on Jesus’ sayings on the king-
O’Donovan, Oliver. The Desire of the Nations: Rediscovering the
dom, together with scrupulous exegesis of key ones, see
Roots of Political Theology. Cambridge,1996.
Jacques Schlosser’s Le règne de Dieu dans les dits de Jésus, 2
Phillips, Paul T. A Kingdom on Earth: Anglo-American Social
vols. (Paris, 1980). Two articles on the subject of Jesus’ say-
Christianity, 1880–1940. University Park, Pa., 1996.
ings are especially useful: Hans Windisch’s “Die Sprüche
vom Eingehen in das Reich Gottes,” Zeitschrift für die neu-
Viviano, Benedict T. The Kingdom of God in History. Wilmington,
testamentliche Wissenschaft 27 (1928): 163–192, and Heinz
Del., 1988.
Kruse’s “The Return of the Prodigal: Fortunes of a Parable
JOHN PAIRMAN BROWN (1987)
on Its Way to the Far East,” Orientalia 47 (1978): 163–214.
Revised Bibliography
Ernst Staehelin offers a very large annotated compilation of texts
from the Christian church in Die Verkündigung des Reiches
Gottes in der Kirche Jesu Christi, 7 vols. (Basel, 1951–1965).
The early church fathers’ treatment of the concept is indexed
KINGSHIP
in “Basileia,” in A Patristic Greek Lexicon, edited by
This entry consists of the following articles:
G. W. H. Lampe (Oxford, 1961). A reliable guide to Augus-
AN OVERVIEW
tine’s thought is Étienne Gilson’s The Christian Philosophy
KINGSHIP IN THE ANCIENT MEDITERRANEAN WORLD
of Saint Augustine (New York, 1960), especially
KINGSHIP IN SUB-SAHARAN AFRICA
KINGSHIP IN MESOAMERICA AND SOUTH AMERICA
pp. 180–183. For a brief introduction to the thorny contro-
KINGSHIP IN EAST ASIA
versy surrounding Luther’s doctrine, consult Heinrich
Bornkamm’s Luther’s Doctrine of the Two Kingdoms in the
Context of His Theology (Philadelphia, 1966). Arthur C.
KINGSHIP: AN OVERVIEW
Cochrane narrates the struggle within the German church in
The term kingship refers to a relatively complex and hierar-
The Church’s Confession under Hitler (Philadelphia, 1962).
chical structure of society in which a central figure—a king
Read in sequence, three works provide the history of scholarly re-
or, in certain cases, a queen—undertakes a unifying role that
search into the meaning of the kingdom in Jesus’ sayings:
acts as a value reference for the various groups that constitute
Christian Walther’s Typen des Reich-Gottes-Verständnisses:
the society. Depending on whether or not this function in-
Studien zur Eschatologie und Ethik im 19. Jarhundert (Mu-
nich, 1961) offers the perspective of nineteenth-century
volves a direct exercise of political power on the part of the
thinkers; Albert Schweitzer’s The Quest of the Historical Jesus:
person who is discharging it, the king may be considered a
A Critical Study of Its Progress from Reimarus to Wrede, 2d ed.
monarch, and the kingship may be identified as a monarchy,
(London, 1911), moves from Reimarus to Schweitzer him-
a word that technically may mean only a particular form of
self; and Gösta Lundström’s The Kingdom of God in the
government and nothing else. That the two terms do not
Teaching of Jesus: A History of Interpretation from the Last Dec-
correspond is well expressed by the saying that, in many
ades of the Nineteenth Century to the Present Day (Edinburgh,
cases, the king “reigns but does not govern.” It is also possible
1963) moves forward to the 1960s. The most extensive con-
to govern in an absolute fashion, as a monarch, by holding
temporary work is the lifetime opus of Norman Perrin: The
military office or administering justice without being legiti-
Kingdom of God in the Teaching of Jesus (Philadelphia, 1963),
mately entitled to do so. In such cases the one who governs
Rediscovering the Teaching of Jesus (New York, 1967), and
does so by relying almost entirely upon force, making the
Jesus and the Language of the Kingdom: Symbol and Metaphor
in New Testament Interpretation (Philadelphia, 1976). Wer-
role of engendering social cohesion difficult, which is the first
ner B. Kümmel’s Promise and Fulfillment: The Eschatological
duty of a king.
Message of Jesus (Naperville, Ill., 1957) is also useful.
On this basis, then, one can understand that the interest
Numerous texts otherwise barely accessible are cited in H. Richard
in the subject shown by anthropologists and religious histori-
Niebuhr’s The Kingdom of God in America (Chicago, 1937);
ans stems from the fact that the word kingship refers not only,
his schematism is to be taken with reserve.
and not so much, to a form of government but also to a sup-
New Sources
posed quality belonging to the person who embodies the
Blumenfeld, Bruno. The Political Paul: Justice, Democracy, and
king that sanctions his legitimacy—if not to govern, then at
Kingship in a Hellenistic Framework. London, 2001.
least to reign. This quality has been given various names,
Chilton, Bruce. Pure Kingdom: Jesus’ Vision of God. Grand Rapids,
even in the Western tradition, such as majesty or dignity—
Mich., 1996.
and the word kingship itself has been used. It consists of pre-
Fuellenbach, John. Church: Community for the Kingdom. Mary-
cisely those attributes that mark out the king as exceptional,
knoll, N.Y., 2002.
that make him, in the eyes of his subjects, a sacred person,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: AN OVERVIEW
5155
a moral authority, a common reference point because of his
only an exemption from the obligation to obey normal rules
universal value, with consequent displays of devotion and re-
but also the observation of rules that on this occasion apply
spect toward his person and his family, ancestors included.
only to him. For the most part this involves submitting to
The analysis of this sacred role has had important conse-
a whole series of taboos, which serve to conceal the clearly
quences for the broad understanding of power in general. If
human traits of the sovereign. Thus, in many traditional so-
it is indeed true that any form of power is still considered
cieties—the Jukun in Nigeria, for example—he cannot be
sacred—inasmuch as it represents a kind of transcendency,
seen while doing everyday things such as drinking, eating,
expressing a cultural method that humankind has at its dis-
sleeping, or directly touching the ground. Various figures—
posal by which it can escape from the condition of contin-
wives, sisters, dignitaries, and servants who always gravitate
gency—it is also true that, in acquiring such an awareness,
around the court—ensure strict adherence to this protocol.
which finds its most extreme expression in the idea that po-
They share in the sacred nature of the king to varying degrees
litical science is a chapter in the comparative historical study
and are particularly involved at those moments most loaded
of religion (Debray, 1981; Heusch, 1987), thinking regard-
with symbolism, such as during the actual investiture cere-
ing the particular forms of power that constitute kingship,
mony, when the new king is dressed in his robes, changes
typified by association with a detailed set of rituals and a rich
his name, and receives his royal insignia; or at the time of
mythology, has played no small part.
the funeral rites, which may also involve killing his relatives
or particularly close servants, such as someone who is regard-
DEFINING KINGSHIP. Examples of kingship may be drawn
ed as his double.
from all four corners of the world, from ancient China to
Mexico, from the Egypt of the pharaohs to Mesopotamia,
DEATH OF A KING. The death of a king is a highly significant
from the kingdoms of equatorial Africa to those of Polynesia.
event. It is the most dramatic event for the community, ex-
Although far apart in space and time, these societies often
posing the fiction that the sovereign is different from mere
show surprising similarities even when they differ markedly
mortals. It is an event best kept secret for as long as possible
in other respects, such as their size. Indeed, it has been noted
and surrounded with the utmost discretion, from a practical
that the traits that largely identify kingship (insofar as not
point of view, to ensure the future plans for the succession
being exclusively a form of government) are also present in
and because of the worry such news can provoke among the
forms of tribal organization, and their ultimate roots come
general populace, who regard as an apocalyptic event the ter-
directly from Neolithic social structures. This seems to sug-
mination of the cosmic and social order the king ensured.
gest the importance attributed to the cult of ancestors—or
Hence, the concern in many societies is to keep the interreg-
even the well-known motif symbolically identifying the fig-
num to a minimum, because it is a period of chaos, real or
ure of the king with the father figure, understood not so
imagined. To appoint a successor in advance or to appoint
much as a parent but rather as one who provides nourish-
a figure to function as regent (in many cases the queen moth-
ment and, more generally, as a principle of authority.
er) is one measure adopted to deal with this situation.
This attitude toward the dangers of interregnum is not
The African continent provides numerous examples of
the exclusive concern of societies that are little more than
this model of kingship (e.g., Mair, 1977; Vansina, 1966),
tribal, but is a danger every kind of kingship must face. It
where the main function of the king is not so much to govern
shows one of the most symbolically specific characteristics of
as to engage directly with the forces of nature to ensure fertil-
the institution itself. The solutions adopted may be different,
ity and prosperity for the community. He has powers, such
but the guiding spirit that lies behind them remains the
as the ability to ensure rain, and he must demonstrate their
same. A glance at historical events in Europe tells the story
supposed effectiveness or, in certain cases, must pay with his
more eloquently than numerous ethnographic examples, be-
life for his ineffectiveness. These are some of the traits that
cause it also serves as a better antidote to any attempt to di-
make up what is sacral in the broadest sense and in many
minish the importance of that mystical aspect that is a cons-
cases differ only in detail. Generally, the idea is that the king
tant mark of kingship all over the world and at every level
guarantees the order of the universe via his privileged contact
of social complexity.
with the restless world of nature, inhabited by many invisible
forces. This enhanced closeness is clear from his being per-
To deny the interregnum is to deny the mortality of the
mitted to transgress the laws of the land, which indicates that
king. This fiction was maintained in Renaissance Europe by
he does not belong to the social group that is obliged to fol-
the French and British monarchies by creating an effigy of
low rules by which he is not bound. Among these transgres-
the dead king, which was waited upon as if it were the living
sions, one of the most significant is the practice of incest that
king himself (Giesey, 1960). This ritual practice was the
often accompanied enthronement—a kind of hierogamy, ac-
starting point for the doctrinal elaboration (the subject of a
cording to Luc de Heusch (1987), that reveals to the greatest
masterly 1957 study by Ernst H. Kantorowicz) according to
degree the alienation of the king from the obligation to obey
which the king possessed two bodies: one natural and one
the rules that bind the community.
political. Only the first one was mortal, whereas the second
was regarded as a corporation sole, constituted of a single per-
Nevertheless, the emphasis upon the alienation and sep-
son considered eternal. The insignia, which symbolized the
arateness of the king from the general populace means not
eternal nature of the royal institution, was the crown.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5156
KINGSHIP: AN OVERVIEW
The analogies are more significant than the differences,
and the macrocosmos. Volkoff thus restates in an elegant
evidence of a political symbolism, a reality encompassing
fashion that legitimacy best describes the fundamental differ-
both tribal and centralized states. For these reasons, too, as
ence between a king and a pure and simple monarch.
with the distinctions between kingship and monarchy, some
modern scholars of kingship consider it necessary to move
How then is the legitimacy of a monarch established?
to a less-marked identification between the kingship and the
In other words, what is it that makes a rex—a term with a
state (Simonse, 1992), and this has widened the field of
much older meaning, as the studies of Émile Benveniste
study, especially from an ethnological perspective. Ideas such
(1969) suggest—more concerned with the figure of the priest
as the segmentary state (Southall, 1956) or the clan state
than of the sovereign? Of the two main theories on the origin
(Adler, 1982) now rank alongside the more classical division
of kingship, the first holds that it originates from within the
between societies based upon ancestral lineage and those
social group, while the other holds that it has external ori-
based upon the state, considered a throwback to nineteenth-
gins, such as the result of military conquest. The majority
century thinking (Tardits, 1980). It has thus become easier
of available historical and ethnographic data supports the
to agree with the argument of Roland Mousnier (1989), stat-
second hypothesis.
ing that groups deal with a kingship every time a leader is
In the theory of the ritual origin of the kingship, which
deemed to be in a privileged relationship with surrounding
proposes the internal origin of the institution, the problem
forces that, on the basis of accepted categorization, are con-
of legitimacy is in a sense already solved. To repeat the above
sidered supernatural.
distinction, it could be said to be a matter of demonstrating
“Ritual” and “politics” can be found together also in
the transition from king to monarch, from an individual
simpler societies than those traditionally defined as kingships
symbol—the moral and religious reference point of a broad
or monarchies. To assume this seems to be the only way to
range of groups who remain autonomous in terms of politi-
agree with those authors, for example Valerio Valeri (1980),
cal, judicial, and administrative decisions—to an individual
who warn that, as far as kingship is concerned, to try to estab-
with the power to command all of these groups, which are
lish an evolutionistic relationship between the categories
reduced to unimportant objects and accept his authority.
above mentioned is misleading.
For the opposing theory, which supports the external
To return to the theory of the ritual origin of kingship
origin of the kingship, the problem is to analyze the transi-
formulated by James G. Frazer (1890) and restated by Arthur
tion from monarch to king, the shift from a character origi-
M. Hocart (1927) and the Myth and Ritual school (Acker-
nating as a result of force to one accepted by the group be-
man, 1991), it should be clear that this will never mean the
cause of a recognition of his exceptional nature, which makes
ritual origin of politics itself, an activity that, at least in the
him appear sacred and gives him legitimacy in the eyes of the
generally accepted sense of the guidelines about decisions
entire community. The historical dynamics are naturally dif-
taken with regard to matters of common concern, presum-
ferent. When the king and the monarch are not the same per-
ably has existed in all human societies. As far as the theory
son, the legitimization of power almost always occurs in the
of the ritual origin of the kingship is concerned, its fortunes
form of a dyarchy. Analysis of a specific example clarifies how
stem at least in part from the fact that it flourished in a peri-
all this develops and the different institutional arrangements
od when it was firmly believed that politics was an activity
that may occur.
that took place exclusively in those societies considered
states.
Two qualifications become appropriate. The first is that
the force with which a stranger imposes himself upon a pop-
A further implication of the distinction between king-
ulace is still perceived, on the part of those subdued, in cul-
ship and monarchy may be the fact that the sacred nature
tural terms as the expression of a superior power—of which
of the king may be more clearly specified when one defines
he is the embodiment, or with which he has privileged rela-
categories such as legitimacy and sovereignty. Thus, Mousnier,
tions. In this sense, the warring conqueror already has a sa-
in his attempt to clarify the distinction between a king and
cred dimension, for he is already seen as the expression of
a monarch, uses various figures to illustrate the differences
a power with which he enjoys a privileged relationship. The
between the two. In seventh- and sixth-century BCE Greece,
second qualification is closely linked to the broad definition
for example, the term tyrant had not yet acquired any pejora-
of kingship that has been adopted. On this basis the majority
tive connotation but indicated simply an illegitimate king,
of ethnographic and historical examples put forward by
one not meant to take the throne. The tyrant was thus a
scholars to illustrate the appearance of kingship deal with
usurper who, albeit for the common good, illegitimately as-
simply the appearance of a new kind of kingship, that is, a
sumed power in particular circumstances.
different institutional arrangement of the relationship be-
ORIGIN OF KINGSHIP. Vladimir Volkoff (1987) states that
tween the mystical and political elements of power. Finally,
whereas a monarchy might be abruptly established, this is
it should be added that it is not always clear, when talking
not so with kingship, which may only exist as a shared insti-
of kingship established via conquest, if the society from
tution with a real or mythical past presenting a stable and
which the conquerors come is already familiar with a reason-
reassuring figure, an intersection between the microcosmos
ably stable, regal organizational structure of some sort, or 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
KINGSHIP: AN OVERVIEW
5157
a particular kind of leadership has been drawn up to carry
persistent popular image of the king. Marc Bloch (1924), in
out the conquest.
his now classic study, described the magical powers attribut-
ed to the medieval king, such as the ability to cure scrofula,
However that may be, to recall some classical examples,
and Yves-Marie Bercé (1990) investigated the equally fasci-
the documentary evidence related to both ancient Egypt and
nating topic of the king who is not dead but in hiding and
Mesopotamia refers to the existence of an earlier form of
will return to his people. These works provide evidence of
kingship. In the first case, the theriomorphic symbolism as-
the important mythological background that surrounds
sociated with the kingship (e.g., falcon, scorpion) is too var-
kingship even in Europe, which experienced the formation
ied not to allude to previous models of regal organizational
of the modern state, and evidence of the profitable use of the
structure predating the glory of the pharaonic age. As for
results of more than a century of anthropological research on
Mesopotamia, the royal Sumerian genealogy recalls ancient
this subject.
nomad kings, leaders who “live in tents,” suggesting a model
of kingship, perhaps rather uncertain, that preceded the
THE DIVINE KING AND THE RITUAL REGICIDE. The history
complex organization of the city-state centered on the
of this research can be traced back to the publication of The
temple.
Golden Bough by James G. Frazer in 1890. This work deals
with the theme of kingship, in particular its magic and sacred
The origins of the kingship of the Congolese, a Bantu
aspects, expanded upon in subsequent editions. It was the
people of West Africa, provide a good example of a frequent
first important theoretical comparative formulation. It ex-
model for the construction of legitimacy by a foreign king.
presses the idea that the attribution to certain individuals of
Lukeni, a fourteenth-century warrior not in command in his
presumed magical powers that enabled them to interact with
own circle of influence, emigrated with some of his followers
the forces of nature and positively influence it was decisive
and subdued the Ambundu, who were organized in small
in them assuming the roles of chiefs and kings in the first
chiefdoms. He married the daughter of a powerful local
human societies. One of the consequences of their privileged
priest, the mani cabunga, the guardian of supernatural pow-
contact with the forces of nature would have been concern
ers, and he ordered his men to marry local women and take
for their physical condition, the fear that their degeneration
on their tribal name. In this way he began a process of territo-
would drag down the whole universe with it. To prevent this
rial expansion, whereas the priest, as well as retaining his tra-
catastrophic hypothesis from becoming reality, it was
ditional ritual functions, was to play an important part in the
thought necessary to anticipate the natural death of the king
enthronement ceremony of future kings and thus legitimize
and kill him first, which would allow his soul to be trans-
their governance.
ferred to a stronger successor, and his physical well-being
Japan provides a different model. Here the mikado, or
would thus be harmoniously linked via the sympathetic prin-
emperor, was considered a descendant of the sun goddess
ciple of magic to that of the whole universe.
Amaterasu and was surrounded by an ostentatious ritual. He
In the first edition of The Golden Bough, the killing of
was regarded as endowed with miraculous powers and was
the king does not appear as a relevant feature when the au-
perceived as an intermediary between the people and the di-
thor speaks of the “divine King,” a person distinct from the
vine cosmos. He did not engage in governmental functions,
“magical King,” the most meaningful example of which is
which was the role of the shogun who held military power.
provided by the Japanese mikado. It does appear in the third
Western Christianity offers yet another model based
edition (1911–1915), when Frazer inserts a reference in the
upon the fact that monotheism puts forward a transcendent
fourth volume of the work (1911), which eventually reached
god in contrast to the equality of all humanity. In this in-
twelve volumes, to the Shilluk of the Sudan, among whom,
stance the king cannot be considered divine in origin, as in
according to a letter sent him by Charles G. Seligman on De-
Japan, or be confused with a god, as with the Egyptian pha-
cember 13, 1910, regicide was practiced until a few years pre-
raoh. The religious realm remained firmly in the hands of
vious. The subject of ritual regicide acquired a central place
a complex ecclesiastical apparatus that was involved in coro-
in the discussion of sacred or, as Frazer put it, “divine” king-
nations from the eighth century until the time of Charles X
ship. Perhaps because the paroxysm seemed to embody it
in 1825 in France at Rheims, during which period the king
best, or perhaps because he was deliberately referring to the
was religiously anointed. The entire history of Europe con-
most archaic period of the institution of the kingship, Frazer
sists of continuous attempts by the church and the state to
thought it the expression of a still savage sense of the sacred
assert their own superiority. The result was not so much a
that shed light upon the nature of the kingship in his subse-
differentiation of roles, as in the preceding examples, but
quent histories. Scholars were naturally reluctant to ignore
rather, as Kantorowicz has explained, an attempt to imitate
the importance of these references in the picture of an evolu-
each other, which is particularly evident in certain rituals of
tionistic interpretation of the kingship.
clothing and which culminated, as far as the king was con-
This evolutionary outlook still retains its appeal when
cerned, in the claim that the sovereignty was divine in origin.
kingship and, particularly, ritual regicide are discussed. In
Alongside this institutional scenario, which in historical
the late twentieth century, William G. Randles (1968) gath-
terms was interrupted by the French Revolution, there is a
ered the various references to this subject in subsequent an-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5158
KINGSHIP: AN OVERVIEW
thropological literature into a structured plan that identifies
seen in institutional terms. These were viewed by Frazer as
four possible stages in the evolution of the kingship. At the
the result, or at least the reflection, of certain beliefs. The
first level, the society actually determines in advance the
similarities between societies that were far apart from each
length of the king’s reign, thus indicating the maximum con-
other in terms of space and time were, for Frazer, an indica-
trol over his fate. At the second level, regicide takes place at
tion that the societies were at more or less the same stage of
the first signs of the sovereign growing old. At the third, the
intellectual development. For the functionalists the reverse
sovereign is obliged to prove that he is worthy of the throne
was the case. Beliefs were no longer the central issue; it was
by undergoing trials in which he risks his own life. Only at
the need for structured social integration that was important
the fourth stage does the king gain control of his own fate
and that provided the key to interpreting the ideology and
and acquire the right to die a natural death.
symbolic practices, including those in which such societies
This representation is useful in that it attempts to incor-
were similar. The analysis was therefore mainly synchronic
porate a wide range of ethnographic evidence within an ap-
in nature, so origins are discussed only in a figurative sense.
parently logical sequence where certain events, regarded as
The “origins” of a cultural phenomenon are only found
horrifying to modern sensibilities, are not denied as such but
within the society in which it is exhibited. They are the place
are instinctively moved back to the distant past. This, howev-
it occupies and the function it performs taken as a whole.
er, encourages an inflexible interpretation, which is still un-
The rich symbolism associated with the kingship is thus es-
acceptable.
sentially seen in terms of the need for group social cohesion.
The diffusionist viewpoint is similar and can be consid-
One of the most important monographs with this ap-
ered a less rigid form of evolutionism, with more regard for
proach was published by Hilda Kuper (1947) and concerned
the definite historico-geographical links of cultural factors.
the Swazi, who celebrate the ncwala ritual. This provided the
The most important works of this school, such as the mono-
starting point for Max Gluckman to provide details of the
graph by Charles K. Meek (1931) on the Jukun of Nigeria,
category in “Rituals of Rebellion” (1963). The category al-
in which he adduces symbolic parallels with ancient Egypt,
lowed the various phenomena of puppet kings, scapegoat
remain essentially faithful to Frazer’s view. The first attempt-
kings, or kings humiliated or mocked in literature to be in-
ed classification of this representation was by Seligman
terpreted as dramatic representations of the conflict that
(1934), who in his Frazer Lecture of 1933 summarized the
would end with the reaffirmation of the unchangeable nature
essential features of the so-called divine king. For him a king
of the existing order, the renewal and re-endorsement of the
was divine if:
kingship. The evidence may be ethnographic as well as his-
toric, as in the case of the New Year ceremony (akitu) of the
1. He was able to exercise influence, voluntary or other-
ancient Babylonians, the Roman Saturnalia, or various ritu-
wise, over the forces of nature;
als that accompanied Carnivals in European history. Once
2. He was regarded as the dynamic center of the universe;
again it raises, albeit only indirectly, the matter of the inter-
3. His daily actions were meticulously controlled and con-
regnum. It raises fear of the specter of anarchy in order to
stantly checked;
forestall it.
4. He had to be put to death when his powers declined so
With regard to the question of regicide, the clearest ex-
that his weakness did not drag down the whole kingdom
pression of the functionalist view is the reinterpretation of
with it.
the case of the Shilluk in the work of Edward E. Evans-
Pritchard (1963/1948). For this people, the author contests
The final point is the most interesting one because it became
the previous picture of a centralized society and holds that
the criterion by which to identify the figure of the divine
the king reigns but does not govern. The Shilluk lands are
king and distinguish him from the sacred king. In practice,
subdivided into autonomous areas, with regard to which the
divine kings were those who were not able to die natural
king acts as the focus of social cohesion. He is regarded as
deaths but had to be ritually killed. The fact that this charac-
the descendant of Nyikank, the hero and founder of the en-
teristic has remained difficult to demonstrate from empirical
tire people. This identification makes him the center of
evidence, and in many kingdoms is not hinted at even in
moral values, leading to the creation of a system that links
mythological traditions, has led the majority of scholars to
together religion, cosmology, and politics. Furthermore, sa-
prefer the expression sacred (or sacral) kingship. This may
crality, according to Evans-Pritchard, was not an attribute of
be seen from the title “The Sacral Kingship” given to the
the king himself but of the office of kingship. The legitimacy
Eighth International Congress of the History of Religions,
of an individual king’s reign could thus be revoked if it was
on the subject of kingship, held in Rome in 1955. Its pro-
felt that he did not satisfactorily embody the kingship. The
ceedings were published in 1959.
belief that the king should be killed in particular circum-
In the meantime, the diffusionist trend has been giving
stances was cleverly exploited by those who had ambitions
way to a functionalist interpretation that provided the first
of power and were excluded from it. The regicides were
real alternative to Frazer’s model. What had previously been
therefore nothing more than political murders disguised as
analyzed in terms of cast of mind and superstitions was now
ritual killings.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: AN OVERVIEW
5159
The concern to dispense with Frazer meant that this in-
The most profitable application of these suggestions has
terpretation held sway for some time, although it was in fact
been a reinterpretation of Congolese kingship in the work
somewhat contradictory. To begin with, it talked of a king
of Kajsa Ekholm Friedman (1985). This author demon-
who reigns but does not govern, though at the same time it
strates that, contrary to the frequent representation of the
considered the regicide as motivated by ambitions of power.
kingship as the transition from a “purely symbolic” king to
a plenipotential king, in the case of the Congo the situation
A further unconvincing point concerns the clear distinc-
is precisely the opposite. Whereas initially the king’s sover-
tion between the person and the office, with the resulting
eignty and effective power are clearly displayed, in more re-
transfer of the sacrality issue to the latter. Michael W. Young
cent times, as a result of the disintegration produced by colo-
(1966) drew attention to this in an essay that began by recon-
nial impact, events have led to the scapegoat procedure, the
sidering the case of the Jukun. In his view the position taken
coronation of marginal individuals who are given the title of
by Evans-Pritchard considered the body of the sovereign as
king and humiliated in every possible way. Thus, what one
a mere vessel. The fact that a social and cosmic bond may
would prefer to think of as a remnant of a previous age is
conceivably be identified with a physical body must have re-
more effectively interpreted if related to current events.
percussions (in terms of the sacrality) for the individual
whose body is thus identified. Referring to the distinction
Allowing for the plausibility of ritual regicide does not
made by Kantorowicz concerning medieval and Renaissance
necessarily imply adherence to an evolutionist view of king-
English kings, Young makes the point that, for the Jukun,
ship. This important lesson, which is based upon an open
the body of the king is different from those of the common
attitude to actual historical investigation, was illustrated by
populace in that it is linked to juwe, a quality that can be
the comparative analysis of Nilotic societies by Simon Si-
compared to what English jurists saw as the dignitas of the
monse in Kings of Disaster (1992). This important study not
political body of the king, which was immortal, as opposed
only includes instances of regicide as the result of a failure
to his physical body. The regicides were thus ritual acts with
to make the rains fall—including in the late twentieth centu-
political consequences, rather than the opposite.
ry (in 1984 in the case of the queen of the Sudanese Bari),
it also stresses that regicide per se is not necessarily the defi-
The strength of the arguments against the Evans-
nite outcome but only one possible result, albeit the most
Pritchard position could not be clearer. They were reinforced
dramatic, among a series of alternatives that remain open to
by so-called neo-Frazerians, the most representative of whom
the society until the last moment.
is Heusch, who began his own study of sacred kingship in
1958, concentrating in particular on the symbolism of royal
Similar historical observations are made by Claude
incest and more generally advancing a comparative analysis
Tardits (1980, 1990) and Dario Sabbatucci (1978). Tardits
with the Bantu kings on the figure of the sacred king as a
rejects the concept of the divine king and is reluctant, as far
transgressor of rules. The same subject was dealt with by
as Africa is concerned, to use even the notion of the sacred
other authors, such as Laura Makarius (1974) or Alfred Adler
king, remarking how, in this case, one may speak of sacrality
(1982) with respect to the Mundang of Chad and Jean-
and transcendence only by referring to the cult of ancestors
Claude Muller (1980) regarding the Rukuba of Nigeria. The
and is still, it may be added, a form of eschatology. Sabbatuc-
last two authors regarded the kingship as an essentially sym-
ci is even more skeptical. He starts by correctly urging cau-
bolic structure, thus restoring the theoretical plausibility of
tion about whether the populations studied by ethnologists
ritual regicide.
may really shed retrospective light upon previous millennia,
as based upon a conjectural model of history. He then turns
Nevertheless, despite an inclination to consider ritual
to an extreme theory, according to which eschatology was an
regicide as widely practiced, the neo-Frazerians, by paying
entirely Egyptian creation, produced by the historical experi-
scant attention to historical dynamics, are unable to get past
ence of kingship. Life in the next world, previously the exclu-
the idea that it should be placed at the beginning of institu-
sive privilege of the pharaoh, became available to the people.
tional history. They thus ignore important occurrences of rit-
This process, in so far as it is real, should not be regarded
ual killing that are much more recent and do not tally with
as something absolute, as a one-way journey. Power may not
an implicitly evolutionist outlook.
be redistributed unless it has previously been assumed. If so-
A theoretically important suggestion to overcome the
cieties are indebted to kingship for the creation of more so-
limitations of this outlook could be to adopt the idea of the
phisticated models of transcendence, this is not the case
sacré sauvage put forward by Roger Bastide (1975). Bastide
when it comes to the longing for transcendence per se. The
uses this idea to highlight the fact that, in contexts that are
immortality gift historically offered by kingship was appreci-
particularly dramatic in terms of cultural impact, the sacred
ated because people could recognize the fulfillment of a pre-
manifests itself not in a tame, domesticated manner but in
vious shared aspiration in it.
all its explosive violence, giving rise to unexpected events that
KINGSHIP AND TRANSCENDENCE. The idea that kingship
most people would be inclined to relegate to the remote past.
represents a particularly attractive model of transcendence,
Colonial impact has certainly been one of those situations
as one of the principal gauntlets thrown down by humans
that have produced a kind of historical reversal.
in the face of death, may be recognized in the fact that poets
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5160
KINGSHIP: AN OVERVIEW
and writers have long been interested in this custom. Authors
himself, from society, from nature, from the cosmos” (Bon-
such as Homer, William Shakespeare, Luigi Pirandello, Eu-
vecchio, 1997, p. 36). To rediscover the original idea of sov-
gène Ionesco, Italo Calvino, VladimirVolkoff, Elias Canetti,
ereignty would therefore mean to master the real self, and
and many others have produced memorable writing on the
thus be not so much a political battle as an existential one.
subject of kingship. They have enlightened readers in many
Can one consider this battle politically neutral? Maybe so,
ways, and even as far as regicide is concerned, one may begin
but only on condition of avoiding the temptation to try to
to understand that the most incisive writing may be con-
buttress it with the firm support of an institution to justify
tained in literary works (Vaughan, 1980). The sacrality of
and promote it. A true poet does not need it.
the king may only be understood when one sees the kingship
of humanity, and in this regard poets have great vision. Thus,
SEE ALSO Charlemagne; Constantine; Myth and Ritual
in the analysis of kingship, more so than in other fields, Aris-
School; Theodosius.
totle’s theory that poetry expresses a more philosophical and
universal form of knowledge than history may be productive-
BIBLIOGRAPHY
ly cited (Riccardo, 1997).
Ackerman, Robert. J. G. Frazer: His Life and Work. Cambridge,
U.K., 1987.
However, bringing this kind of thinking to bear con-
Ackerman, Robert. The Myth and Ritual School. New York, 1991.
cerning kingship involves the danger of becoming involved
Adler, Alfred. La mort est le masque du roi. Paris, 1982.
in the actual political defense of kingship. In other words,
Balandier, Georges. Sociologie actuelle de l’Afrique noire. Paris,
if the figure of the king is perceived as extremely close to, if
1955.
not directly linked to, human nature itself, a little like God
Bastide, Roger. Le sacré sauvage et autres essais. Paris, 1975.
in the philosophy of Saint Augustine, empirical consider-
ation of his absence from the political and institutional stage
Benveniste, Émile. Le vocabulaire des institutions indo-européennes.
may be transformed into a kind of disquiet, rather like that
Paris, 1969.
presumably felt by those traditional societies at the physical
Bercé, Yves-Marie. Le roi caché: Sauveurs et imposteurs; Mythes poli-
decline of their sovereign. In this case, analysis of kingship
tiques populaires dans l’Europe moderne. Paris, 1990.
and what it may have symbolized for peoples who experi-
Bertelli, Sergio. Il corpo del re: Sacralità del potere nell’Europa medi-
enced it is cloaked in a thinly disguised nostalgia for a bygone
evale e moderna. Florence, 1990.
age. Kingship is seen as a panacea for the ills of the modern
Bloch, Marc. Les rois thaumaturges: Étude sur le caractère surnaturel
world, whereas modernity itself is considered in its turn to
attribué à la puissance royale particulièrement en France et en
be a kind of interregnum, a void to be filled in the near fu-
Angleterre. Strasbourg, France, 1924.
ture. One moves from kingship as poetry to kingship as ther-
Bonvecchio, Claudio. Imago imperii imago mundi: Sovranità sim-
apy.
bolica e figura imperiale. Padua, Italy, 1997.
Canetti, Elias. Masse und Macht. Hamburg, Germany, 1960.
Such ideas are common in certain general studies on
kingship. Thus Jean Hani (1984) is interested in the subject
Cerulli, Ernesta. Ma il re divino viaggiava da solo? Problemi e con-
traddizioni di un “complesso culturale” di diffusione quasi un-
of kingship as a way to denounce modern Western secular
iversale. Genoa, Italy, 1979.
thinking and the idea that sovereignty resides in the people.
He highlights the unifying role of kingship, that individuals
Debray, Régis. Critique de la raison politique. Paris, 1981.
thus become part of a mystical Body, whereas secular politi-
Ekholm Friedman, Kajsa. “Sad Stories of the Death of Kings.” Et-
cal regimes operate in the opposite way, fragmenting society
hnos 50 (1985): 248–272.
with subsequent conflict between its different parts, which
Evans-Pritchard, Edward E. “The Divine Kingship of the Shilluk
are completely divided. It is clear that the historical advance
of the Nilotic Sudan.” 1948. Reprinted in Essays in Social An-
of pluralism is denigrated here, perceived as irremediable
thropology, pp. 66–86. New York, 1963.
chaos, a kind of interregnum, as opposed to those systems
Feeley-Harnik, Gillian. “Issues in Divine Kingship.” Annual Re-
in which the sacrality of power would be able to ensure har-
view of Anthropology 14 (1985): 273–313.
mony between the whole and the parts.
Frazer, James G. The Golden Bough. London, 1890.
Frazer, James G. The Golden Bough. 3d ed., 12 vols. London,
The thinking on royal, or rather imperial, symbolism of
1911–1915. See vol. 4, The Dying God.
Claudio Bonvecchio (1997) is mostly similar in tone. His
analysis starts from a statement of the degeneration of the
Giesey, Ralph E. The Royal Funeral Ceremony in Renaissance
France. Geneva, 1960.
current liberal idea of popular sovereignty, where the king
(rex) is replaced by the law (lex), a barren standard that will
Gluckman, Max. “Rituals of Rebellion in South-East Africa.” In
never be able to replace the symbolic richness, particularly
Order and Rebellion in Tribal Africa, pp. 110–136. London,
1963.
as expressed imperially, because this is the best embodiment
of the original model of sovereignty. Even more so than
Hani, Jean. La royauté sacrée: Du pharaon au roi très chrétien. Paris,
Hani, he emphasizes the “prescriptive emptiness of charac-
1984.
ter” of sovereignty in the secular age, which is like “a patholo-
Heusch, Luc de. Ecrits sur la royauté sacreé. Brussels, 1987.
gy which denies any meaning to man, alienating man from
Hocart, Arthur M. Kingship. London, 1927.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: KINGSHIP IN THE ANCIENT MEDITERRANEAN WORLD
5161
International Congress for the History of Religions. The Sacral
A second point has to be highlighted: our knowledge of
Kingship. Leiden, Netherlands, 1959.
the forms of kingship in the ancient civilizations of the Medi-
Kantorowicz, Ernst H. The King’s Two Bodies: A Study in Mediae-
terranean depends almost exclusively on written sources; if
val Political Theology. Princeton, N.J., 1957.
these are lacking, our research is forcefully limited. The old-
Kuper, Hilda. An African Aristocracy. London, 1947.
est epigraphs appear around 3100 BCE in the town of Uruk,
Mair, Lucy. African Kingdoms. Oxford, U.K., 1977.
in lower Mesopotamia, when the phenomenon of the birth
Makarius, Laura Levi. Le sacré et la violation des interdits. Paris,
of the first cities was culminating. Unfortunately, these give
1974.
no insight into the kind of government ruling the society at
that time. After a short period, writing also appeared in
Meek, Charles K. A Sudanese Kingdom. London, 1931.
Egypt (c. 3000 BCE). It is a common opinion that Mesopota-
Meillassoux, Claude. Anthropologie de l’esclavage. Paris, 1986.
mian influence played a major role in the birth of writing
Mousnier, Roland. Monarchies et royautés: De la préhistoire à nos
in Egypt, which is probably true, but the hieroglyphic system
jours. Paris, 1989.
has distinct and different features from the Mesopotamian
Muller, Jean-Claude. Le roi bouc émissaire. Quebec, 1980.
cuneiform. In Mesopotamia a certain number of archives
Randles, William G. L. L’ancien royaume du Congo des origines à
and libraries throw light on its institutions, but there is a
la fin du XIXe siècle. Paris, 1968.
grave lack of continuity and homogeneous information.
Riccardo, Gaetano. L’immortalità provvisoria: Antropologia del re-
Even more sporadic are the written sources from the Syro-
gicidio rituale in Africa. Turin, Italy, 1997.
Palestinian area where, before the first millennium BCE, we
Sabbatucci, Dario. Il mito, il rito, e la storia. Rome, 1978.
find only the great archive of Ebla (twenty-fourth century
Seligmam, Charles G. Egypt and Negro Africa: A Study in Divine
BCE), Mari (from the same period to the eighteenth century
Kingship. London, 1934.
BCE), and Ugarit and Emar (Late Bronze Age). Anatolia, as
Simonse, Simon. Kings of Disaster. Leiden, Netherlands, 1992.
well, has provided scattered bits of information; one has the
Southall, Aidan W. Alur Society. Cambridge, U.K., 1956.
documents of the Assyrian traders of the beginning of the
second millennium and, afterwards, the archives and library
Tardits, Claude. Le royaume bamoum. Paris, 1980.
of Hattushash-Bogazköy up to about 1200 BCE. Recent dis-
Tardits, Claude. “A propos du pouvoir sacré en Afrique: Que dis-
coveries have added minor archives, although these, too, con-
ent les testes.” Systèmes de pensée en Afrique noire 10 (1990):
tain material restricted to the same time span. The first mil-
34–48.
lennium is not very well documented by the Hittite
Valeri, Valerio. “Regalità.” In Enciclopedia Einaudi, vol. 11,
hieroglyphic inscriptions (from the Hittite period to the
pp. 742–770. Turin, Italy, 1980.
eighth century BCE) nor by the epigraphs written in the local
Valeri, Valerio. Kingship and Sacrifice: Ritual and Society in Ancient
languages and writings. Ancient Iran is almost completely
Hawaii. Chicago, 1985.
undocumented (with the remarkable exception of the Avesta,
Vansina, Jan. “A Comparation of African Kingdoms.” Africa 32,
written—terminus ante quem—before the fifth century BCE),
no. 4 (1962): 324–335.
in spite of the epigraphic heritage of the so-called proto-
Vansina, Jan. Kingdoms of the Savanna. Madison, Wis., 1966.
Elamic and Elamic, which are both very limited. It is unnec-
Vaughan, James H. “A Reconsideration of Divine Kingship.” In
essary here to list all classical sources in Greek and Latin; one
Explorations in African Systems of Thought, edited by Ivan
must mention however that for various reasons, both the
Karp and Charles S. Bird, pp. 120–142. Bloomington, Ind.,
Linear B for Greece and the heritage of the Etruscan and Ital-
1980.
ic epigraphs provide insufficient information. As can be seen,
Volkoff, Vladimir. Du roi. Paris, 1987.
extremely widespread areas and long periods are completely
Young, Michael W. “The Divine Kingship of the Jukun: A Re-
obscure or inadequately documented by the sources. This sit-
Evaluation of Some Theories.” Africa 36 (1966): 135–152.
uation greatly limits our present possibilities of knowledge.
GAETANO RICCARDO (2005)
MESOPOTAMIA. According to the present state of knowledge,
Translated from Italian by Paul Ellis
the most ancient form of kingship is connected to the birth
of an urban society in the Low Mesopotamia toward the end
of the fourth millennium BCE. A rich stock of technical expe-
KINGSHIP: KINGSHIP IN THE ANCIENT
rience from the Chalcolithic era, certain favorable ecological
MEDITERRANEAN WORLD
and climatic changes, and an increase in population contrib-
It is important to underline that the concept of “oriental des-
uted to the birth of the first city, Uruk (perhaps an analogous
potism” deriving from the Bible is an ethnocentric concept
yet independent process started in High Mesopotamia). This
that must be left aside. The general features of the Near East-
process was connoted by the creation of a bureaucratic appa-
ern kingships show a steady and strict bond with the cosmic
ratus and by the hierarchical partition of depersonalized
order, just as the gods wanted it to be and to be maintained.
work. However, it is not possible to obtain any direct infor-
The sovereign, therefore—far from giving way to his
mation about the form of government of this society. Not-
whims—constantly had to conform his behavior to superior
withstanding the privileged condition afforded by the great
heavenly principles.
amount of written documents discovered, it is yet not possi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5162
KINGSHIP: KINGSHIP IN THE ANCIENT MEDITERRANEAN WORLD
ble—due to the characteristics of the texts themselves—to
ty, and the king demonstrates in this way that he has
adequately answer any questions on fundamental topics re-
achieved the god Enki/Ea’s knowledge (Matthiae, 1994)
lated to Mesopotamian kingship.
after having first established justice, enlarged the cosmos or
contained chaos (all errands exalting his solar character).
The whole Mesopotamian civilization constantly strove
to conform human society to the model offered by the divine
Although these ideas have remained the same for more
than three thousand years, it is understandable that their
world. In the pantheon, below the remote heaven god An
forms in history changed with the times. The spatial repre-
was Enlil (Lord Wind), who, as the only one who could
sentation of the king as the center of his kingdom shifted
touch the unreachable sky of his father, An, played a very
onto a time level when large kingdoms of nomadic origin
forceful role on earth. Enlil was the king of all gods, and they
took form in Mesopotamia (the comparison with the biblical
would travel to his see, his temple in Nippur, to draw from
patriarchs is immediate [Hallo, 1970]). Their legitimation
him his superior divine power. Under his rule, the demiurge
stemmed from the long list of their nomadic ancestry, where-
god, Enki, ascribed specific tasks to every single divinity,
as in the Sumerian world it was the town, as the see of the
each of whom had his see in a particular city. Enlil (named
god and thus the point of contact between the divine and
“the trader” for his mediating function) constituted the para-
human spheres, which legitimized the king’s position. The
digm of kingship: from their various sees and tasks the gods
dynastic tallies listing the nomadic ancestors corresponded
were unified under his authority and, through him, could
to the “Sumerian King List,” a long text arranged as a se-
reach—albeit in an indirect way—the summit of the sky. In
quence of cities. This catalog, which begins with the words
the same way, the king, being the vertex of society, acted as
“When kingship descended from heaven,” lists—city by
the point of contact between the latter and the world of the
city—the kings who ruled them. It begins with the mythical
gods. Wolfgang Heimpel presented a theory (1992), based
kings who lived before the Flood and reigned for thousands
on consistent clues, about the passage from a form of a king-
of years each; then the list continues on until historical times.
ship, which was temporally limited and elective (by means
According to the organization of the list, only one city at
of oracles, related to the royal title en), to a dynastic form,
time was dominant in Mesopotamia (which is surely histori-
legitimized by royal birth (related to the royal title lugal). Su-
cally incorrect). The end of a certain city’s dominion is
merian literature explicitly states that kingship, besides being
marked by the entry of the sum of the years of reign of its
of divine origin because it descends from the heaven of the
single kings and with the sentence “its (of that city) kingship
gods, makes possible civilization, the acme of which resided
was carried to . . . (name of another city).” As Claus Wilcke
in worship (the relationship with the gods) and justice (the
(1989) demonstrated, the series of the dominant cities fol-
preservation of the order the gods wanted). Humanity, being
lows a predetermined order, which is regularly repeated—a
the consignee of such an important gift, must certainly play
further element indicating a function unconnected with the
a central role in the universe.
recording of historical events. In fact, this list was probably
Various anthropogonic myths tell how humans were
composed during the dynasties of Ur III (2112–2004 BCE)
created from the gods in order to relieve the inferior divini-
and Isin (2017–1794 BCE), and its compilation aimed at le-
ties from the trouble of running the cosmos. The human
gitimizing those dynasties.
task, therefore, is a task of divine level, and it was with this
The contact between the king and the divine took on
aim that man had been brought into being by mixing clay
peculiar forms, such as the Holy Wedding (hieros gamos)
with the flesh and blood of a killed god. The sovereign is,
when the king, playing the god Dumuzi, married the goddess
therefore, he who leads society towards the realization of the
Inanna in order to attract divine benevolence down onto his
divine design, which is made known to him by means of divi-
reign. Another form was the divination of the king. Both
natory practices: according to one tradition, the primeval
forms are found in the second half of the third millennium
sovereigns were the keepers of the divinatory science (Lam-
until the second half of the second: they overlapped but were
bert, 1967). In relation to the gods, the king is thus the vertex
not directly connected and were extinguished during the Old
of humanity. The reign is therefore thought of as an ordered
Babylonian period (twentieth–sixteenth century BCE). The
area (cosmos), departing from a “center”—the point where
king was legitimized politically by his birth, but from a reli-
the horizontal surface of the world of men meets the vertical
gious point of view, it was necessary that he have a divine
axis elevating to the heaven of the gods; it is this connection
rebirth (probably through a royal initiation) from which he
that defends the reign (i.e., cosmos) against the unruliness
appeared to have been generated by particular divinities (Sjö-
of chaos. The breaking of this axis causes the collapse of the
berg, 1972). It must be stressed, however, that even those
kingdom’s defenses, thereby allowing the devastating forces
sovereigns who were divinized while yet living and whose im-
of chaos to rush in. As is unequivocally clear, this “center”
ages were worshipped after their deaths were never consid-
is represented on a social level by the temple (the see of the
ered to be living divinities, such as the Egyptian pharaohs,
city-god) and by the king. In this context the king is seen
and their conduct was constantly and exclusively guided by
as the steward of the god housed in the temple. It is the god
the oracles.
who is the veritable owner of the kingdom. Thus, the build-
In Assyria in the earliest period, before Shamshi-Adad
ing of his temple is the culminating point of the king’s activi-
I’s reign (1812-1780 BCE), the king appeared as the executor
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: KINGSHIP IN THE ANCIENT MEDITERRANEAN WORLD
5163
of the citizen’s assembly; he did not have the title king, which
other gods at a distance. (It must be noted that the Sumerian
belonged to the city-god Ashur, but rather that of his vicar,
king of the gods, Enlil—whose name means “Lord Wind”—
a title also connected to sacerdotal functions. It was only
played an analogous role of separation and connection.) In-
when Assyria began an expansionistic policy that this frame
deed, kingship finds its raison d’être in this detachment, for
was changed and became definitive—after discontinuous
it is the king who must guarantee the continuity of the rela-
events, under King Tukulti-Ninurta I (second half of the
tionship with the now-distant gods. Jan Assmann (1990)
thirteenth century BCE), until the end of the empire (612–
points out the analogy with the Christian church, whose very
610 BCE). The earliest phase of this transformation, due to
existence was made necessary by the distance between man
Shamshi-Adad I, saw the introduction of the idea of legiti-
and Christ’s coming. It thus becomes clear why Egypt did
mation by means of the list of ancestors, as happened in Bab-
not leave any codices or collections of laws: every single pha-
ylonia (king Ammi-saduqa: 1646–1626 BCE). A further form
raoh was the only one to determine justice, because it was
of legitimating—not excluding the preceding ones—is given
he who made the realization of maat possible. As the oppo-
by the divinity’s choice by means of divination. This may
nent of isfet, the pharaoh was also the defender of the poor.
have been the condition that allowed Asarhaddon (680–669
The pharaoh was at the center of other binary systems,
BCE) to ascend the throne (Asarhaddon was the youngest son
even if on completely different levels. Every king, at the mo-
of king Sennacherib and was chosen by his father to succeed
ment he assumed his power, thereby also renewed the unifi-
to the throne on grounds of many oracular responses; as a
cation between High and Low Egypt (the diversity of which
matter of fact it was his mother who managed to have his
is expressed even in their names, Shema and Mehu, which
son chosen instead of his elder brothers, sons of other wives
respectively referred to the gods Horus and Seth). The oppo-
and concubines of the king), or that endorsed the result of
sition of the two gods, which is the basis of the Egyptian
a conjure, taken as an ordeal, as in the case of Nabonedo
kingship, is not merely geographic, but also corresponds to
(555–539 BCE) (Nabonedo was a usurper who took power
the opposition between order and chaos, right and violence.
illegally, delcaring himself the legitimate successor because
Horus must prevail over the wild Seth by taming him into
astrological and oneiromantic omina decreed he had to be
a form of unity in a continuously repeated dynamic process.
the heir of the previous kings). In other very numerous oc-
For this reason, the pharaoh wore the crowns of both High
currences the gods’ choice blended royal descent with gods’
and Low Egypt; as king of High Egypt he was named njswt,
will, for the dynasty itself was but a manifestation of the
and as king of Low Egypt, bjt. At the sides of his throne the
latter.
images of the gods Horus and Seth held the hieroglyph
EGYPT. The peculiar feature of the Egyptian king, the pha-
meaning “to unify.”
raoh, consisted in his being the image of the supreme sun
The pharaoh was thought to be destined to join the sun
god of the Egyptians, Re-Atum, who wanted him as his suc-
god after his death, when “his divine body coalesces with its
cessor in the world of the living so that he could maintain
sire.” In each kingly succession, indeed, there was a reenact-
worship and justice between humans (as did his Mesopota-
ment of the mythical struggle between the god Osiris (son
mian counterpart). However, the Egyptians had a more com-
of Geb, the earth god, and Nut, the sky goddess)—the first
plex idea of their sovereign’s function than the Mesopota-
king and Nile god, god of cereals, and lord of the dead—and
mians had: they saw in him one who would fulfil the concept
his brother and murderer, Seth, followed by the revenge
of maat, thereby annihilating isfet at the same time. The
taken on Seth by Osiris’s son and successor, the young god
word maat conveys the idea of an all-pervading cosmic order:
Horus. Even until much later times, the destructiveness of
it is the principle according to which the universe had been
Seth was a fundamental power in the creation of the uni-
created. The world lost touch with this principle, and there-
verse, because only by its working alongside order was the
fore no longer corresponded to its original state of order. The
birth of the cosmos possible. In the end, as the direct heir
opposite of maat, isfet (defect) conveys the sense of disorder
of Osiris, and therefore of Geb, Shu, and Ra, Horus himself
that comes into being wherever and whenever the relation-
assurged to the undivided power. So, in Egyptian religious
ship with the creator principle is lost: illness, crime, misery,
thought, Horus was the living pharaoh, and Osiris was his
war, lies—everything, in short, that makes history—are all
dead predecessor.
episodes of isfet. The pharaoh, helped by the two cosmic
forces sia (knowledge) and hu (word), can restore the prime-
Kings, “souls,” and ancestors. The superiority of the
val “wealth” that conforms to maat. He is, consequently, one
monarchs was expressed not only by their connection or
of the three poles of a triad formed with the god and the
identification with deities: the king was also superior to his
maat. When he identifies himself with the latter, he becomes
subjects because his ka (vital force, a spiritual twin that lives
“one body with the god,” and his will cannot but be good.
on after the death of the physical body) was different from
From a cosmological point of view, after the divine world
that of commoners. The pharaoh’s ka was shown on monu-
had been set apart from the human world, only the god of
ments in the shape of the monarch’s identical twin; as the
the air, Shu, the prototype of kingship, could make possible
king’s protector in death, it announced the arrival of the dead
a form of communication between the worlds, while at the
monarch to the gods in heaven, and it was identified (Frank-
same time keeping the heaven of the creator Sun-god and the
fort, 1948) with the placenta enwrapping the newborn king.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5164
KINGSHIP: KINGSHIP IN THE ANCIENT MEDITERRANEAN WORLD
One of the standards that accompanied the king during festi-
tinato and Pelio Fronzaroli), it is still impossible to outline
vals and processions probably represented the royal placenta,
a reliable picture of kingship in Ebla (about 70 kilometers
and may have been the image of the king’s ka.
south of Aleppo; mid-third millennium BCE). Through the
Other standards accompanying the king represented his
nomenclature it is evident that the Eblaite queen had a par-
ancestral spirits (in Egyptian, ba), whose functions were to
ticular role, but the mechanism of the institution is far from
give life to the pharaoh, thus protecting the land, and, after
clear. In Mari (medium Euphrates; early second millennium
his death, to prepare his ascent to the heavens. The standards
BCE), the two concepts of the holiness of the king and of the
thus played an important part in kingly rituals. The fact that
king’s role in assuring justice became intermingled and
they were classified in two subgroups, the souls of Pe and the
formed one inseparable idea. (This passed—through the me-
souls of Nekhen, may point to an early artificial combination
diation of the Bible—into the Christian concept of king-
of two series of kingly ancestors, from southern and northern
ship.) The king was anointed (a habit alien to Mesopotamia,
Egypt, respectively. Pe was an ancient town of the Delta, and
yet documented in Ebla, where it was not restricted to sover-
Nekhen was one of the South. In a certain way both towns
eigns alone), and by means of this rite, his state was changed
represent the two original distinct political units of the peri-
and he consequently acquired major authority. The practice
od before the unification.
of anointing was directly related to the main function of the
king, namely that of “king of justice,” “the good shepherd”
Kingly rituals. The main rituals of the Egyptian state
who protects the weak. This idea of justice, therefore, went
were kingly rituals sanctioning the various aspects of the
beyond the boundaries of the law and centered on the king’s
royal succession, a delicate mechanism that ensured the con-
personal subjective beliefs, which determined the king’s in-
tinuity of the social order. The death of the old king was fol-
terference and were completely unrelated to the kind of jus-
lowed by a period during which the new pharaoh assumed
tice that the judges were expected to apply. According to the
power, visited sanctuaries throughout Egypt, and issued his
law, the weak might be in the wrong, but the sovereign
protocols, while his father’s body and funerary temple were
would protect them. Another peculiar feature that is also
prepared for the burial rites. During this period, the kas
found in the Bible was the use of the donkey as the proper
rested.
mount for the legitimate king. In contrast to the horse,
On the day of the royal funerary ritual, a series of lita-
which was used in war and thus conveyed an idea of violence,
nies, spells, and incantations were probably recited, insisting
the donkey became the symbol of the triumphant peace,
on the identification of the dead pharaoh with Osiris (and
which the king was seen to have realized through his submis-
of the pharoah’s son with Horus), and on the dead mon-
sion to the gods (Lafont, 1998, pp. 161–166).
arch’s glorious survival in heaven, where he was embraced by
In the Ugaritic texts (late second millennium BCE), how-
the god Atum or received by the souls of Pe and Nekhen.
ever, we find an important trait of kingship ideology in
The king was buried as an embalmed mummy in his funerary
Bronze Age Syria: the cult of the dead kings, which apparent-
abode, and was symbolically located in the regions where his
ly began at the time of the Amorite dynasties. In Ugarit the
life continued (the netherworld, the west, and the north near
royal ancestors, the most ancient of which were probably
the circumpolar stars). While the dead king ruled as Osiris
mythical, called rapium (“healers, saviors”; compare with the
among the dead, his son ruled on earth, in perfect continuity.
biblical refa Eim), were worshipped with offerings and period-
The day after the celebration of the dead king’s heavenly
ic rites.
survival, the coronation of the new pharaoh took place. It
was usually made to coincide with the New Year’s Day or
In the first millennium BCE, traces of both the Phoeni-
with some other important beginning in nature’s cycle. The
cian and Aramean kingship ideology are attested to by alpha-
ritual involved cultic practices in the dual shrines of the royal
betic inscriptions. The godlike qualities of monarchs were
ancestral spirits of Pe and Nekhen, and it culminated in the
sometimes indicated, but the main aspects of kingship were
placing of the two crowns of Upper and Lower Egypt on the
the ruler’s upholding of justice and peace and his role as a
pharaoh’s head. A further important kingly ritual was the Sed
servant of the gods. They repaid him by giving peace and
festival, which took place once or several times during a pha-
abundance to his kingdom. One Aramaic inscription, how-
raoh’s reign. This renewal of the kingly power was held on
ever, seems to present the king as enjoying a special existence
the anniversary of the pharoah’s coronation. It included a
(“drinking” with the storm god) after his death.
procession; the offering of gifts to the gods; pledges of loyalty
The Israelite monarchy in the Bible was not devoid of
by the king; visits to shrines; the dedication of a field to the
such “sacral” traits, and specific ritual aspects such as royal
gods by the pharaoh, who twice ran across it in the four di-
anointing and royal burial rites are described in the biblical
rections of the compass, first as king of Upper, then Lower
texts with some precision. Yet, the Bible presents the kings
Egypt; and the shooting of arrows by the king in these four
as mere servants of the heavenly king and sole true god, Yah-
directions, symbolically winning him control of the whole
weh, and it denies them any superhuman powers or destiny.
universe.
Moreover, kingship is presented as a foreign institution
SYRIA AND PALESTINE, INCLUDING ISRAEL. In spite of the
adopted by the Israelites, and most Israelite kings are depict-
great efforts of specialized scholars (including Giovanni Pet-
ed as unfaithful to the national deity, whereas the prophets
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: KINGSHIP IN THE ANCIENT MEDITERRANEAN WORLD
5165
of Yahweh play an important role in condemning monarchs
their new acquisitions, the Achaemenid kings incorporated
on behalf of their god, and sometimes in anointing new and
the royal ideology of the defeated people into their own one.
more pious kings to replace them. In the exilic and postexilic
In the extension of their wide empire, therefore, the Achae-
texts, many aspects of the Near Eastern kingship ideology
menids everywhere impersonated the legitimate successors of
(but not the divine nature of monarchs) seem to have con-
the former dynasties, but it was the conquest of Babylon
verged in the eschatological expectations of the Israelites,
(539 BCE) that determined this political choice. The basic
who had no kings of their own, but awaited the return of
concepts of the Achaemenid kingship are traced back to the
a descendant of the Davidic dynasty. In this sense, the roots
ideology of the Assyrian-Babylonian monarchy rather than
of Jewish and Christian messianism must be sought in the
to the Indo-European political institutions, as Gnoli demon-
kingship ideology of the ancient Near East.
strated. This borrowing however, was tempered by the pecu-
H
liar feature of the Zoroastrian thought that patently differen-
ITTITE KINGSHIP. By far the most important form of writ-
ing used in Anatolia was the cuneiform script imported from
tiated it from the other religious worlds of the ancient Near
Mesopotamia (naturally, also ideograms and standard forms
East—the dualistic opposition between Ohrmazd-
of handwriting were used). Thus, even if one knows that the
Ahuramazda and Ahreman. This opposition mirrored a
Hittite word for king is hashshu- (this term, though infre-
deeper cosmological level than the idea of contrast between
quent, is written in the cuneiform Hittite texts), one does not
chaos and order in Mesopotamian thought. The expected
know for certain whether the Sumerian and Akkadian terms
conclusive victory of Ohrmazd, with the final annihilation
(respectively lugal and sharru, both used as ideograms, even
of Ahreman, is a unique component in all the Ancient Near
if written in cuneiform) for the title of sovereign correspond-
East. The forms of kingship, from that of the Achaemenids
ed exactly to the local usage. This problem was already evi-
to that of the Sasanians, are all determined by this funda-
dent at the time of the paleo-Assyrian colonies (beginning
mental idea of rigid dualism, which Pettazzoni (1920) drew
of the second millennium BCE). In texts, the Hittite sover-
nearer to monotheistic than to polytheistic religions—this is
eigns used the ideogram LUGAL (“king” in Sumerian) not
not a paradox. It was then inconceivable that a sovereign ap-
only for themselves but also for the sovereigns for neighbor-
pears as a god. The Greeks, for their convenience, translated
ing states. In Late Bronze Age politics the title LUGAL.GAL
with the same term, theos, both the Iranian words bay and
(Sumerian for “great king”) was used to refer to the sover-
yazad, but only the former (which also means “[divine] dis-
eigns of Egypt and Babylonia as well as to the Hittite king
tributor”) actually referred to the king; the latter term was
himself, to distinguish them from sovereigns of politically
limited to the divinities only. Bay was a king’s title because
less important states. In this period the Hittite king was re-
of his role in the first line against the forces of evil, not be-
ferred to with the epithet “my sun” (shamshi in Akkadian
cause of his divinization. The king, indeed, played a key role
script), which was perhaps of Egyptian derivation or an elab-
in creation, in which the battle between Ohrmazd and Ahre-
oration of Mesopotamian elements. The characteristic title,
man is fought. For this reason an initiatory rite, perhaps
however, was tabarna, derived from the name of the first
based on the mystical union with the deceased ancestors, be-
great Hittite king, Labarna (a process analogous to Latin
came necessary in the enthroning process during the Achae-
“Cæsar,” t and l refer to intermediate sounds); the feminine
menid period, and some buildings in Pasargade and Naqsh-i
form, tawananna, referred to the king mother, to whom spe-
Rustam may have been mainly destined for that function. In
cial cultural functions were given. The significance given to
the Sasanian period, on the other hand, the king assumed
divine support was a characteristic of the Hittite monarchy,
those astral traits, which made him a “cosmocrator.” Indeed,
which was taken to extremes by Hattushili III (1275–1260
like the stars, the king was endowed with xwarrah (roughly
BCE) to legitimate his coup d’état. Numerous have been
translated as “brightness, glory,” also to vital energy), and be-
found that bear oracles for the interpretation of divine will
cause his “form” is an image of the gods, this makes his xwar-
and thus provide clues to the reasons that determined unfa-
rah similar to theirs as well. In any case, alive or dead, the
vorable political events. After the king’s death a complex rit-
Iranian king never became a god, even if while living he as-
ual based on the cremation of his body took place, and food
sumed some distinctive traits which were to make him differ-
was ritually offered to the dead monarch. When the texts
ent from all other men, and notwithstanding the fact that
refer to a king’s death, they speak of his “becoming a god.”
he was a living image of the gods (although he never identi-
These elements cannot, however, be taken to indicate the
fied himself with them). He was allowed to enjoy “rightness”
divinization of the sovereign during his lifetime, although
in the netherworld for his right behavior while living, as
this did happen—to an extent—later, from the middle of the
could any other person who had done the same.
thirteenth century BCE onwards, in the major celebration of
GREECE AND HELLENISM. Four very different forms of king-
monarchy from Hattushili III until the fall of the empire.
ship succeeded in ancient Greece: the Mycenaean, the Ho-
IRAN. From the nomadic life in a semidesertic land, the tribes
meric, the archaic and the classical, and the Hellenistic. Little
of the Persians and the Medes became—in a relatively short
is known about kingship in Crete in Minoan times
period of time—the conquerors of great kingdoms, the capi-
(c. 2500–c. 1500 BCE), and in Greece and Crete in Mycenae-
tals of which were fully developed cities. This rather sudden
an times (c. 1600–c. 1100 BCE), because the relevant texts
change bore important consequences. In order to control
have either not yet been translated (the Minoan Linear A 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
5166
KINGSHIP: KINGSHIP IN THE ANCIENT MEDITERRANEAN WORLD
scriptions) or are concerned mainly with problems of admin-
Kingship is an expression of strength. M. I. Finley
istration (the Mycenaean Linear B texts, in a language that
(1956) mentions the term iphi (“with strength”) in theoriz-
is an ancestor of ancient Greek). Archaeology and the study
ing why Odysseus’s father, Laertes, was not the king in the
of the Egyptian texts (where the Cretans were named Keftiu)
twenty-year absence of his son because, being an aged per-
provide evidence of the regular relationship—which was not
son, he was not strong enough to assure his rule, and his fam-
limited to trade—that flourished from the third millennium
ily, in which the young Telemachus was the only man, could
BCE between the Aegean civilizations and Egypt and Syria
not guarantee it. It is also not clear why marriage to Penelope
(city of Biblos).
would have legitimated the new king, chosen among her
suitors (in the same way, the usurper Aegistus, in Argos, mar-
Minoan and Mycenaean kingship. These relations
ried Agamemnon’s wife). Power is personal, and supported
had an incisive influence on the Aegean world as well as on
by the family. Central to this system was the oikos, an almost
the institution of the Mycenaean kingship, about which lim-
self-sufficient productive unit where relatives assembled,
ited information exists. As for the Minoan kingship, it could
hetairoi (“comrades”) rallied to war campaigns, and different
be of some interest that the sovereigns were embalmed with
classes of servants and helpers set to everyday tasks. The king
the oil of Syrian firs. The lack of royal tombs in Crete before
summoned an assembly of the citizens, but it was merely a
the Santorini eruption (c. 1530 BCE) and the uncertain desti-
consultative organ, and decision making was held firmly in
nation of the “palaces” (perhaps only cultic places) demon-
the king’s own hands. The social pattern of the organization
strate against a possible divine or divinely inspired kingship
of power may be defined thus: the assembly listens, the elders
(on which, see Marinatos, 1995), which was introduced only
propose, the king disposes. In particular circumstances such
later, after that disaster (Driessen, 2003).
as warfare and journeys, the king might celebrate sacrifices
to the gods, as had the Mycenaean wanax. The king was al-
The Mycenaean kingship covered both political and re-
ways at the head of his army, which he personally led in war,
ligious spheres. The king (wanax) was an overlord who ruled
and the aristocracy would lend him their men as warriors (all
over the local kings (whose title was the archaic form of ba-
the heroes of the Homeric poems are aristocrats, if not
siléus). His kingdom never reached an extent comparable to
kings). In conclusion, it may be safely stated that the Homer-
that of the Near Eastern empires, even if it was formed on
ic king enjoyed geras (“privilege” and “honor,” which is also
their model. Besides civil functions, the administrative re-
expressed by time) that made him owner of the temenos, a
cords in Linear B show that the king had at least partial con-
plot of particularly fertile land (also, shrines of the gods); as
trol of the cultic organization. It is unclear whether this two-
a leader, he had to show both metis (“prudence”) and valor.
fold role is related to the Indo-European heritage (see
In every circumstance, he had to demonstrate that he de-
Dumézil, 1977). The term wanax disappeared with the fall
served his time.
of the Mycenaean civilization. When indeed this state system
collapsed around 1100 BCE, many other aspects of that cul-
Kingship in the poleis and Spartan diarchy. After
tural tradition, including writing, were lost.
many centuries, a profound social transformation led to the
birth of a new organization, the typically Greek polis, or city-
Homeric kingship. Kingship, as it was represented in
state. Although kingdoms survived in the periphery of the
the Homeric world, seems to have kept few traits of continu-
new Greek world, the polis was a structure that had no place
ity with what is known of the Mycenaean civilization. It has
for monarchies of the type discussed above, although some
to be stressed that since the depiction of the social and politi-
kingly functions were inherited by magistrates, and there is
cal institutions is always coherent in both the Homeric
even evidence of restricted forms of kingship (e.g., the Spar-
poems (the Iliad and the Odyssey), it is evident that in the
tan diarchy). The diarchy was more a concurrent lifetime
age of their composition, the eighth century BCE, these insti-
leadership of two strategoi (“strategists,” a sort of magistrates)
tutions still existed. The poet described them in a slightly
than a true form of kingship, notwithstanding its hereditary
more archaic way as they actually were (Carlier, 1996,
characteristic. It was this feature that qualified the two kings
p. 294). The king is named basileus—an approximate trans-
of Sparta with respect to their magical and religious func-
lation of the Greek term, which must be understood as “king
tions, based on the reference of the divine couple of twins,
of a community,” not of a state; the word is also employed
the Dioscuri (Carlier, 1984, pp. 296–301). The system was
to indicate the chief of an aristocratic oikos (“household,
very stable, and it lasted for about five centuries.
manor”). The royal power seemed to have been related to the
The same religious concerns are to be found in the Athe-
power of a clan, and the king himself rather resembled a pater
nian monarchy. Both the king (basileus) and, when monar-
familias. The mechanisms of the succession are obscure, but
chy disappeared, the magistrate (also called basileus) were ac-
a conflict between the aristocracy and the royal family, will-
tive characters in the rites of the city cults, which included
ing to affirm the dynastic principle, is evident. The king
the hierogamic ceremony symbolizing the union of the city
therefore appears to have been a primus inter pares; a vague
(represented by the queen) with the god Dionysos.
hint of the wanax is kept in Agamemnon’s attribute “anax
andron.” Carlier compares wanax to Imperial Latin dominus,
The monarchical tendencies of some rulers (tu-rannoi)
“lord” (1996, p. 268).
of cities in the seventh to fourth centuries BCE were excep-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: KINGSHIP IN THE ANCIENT MEDITERRANEAN WORLD
5167
tional and short-lived, though they arose again and again, es-
publican oligarchies took control; besides an ordo principum
pecially in the colonial worlds of Sicily and Asia Minor. It
(probably analogous to the Roman senate), one or more like-
was only when the polis system declined and the peripheral
ly more zilath / zilach (praetor) were ruling. The dodecapolis
Macedonian dynasty gained control over Greece and later
league was active in the republican period as well, and elected
conquered the Iranian Empire that the Greek-speaking
the zilath mechl rasnal (i.e., the praetor Etruriae).
world had to come to terms with the power of the Macedo-
ROME. The mythology regarding the foundation of Rome
nian kings (basileis), while most cities maintained, at least
gives expression to different phases of the beginnings of the
formally, their traditional regimes.
city and of its primitive kingship. Romulus, who founded the
After the death of Alexander the Great of Macedonia
city of Rome on the Palatine hill and whose name the city
(323
therefore bears, was a foreign king—an Alban from a region
BCE), his empire was divided among his successors. The
Near East of the Hellenistic age became a series of monar-
about 40 kilometers to the south. The phrase populus Ro-
chies headed by kings of Macedonian descent. These king-
manus Quiritesque (the Roman people and the Quirites) thus
doms were ruled, and profoundly influenced culturally, by
indicates the superimposition of Rome on the inhabitants of
an elite of Greek soldiers and administrators. Hellenistic
the proto-urban settlements of the other nearby hills, specifi-
kingship ideology, like Hellenistic culture in general, was a
cally the Quirites, who had the system of the curiae (the curia
combination of Greek (Macedonian) and traditional Near
was a division of the three original Romulean tribes, Ramnes,
Eastern traits. Kings were believed to be descendants of di-
Tites and Luceres, and was the basic element of the assembly,
vine ancestors (through Alexander), godlike—in some cases,
comitia curiata), which Romulus’s reign centralized into a
divine—in life, and surviving as gods after their death. The
unique political formation. On the one hand, the murder
court etiquette and the rituals of kingship, so far as can be
and dismemberment of Romulus by the senators, each of
ascertained, were derived mainly from the Iranian, Egyptian,
whom carried home limbs of his body, represents the trans-
and other Near Eastern traditions.
formation of Romulus into Quirinus, the god of the Qui-
rites, but on the other hand, it also expresses the return of
ETRUSCANS. In modern times some progress in the research
the power to the curiae, who will choose the new king. This
on the mechanism on the Etruscan kingship was achieved by
system was in use up until the reign of Tarquinius Priscus
integrating the scarce data from the written Etruscan sources
(Carandini, 2002, pp. 197–207). With this latest king the
(because of their celebrative character, most of the funerary
Etruscan influence became very incisive, and it continued to
epigraphs are of little relevance in this kind of inquiry) with
be decisive until the fall of the monarchy. The forms of cult
the comparison of the data related to the earliest Roman his-
changed dramatically; amongst other innovations, the trium-
tory and of the archaeological documentation. Apart from
phus, originally a theophany in which the god Jupiter appears
the Greek metropolises of the south (Magna Gaecia) of a
to guarantee an incipient welfare, was introduced. Though
clearly foreign tradition, the development of urban civiliza-
often changed in its constitutive traits, celebration of the tri-
tion in Italy can be ascribed to the Etruscans. Etruscan ur-
umphus was to last in the Roman tradition (Versnel, 1970).
banization grew through subsequent phases, each of which
From the sixth century BCE, Rome was a republic head-
produced its relative form of government. In the first phase
ed by an aristocracy of senatores and governed by elected
villages merged, under the stimulus of their aristocracies, into
magistrates. Indeed, the antimonarchic ideology of ancient
a single unit of superior order, thus beginning the growth of
Rome was such that when—after the Roman conquest of
metropolises (from the ninth to the sixth centuries BCE). The
most of the Mediterranean world—the crisis of the republi-
city was ruled by a king (lucumo) whose institutional features
can state led to the rise of a new form of monarchy, the rulers
are unfortunately obscure. A lictor preceding him, his gold
did not take on the traditional title of Indo-European origin,
crown, his ivory throne, his sceptre surmounted by an eagle,
rex (king), but were called imperator, a word denoting the tri-
and his purple toga and mantle were all signs of his rank. The
umphing war leader of republican times. The Roman Em-
ceremony of the triumph, in which the king personified a
pire lasted from the first century BCE to the late fifth century
deity, together with the ludi and other insignias of regal
CE, and the ideology of rulership changed profoundly during
power, was probably introduced in Rome by the Etruscan
its history. Its original traits included the cult of the emper-
dynasty of the Tarquini.
or’s genius (personality, double) and the deification of the
The assembly of the twelve lucumones of the Etruscan
dead emperor through a complex ritual involving cremation
dodecapolis was held near the Fanum Voltumnae (the temple
and the flight of his spirit to the heavens in the form of an
of the protector god, or genius, of Etruria—deus Etruriae
eagle flying from the funeral pyre. But these soon gave way—
princeps), most probably located near present-day Orvieto.
first in the eastern provinces and then in the entire imperial
There a magistrate was elected whose functions were superior
territory—to other forms of ruler worship, such as the identi-
to the particularism of the single polis and who was, there-
fication of the emperor with mythical figures or gods, which
fore, preceded by twelve lictors as a sign of his position. The
were often directly imported by monarchs from the local cul-
subsequent progression of the mercantile middle class led to
tures of their provincial homelands.
seigniories similar to Greek “tyrannies.” Toward the end of
The emperor Constantine’s conversion to Christianity
the sixth century and during all of the fifth century BCE, re-
in the late fourth century was the starting point of a further
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5168
KINGSHIP: KINGSHIP IN THE ANCIENT MEDITERRANEAN WORLD
profound transformation in the imperial ideology. Obvious-
Egypt
ly, the new Christian rulers could not be considered divine,
Assmann, Jan. Maat: Gerechtigkeit und Unsterblickeit im alten
yet many aspects of the system of beliefs, rituals, and eti-
Ägypten. Munich, 1990.
quette typical of the imperial monarchy were adapted to the
Assmann, Jan. Herrschaft und Heil. Politische Theologie in Altägyp-
new religious context. According to the Triakontaeterikos, a
ten, Israel, und Europa. Munich and Vienna, 2000.
treatise on imperial power by the Christian writer Eusebius
Frankfort, Henri. Ancient Egyptian Religion. New York, 1948.
of Caesarea (fourth century), the whole cosmos is a monar-
Syria-Palestine
chic state (basileia, monarchia) ruled by the Christian God,
Coppens, Joseph. Le messianisme royal. Paris, 1968.
and it is the emperor’s task to imitate the divine monarch.
De Fraine, Jean. L’aspect religieux de la royauté israélite. Rome,
The final result of the process of ideological transformation
1954.
that began with Constantine was the ideology of the Chris-
Fronzaroli, Pelio. Archivi reali di Ebla. Testi –X I. Testi rituali della
tian ruler. This was the basis of Byzantine kingship ideology,
regalità (Archivio L. 2769). Rome, 1993.
and it later joined with other (mainly Celtic and Germanic)
traditions to form medieval theories of kingship.
Lafont, S. “Le roi, le juge, et l’étranger à Mari et dans la Bible.”
Revue d’Assyriologie et d’Archéologie Orientale 92 (1998):
SEE ALSO Dumuzi; Twins; Utu.
161–181.
Pettinato, Giovanni. Il rituale per la successione al trono ad Ebla.
BIBLIOGRAPHY
Rome, 1992.
The bibliography on this subject is huge, and it is not always easy
Widengren, Geo. Sakrales Königtum im Alten Testament und im
to select from it without omitting important contributions.
Judentum. Stuttgart, Germany, 1955.
On the sacral kingship of the ancient Near East, one should
see the following.
Iran
Gnoli, Gherardo. “Politica religiosa e concezione della regalità
General Studies
sotto gli Achemenidi.” In Gururajamañjarika. Studi in onore
Gadd, Cyrill J. Ideas of Divine Rule in the Ancient Near East. Ox-
di G. Tucci, pp. 23–88. Naples, Italy, 1974.
ford, 1948.
Gnoli, Gherardo. “L’Iran tardoantico e la regalità sassanide.” Me-
Frankfort, Henri. Kingship and the Gods: A Study of Ancient Near
diterraneo Antico. Economie società culture 1, no. 1 (1998):
Eastern Religion as the Integration of Society and Nature. 1948;
115–139.
reprint, Chicago, 1978.
Panaino, Antonio. “The Bagan of the Fratrakas: Gods or ‘Divine’
Mesopotamia
Kings?” In Religiuos Themes and Texts of Pre-Islamic Iran and
Finkelstein, Jacob J. “The Antidiluvian Kings: A University of
Cantral Asia. Studies in Honour of Prof. G. Gnoli on the Occa-
California Tablet.” Journal of Cuneiform Studies 17 (1963):
sion of His 65th Birthday on 6th December 2002, edited by
39–51.
C. G. Cereti, M. Maggi, and E. Provasi, pp. 265–288. Wies-
Hallo, William W. “Antediluvian Cities.” Journal of Cuneiform
baden, Germany, 2003.
Studies 23 (1970): 57–67.
Panaino, Antonio. “Astral Characters of Kingship in the Sasanian
Heimpel, Wolfgang. “Herrentum und Königtum im vor- und
and Byzantine Worlds.” In Atti del Convegno internazionale
frühgeschichtlichen Alten Orient.” Zeitschrift für Assyriologie
“La Persia e Bisanzio,” edited by Antonio Carile et al.,
82 (1992): 4–21.
pp. 555–594. Rome, 2004.
Labat, René. Le caractère religieux de la royauté assyro-babylo-
nienne. Paris, 1939.
Hittite
Giorgieri, M., and C. Mora. Aspetti della regalità ittita nel XIII se-
Lambert, W. G. “Enmeduranki and Related Matters.” Journal of
colo a. C. Como, Italy, 1996.
Cuneiform Studies 21 (1967): 126–138.
Pettazzoni, Raffaele. La religione di Zarathustra nella storia religiosa
Lambert, Wilfred G. “The Seed of Kingship.” In Le palais et la
dell’Iran. Bologna, Italy, 1920.
royauté, Comtes rendues de la Réncontre d’Assyriologie Interna-
tionale 19 (1971), pp. 427–440. Paris, 1974.
Szabó, G. “Herrscher -§ 7.1.” In Reallexicon der Assyriologie IV, ed-
ited by Dietrich Otto Edzard, pp. 342–345. Berlin and New
Matthiae, P. Il sovrano e l’opera. Rome and Bari, Italy, 1994.
York, 1975.
Michalowski, Piotr. “History as Charter—Some Observations on
the Sumerian King List.” Journal of the American Oriental So-
Van den Hout, Theo P. J. Tudhalija Kosmokrator. Gedachten over
ciety 103 (1983): 237–224.
ikonografie en ideologie van een hettitische koning. Amsterdam,
1993.
Seux, J.-M. “Königtum.” In Reallexicon der Assyriologie, vol. 6, ed-
ited by Otto Dietrich Edzard, pp. 140–173. Berlin and New
Greece
York, 1983.
Carlier, Pierre. La royauté en Grèce avant Alexandre. Strasbourg,
Sjöberg, Ake. “Die göttliche Abstammung der sumerisch-
France, 1984.
babylonischen Herrscher.” Orientalia Suecana 21 (1972):
Carlier, Pierre. “La regalità: beni d’uso e beni di prestigio.” In I
87–112.
Greci, vol. 2, edited by S. Settis, pp. 255–294. Torino, Italy,
Wilcke, Claus. “Genealogical and Geographical Thought in the
1996.
Sumerian King List.” In DUMU E2-DUB-BA: Studies in
Driessen, Jan. “The Court Compounds of Minoan Crete: Royal
Honor of A˚ Sjöberg, edited by E. Leichty, et al.,
Palaces or Ceremonial Centers?” Athena Review 3, no.3
pp. 557–569. Philadelphia, 1989.
(2003): 57–61.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: KINGSHIP IN SUB-SAHARAN AFRICA
5169
Dumézil, George. Les dieux souverains des Indo-Européens. Paris,
ricultural problems put their faith in a king whose vitality
1977.
magically ensured the abundance of the harvest and whose
Finley, M. I. The World of Odysseus. London, 1956.
death at the hands of a stronger challenger corresponded effi-
Marinatos, Nanno. “Divine Kingship in Minoan Crete.” In The
caciously to the seedtime planting of the next crop. Early eth-
Role of the Ruler in the Prehistoric Aegean, Aegaeum 11, edited
nographic reports concerning the Shilluk people of the
by P. Rehak, pp. 37–48. Liège, Belgium, 1995.
Sudan seemed to provide a contemporary example of such
Schubart, Wilhelm. Die religiöse Haltung des frühen Hellenismus.
ritual regicide.
Leipzig, Germany, 1937.
Dwelling on the association between the king’s health
West, Martin L. The East Face of Helicon. Oxford, 1997.
and natural fertility, Frazer explained the kingship but not
the kingdom. In the first modern treatment of the subject,
Etruscans
Cristofani, Mauro. “Società e istituzioni nell’Italia preromana.” In
in 1948, E. E. Evans-Pritchard, relying on better ethnogra-
Popoli e civiltà dell’Italia antica, vol. 7, edited by Massimo
phy and a wholly different theory, asserted that the spiritual
Pallottino, pp. 51–112. Rome, 1978.
role of the king expressed the political contradiction between
Staccioli, Romolo. Gli Etruschi, un popolo tra mito e realtà. Rome,
the corporate unity of the Shilluk people and the lack of any
1980.
central authority capable of subordinating factional interests.
In the absence of real control, the king’s identity with the
Torelli, Mario. Storia degli Etruschi. Rome and Bari, Italy, 1985.
moral values of the nation could only be expressed in spiritu-
Rome
al terms. Evans-Pritchard found no hard evidence of ritual
Bickermann, Elias. J., et al., eds. Le culte des souverains dans
regicide and suggested that the tradition merely reflected the
l’Empire romain. Entretiens sur l’antiquité classique, vol. 19.
fact that many kings came to a violent end at the hands of
Geneva, Switzerland, 1973.
princely challengers.
Carandini, Andres. Archeologia del mito. Torino, Italy, 2002.
Meyer Fortes modified this sociological thesis, arguing
Cornell, T. J. The Beginnings of Rome. London and New York,
that all offices were social realities distinct from the individu-
1995.
als who held them. The function of ritual was to make such
Versnel, H. S. Triumphus—An Inquiry into the Origin, Develop-
offices visible and to effect the induction of the individual
ment, and Meaning of the Roman Triumph. Leiden, Nether-
into his office; as it is said in some parts of Africa, in rituals
lands, 1970.
of investiture the kingship “seizes” the king. Rituals were not
CRISTIANO GROTTANELLI (1987)
simply passive or even imaginary reflexes of the social order
PIETRO MANDER (2005)
but instruments that maintained it and convinced the partic-
ipants of the reality of royal powers; after the ritual process,
the king himself felt changed in his person and took credit
for ensuing events (a fall of rain, mysterious deaths) that
KINGSHIP: KINGSHIP IN SUB-SAHARAN
AFRICA
seemed to confirm the efficacy of the ritual. In this respect,
however, kingship did not differ from other social roles such
Kingship is always ritualized to some extent. Since the begin-
as that of a diviner or an adept in a healing cult.
ning of the twentieth century scholars have sought unsuc-
cessfully to define a particular type of cultic complex in Afri-
Another kind of sociological explanation, the reverse of
ca as “divine kingship.” Many now prefer the looser term
the first, was advanced by Max Gluckman with respect to the
“sacred kingship.” Two opposed arguments dominate this
Swazi people (Swaziland). Gluckman suggested that the
and other anthropological discussions of ritual. One, derived
great Ncwala ceremonies provided the people with an annual
from the work of the English anthropologist James G. Frazer
opportunity to express their resentment of the king’s rule and
(1854–1941), dwells on a purportedly distinct set of ideas
thus stabilized the political system. This “rituals of rebellion”
in which the personal, physical health of the king is responsi-
thesis, though widely cited, seems to be based on a misread-
ble for the generosity of nature and the well-being of his peo-
ing of the hymns sung at the Ncwala; on this, more below.
ple. The other, derived from the great French sociologist
Explanations of rituals in terms of their political func-
Émile Durkheim (1858–1917), treats such ideas as expres-
tions fail to account for the elaborate content of the rituals,
sions of sociopolitical realities rather than as primary factors.
which often involve hundreds of titleholders, experts, court-
The sociological view predominated in the 1940s, but in the
iers, and lineage heads in rich textures of song, dance, eulogy,
1960s anthropologists renewed their interest in Frazer’s
costume, taboo, and medication extending over many days
thesis.
and weeks of the year. Rereading the Swazi ethnography, T.
Although many of Frazer’s data were drawn from Africa,
O. Beidelman argued that the purpose of the Ncwala was to
he thought of divine kingship as characteristic of a particular
set the king apart so that he might take on the supernatural
phase of cultural evolution, not of a particular continent, and
powers necessary to his office. He showed how such details
he also drew upon European and Middle Eastern ethnogra-
as the black color of a sacrificial ox, the king’s nudity during
phy, to which his model may have been more appropriate.
the ritual, and the emptiness of his right hand while he
Frazer supposed that primitive societies preoccupied with ag-
danced are consistent with Swazi cosmology and symbolic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5170
KINGSHIP: KINGSHIP IN SUB-SAHARAN AFRICA
usage. The color of the ox refers to the powerful but disorder-
royal powers. The jawbone of a kabaka of Buganda (Uganda)
ly forces of sexuality that the king must incorporate and mas-
was enshrined after his death; in Yorubaland, an o:ba of O:yo:
ter; the king’s nudity expresses his liminal status as the “bull
(Nigeria) consumed the powdered heart of his predecessor.
of his nation,” mediating between the supernatural and the
More generally, the body of a living king is itself a sacred ob-
living.
ject, modified and manipulated for ritual purposes; among
these manipulations, the observances that set him apart from
Other writers pointed out that many kings, such as the
ordinary people often bear more onerously upon him than
o:ba of Benin (Nigeria) or the mwami of Bunyoro (Uganda),
upon anyone else.
were powerful rulers whose spiritual powers seemed to ex-
press their real authority rather than compensate for the lack
This African perspective is consistent with the sociologi-
of it. In other instances, the rituals of kingship and respect
cal one of Fortes, and it is here, perhaps, that we may discov-
for the king’s supernatural powers remained constant despite
er the secret of regicide. Kingship, itself a perpetual office,
pronounced, long-term changes in his real political impor-
stands for the corporate unity and perpetuity of the king-
tance. The same ritual complex might or might not be associ-
dom. Time is therefore intrinsic to the idea of kingship.
ated with a hierarchical organization of important functions,
Time, in turn, has two components: transience and constant
so that among the Kongo people, legends and rituals alone
renewal. The continuity of the body politic, and of human
fail to make it clear whether the chief to whom they refer is
life within it, may be symbolized by the agricultural cycle or
a ruler of thousands or of dozens. Among the Nyakyusa
other natural phenomena, by communal rites of passage and
(Tanzania) the divine king remained essentially a priest,
succession, or by similar rites in which the king’s own life,
whereas among the neighboring Ngonde, who share the
death, and replacement are made to embody the life process
same culture and traditions of origin, the king acquired real
of the community. In such instances, agricultural cycles, ini-
powers through his control of the trade in ivory and other
tiation cycles, and the succession of kings are not merely met-
goods. In Bunyoro, princes fought to succeed to the throne,
aphors for the continuity and vitality of the social order but
whereas among the Rukuba (Nigeria) and Nyakyusa the cho-
substantial constituents of it.
sen successor must be captured by the officiating priests lest
It is not surprising, therefore, among widely separated
he abscond.
peoples, including the Lovedu (South Africa), the Nyakyusa,
These and other commentaries tended to place Frazer’s
the Rukuba, and the Mundang (Chad), that the death of a
thesis in doubt. The components of what Frazer thought was
ruler or of a surrogate is supposed to coincide with a phase
a single complex are now seen to vary independently of each
in the cycle of initiations whereby the succession of genera-
other. Also, it has proved impossible to verify any tradition
tions is regulated, although in all these examples the real tim-
of regicide, although both the tradition and, apparently, the
ing of the events is obscure. The Rukuba king is required to
practice of not allowing kings to die a natural death are also
ingest, at his installation, material from the bodies both of
associated with some ritual figures who are not kings. Other
his deceased predecessor and of an infant, specially killed for
observances once thought to be specific to divine kings, such
the purpose, whose status is such that he might have been
as prescribed incest and taboos against seeing the king eat or
chosen to be king had he lived; these and other Rukuba ritu-
drink, are present in some instances but not in others. Chiefs
als, which clearly express the theme of renewal and continu-
among the Dime (Ethiopia) are regarded as having a spiritual
ity, are believed to cause a long and therefore successful reign.
power called balth Du that seems to meet Frazerian expecta-
The king himself is not burdened with many taboos; he may
tions since, if the power is “good,” it is believed to make the
be deposed if his “blood” is not strong enough to keep mis-
crops grow and livestock multiply, whereas if the harvest is
fortunes from afflicting his people, but he is not himself
poor the people say, “We must get rid of him; the thoughts
killed.
he has for the country don’t work.” A Dime chief is not re-
During the 1970s anthropologists expressed increasing
quired to be in good health, however, and eventually dies a
interest in the subjective perspective in kingship cults, in the
natural death.
content of ritual and its capacity to shape the cognitive expe-
rience of participants. The reductionist view that ritual mere-
Africans themselves often speak of the powers vested in
ly expresses political realities seemed inconsistent with the
kings as independent entities with organic properties. The
quasi-organic character attributed to kingly powers and with
spiritual power known as bwami among the Lega, for exam-
the intense secrecy that in many cases surrounds complex
ple, is thought to grow and forever renew itself, like a banana
and central cultic performances.
tree; this bwami may be vested in a king (mwami) (as among
the eastern Lega) or in a graded association (as among the
This revival of Frazer’s intellectualism did not extend,
western Lega). From this point of view the purpose of ritual
however, to his evolutionary assumptions about primitive
is to favor the growth of kingship as a public resource.
thought, and it emphasized the particularity of symbols
Whether or not the king rules as well as reigns, his person
whose meanings should be sought in their local context. For
is one of the instruments of the process necessary to maintain
example, the skull of a dead Temne chief (Sierra Leone) is
the kingship. Relics of dead kings are often part of the regalia
kept in a shrine at which daily sacrifices are performed for
of their successors or are used to make medicines conferring
communal well-being, but that of a Mundang king serves
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: KINGSHIP IN SUB-SAHARAN AFRICA
5171
only as a magical device to force his successor to commit the
In contrast, local cults devoted to community well-
expected suicide. The hair and nails of a deceased mwami of
being emphasized growth and fertility, employing as ritual
Bunyoro are cut after his death, to be buried with him,
symbols the color black (associated with rain clouds) and
whereas those of a lwembe of the Nyakyusa must be taken
farming implements such as hoes rather than the color red
before he has drawn his last breath, “so that Lwembe might
and various weapons associated with war. In other configura-
not go away with the food to the land of the shades, that the
tions, as among the Nyakyusa, life-giving and death-dealing
fertility of the soil might always remain above,” and they are
powers are not segregated in this way. In yet others, such as
used in a powerful fertility medicine. There can be no univer-
the Mundang, whose king was as much bandit as sovereign,
sal dictionary of symbols, and even in one context a ritual
looting at home and abroad, there was no cult of violence.
element usually has several kinds and levels of significance,
some better defined than others.
Although kings are “made” by the rituals that enthrone
them, their powers are maintained by daily observances. The
In her review of the subject, “Keeping the King Divine,”
unfortunate leader of the Dime, known as zimu, though he
Audrey I. Richards (1969) recommended that in future more
had real political and military responsibilities, was so restrict-
attention should be paid to kingship in its relation to other
ed in his diet and personal contacts as to be virtually an out-
elements of the society in which we find it; for example,
cast. Besides installation and funerary rites and daily obser-
other forms of ancestor worship, other kinds of control over
vances, kingship cults include bodies of myth and the ritual
nature, other political authorities. Or as an ethnographer of
organization of space. The plans of royal palaces and grave
eastern Zaire put it, “chiefship is simply a variant of Bashu
shrines, even the distribution of shrines in the country, orga-
ideas about healers, sorcerers, and women.” The cultural pat-
nize rituals in space in conformity with cosmological models.
tern of the Shilluk (shared by the Anuak, Dinka, and other
The bodies of some kings, as among the Mundang, are casu-
Nilotic peoples) is very different from that of the Azande
ally thrown away, but for the Nyakyusa the graves of the
(southern Sudan), in which the cultic attributes of kingship
original kings are among the most fearfully sacred of all
are minimal, and from those of the Temne, Rukuba, or
shrines. The dynastic shrines of the Ganda are replicas of the
Dime, all of which are in turn strongly dissimilar.
royal court, with their own elaborate rituals and personnel
centered on a queen sister.
In a pattern that is widespread in central, southern, and
parts of West Africa, violent powers associated with chiefs
Royal myths commonly refer to the founding of the
and the activities of men in hunting and war were supposedly
state and its subsequent history, which the rituals of investi-
derived from ancestors. Ancestral cults were paired and con-
ture and periodic festivals may reenact. Until the 1970s,
trasted with those of local or nature spirits, from whom pow-
scholars tended to take such myths literally, especially those
ers were procured that were beneficial to the fertility of na-
that attributed the origin of a kingdom to immigrants. Para-
ture, the activities of women, and the well-being of local
doxically, the intellectualist reappraisal of ritual was accom-
communities. During the eighteenth and nineteenth centu-
panied by a new view of myths as narrative expressions of
ries, such local cults were merged with the institution of
real, contemporary sociopolitical relations. The “stranger”
kingship during the process of state formation; the
status of the king expresses his difference from ordinary peo-
Swazi, Luba and Bushong, and Benin kingdoms provide
ple or the separation of dynastic, chiefly functions from local,
examples.
priestly ones, just as prescribed incest or murder marks the
king’s removal from his ordinary status and his accession to
In this pattern, the symbolization of violence is often in-
a new one.
tentionally shocking. A Luba chief, after being anointed with
the blood of a man killed for that purpose, put his foot on
Colonial rule abolished or profoundly modified all
the victim’s skull and drank his blood mixed with beer. Such
kingships and their rituals, appropriating many of their pow-
acts showed that the king possessed superhumanly destruc-
ers and banning some practices deemed essential by the peo-
tive powers, similar to witchcraft, with which he would be
ple to create true kings. Central mysteries of surviving cults
able to defend his people against the attacks of witches and
were and are known only to the participating experts. Conse-
criminals. The Ncwala confers similiar powers on the Swazi
quently, we have few descriptions of the working of kingship
king; the hymns sung are a national expression not of rebel-
in practice, and only one extensive set of ritual prescriptions,
lion but of sympathy for him in his lonely struggle against
for the kingdom of Rwanda. Even much better information,
such enemies. As the Swazi themselves say, the Ncwala is in-
however, would not render unambiguous the functions of
tended to strengthen the kingship and “make stand the na-
kingship, which have always been responsive to changing cir-
tion.” In some kingdoms, designated groups engage in loot-
cumstances, or reveal beyond doubt the relationship between
ing, rape, and other disorderly behavior to show that the
ritual prescription and actual event. Kings as well as anthro-
power that should contain violence is temporarily in abey-
pologists debate whether regicide is a necessary practice or
ance. Often, however, the ritual representation of the chief’s
symbolic truth; in the mid-nineteenth century an o:ba of O:yo:
violent powers was greatly disproportionate to the amount
refused to submit to regicide, and in 1969 the king of the
of real force he commanded; he had authority as the embodi-
Jukun (Nigeria) was reported in the press to be sleeping with
ment of the social order but little power.
a loaded revolver under his pillow. Part of the power 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
5172
KINGSHIP: KINGSHIP IN MESOAMERICA AND SOUTH AMERICA
mystery of kingship is its refusal to be bound by rules and
Cosmology (Bloomington, Ind., 1981), which explains the re-
its centrality to the political process.
lationship between chiefly power and control of natural
forces; on the Luba, Thomas Q. Reefe’s The Rainbow and the
SEE ALSO Bemba Religion; Southern African Religions, arti-
Kings (Berkeley, 1981); and, on the Kuba, Jan Vansina’s The
cle on Southern Bantu Religions; Swazi Religion.
Children of Woot (Madison, Wis., 1978).
WYATT MACGAFFEY (1987 AND 2005)
BIBLIOGRAPHY
James G. Frazer’s ideas on divine kingship can be found in the var-
ious editions of The Golden Bough; his one-volume abridg-
ment (New York, 1922) has been frequently reprinted. The
KINGSHIP: KINGSHIP IN MESOAMERICA AND
modern revival of Frazer begins with Michael W. Young’s ar-
SOUTH AMERICA
ticle “The Divine Kingship of the Jukun: A Re-evaluation of
Of essential importance for the study of kingship in Me-
Some Theories,” Africa 36 (1966): 135–152, and includes
soamerica and South America is the profound connection
Luc de Heusch’s Sacrifice in Africa (Bloomington, Ind.,
between supernatural authority and political power residing
1985). Recent neo-Frazerian accounts of divine kingship in-
in an elite class of sacred kings who directed the interaction
clude Alfred Adler’s La mort est le masque du roi: La royauté
of the natural environment, the human population, technol-
sacrée des Moundang du Tchad (Paris, 1982), Jean-Claude
ogy, and developments in social structure from sacred pre-
Muller’s Le roi bouc-émissaire: Pouvoir et rituel chez les Ruku-
cincts and ceremonial cities. In the Aztec, Maya, and Inca
ba du Nigéria (Quebec, 1980), and Dave M. Todd’s “Aspects
patterns of sacred kingship are found distinct versions of this
of Chiefship in Dimam, South-West Ethiopia,” Cahiers
d’études africaines 18 (1978): 311–332. De Heusch has re-
connection.
turned to Frazer’s thesis in his “The Symbolic Mechanisms
AZTEC SACRED KINGSHIP. The supreme authority in Aztec
of Sacred Kingship: Rediscovering Frazer,” Journal of the
Mexico was the tlatoani (chief speaker), who resided in the
Royal Anthropological Institute 3, 2 (1887): 213–232, which
imperial capital of Tenochtitlan. This pattern of rulership
includes references to recent studies, and has applied his ver-
grew out of earlier forms of sacred and social authority in
sion of the concept in L.de Heusch, Le Roi de Kongo et les
which each political-territorial unit (altepetl in Nahuatl) was
monstres sacrés (Paris, 2000).
governed by a titled lord, or tecuhtli, living within a noble
E. E. Evans-Pritchard established the sociological approach in op-
estate or elite social and geographical domain. This local
position to Frazer in his The Divine Kingship of the Shilluk
ruler was understood to be the living image of the altepetl’s
of the Nilotic Sudan (Cambridge, U.K., 1948). Relevant es-
patron deity and communicated directly with him. As one
says by Meyer Fortes include “Of Installation Ceremonies,”
scholar notes:
Proceedings of the Royal Anthropological Institute for 1967
(London, 1968). Max Gluckman’s “rituals of rebellion” the-
The tlatoani headed a large, multifaceted bureaucracy
sis is to be found in his Order and Rebellion in Tribal Africa
composed of other lords and lesser nobles, and his pal-
(London, 1963). Audrey I. Richard’s review, “Keeping the
ace (tecpan, tecalli) was the principal government ad-
King Divine,” is in Proceedings of the Royal Anthropological
ministration building. . . . The king, like other high-
Institute for 1968 (London, 1969).
ranking lords, was the titular head of a patrimonial de-
mesne (complex of holdings, privileges, and
Classic ethnographic accounts of kingship cults include John Ros-
obligations) that consisted of the provision of agricul-
coe’s The Bakitara or Banyoro (Cambridge, U.K., 1923), in
tural, public works, manufacturing and military services
which he gives, for Bunyoro, the best account of a king’s
by commoners, tribute payment, the allegiance of lesser
daily observances. Hilda Kuper’s An African Aristocracy: Rank
(including nontitled) nobility, and various other sump-
among the Swazi (London, 1947) sets a vivid description of
tuary privileges. (Gillespie, 2001)
the Ncwala in an analysis of the political system; T. O. Bei-
delman interprets the symbolism in “Swazi Royal Ritual,”
During the later stages of Aztec history, the tlatoani governed
Africa 36 (1966): 373–405. Monica Wilson’s richly detailed
with the assistance of the Council of Four, which included
Communal Rituals of the Nyakyusa (London, 1957) includes
the second in command, who occupied an office called the
trancripts of interviews with senior participants in kingship
Cihuacoatl (snake woman). The occupant of the Cihuacoatl
and other cults. Ray E. Bradbury’s illustrated article “Divine
office was always male. The elite status of the Council of
Kingship in Benin,” Nigeria 62 (1959): 186–207, is a useful
Four is indicated by the fact that the members were chosen
companion to the film Benin Kingship Rituals, made by Brad-
from the royal family and included the king’s brothers, sons,
bury and Francis Speed. The only extensive published set of
esoteric ritual prescriptions is La royauté sacrée de l’ancien
and nephews. Under normal circumstances this group chose
Rwanda (Tervuren, Belgium, 1964), edited by Marcel
the successor to a dead king from one of its members. A pri-
d’Hertefelt and André Coupez. Ritual features of Luba king-
mary qualification for the Aztec king was military leadership,
ship, with special reference to art works and attitudes con-
and a truly great king was a victorious general who con-
cerning them, are presented in M. N. Roberts and A. N.
quered many towns, which led to the organization of tribu-
Roberts, Memory: Luba Art and the Making of History (New
tary payments to the royal and capital storehouses. In broad
York, 1996).
terms, the Aztec tlatoani was responsible for agricultural fer-
Among recent historical accounts of the development of divine
tility, order and success in warfare, the maintenance of the
kingships are, on the Bashu, Randall Packard’s Chiefship and
ceremonial order, the stability of bureaucratic systems, 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
KINGSHIP: KINGSHIP IN MESOAMERICA AND SOUTH AMERICA
5173
above all the orderly parallelism between society and the cos-
new political order known as the Triple Alliance. During the
mos. The dominant symbol of sacred rulership in Me-
last half of the fourteenth century the Mexica (Aztec) were
soamerica was the throne that took the form of a woven mat
military vassals of the powerful Tepanec kingdom centered
or a seat with a high back in which the ruler was also carried
in the capital of Azcapotzalco.
in public settings. In Aztec society the word for throne was
During their tutelage to the Tepanec, the Aztec became
petlatl, icpalli, or the “reed mat”—the seat that also became
the most powerful military unit in the region and adapted
a metaphor for the ruler.
their political and economic structure to the more urbanized
By the beginning of the sixteenth century, the Aztec tla-
systems of the valley. When the king of Azcapotzalco died
toani Motecuhzoma Xocoyotzin (Moctezuma II, r. 1503–
in 1426, the Tepanec kingdom was ripped apart by a war of
1520) was surrounded by an elaborate court dedicated to car-
succession. The Aztec tlatoani Itzcoatl, with his nephews
rying out the expressions of authority and pomp of the mon-
Motecuhzoma Ilhuicamina and Tlacaellel, formed a political
arch. According to Hernán Cortés’s second letter to the king
alliance with two other city-states and successfully took over
of Spain, Motecuhzoma changed clothes four times a day,
the lands, tribute, and allegiances that formerly belonged to
never putting on garments that had been worn more than
the Tepanec. In the process these three leaders restructured
once. The formation of this privileged position came about
the Aztec government by concentrating power and authority
as the result of two decisive transformations in the social and
in the tlatoani, the Council of Four, and to a lesser extent
symbolic structures of Aztec life—the acquisition in 1370 of
in the noble warrior class known as the pipiltin. The calpulli
the sacred lineage of kingship associated with the Toltec
were incorporated into less powerful levels of decision mak-
kingdom, and the consolidation of authority and power in
ing. This restructuring marked the beginning of the rise of
the office of the king and a warrior nobility known as the
Aztec kingship on a road to the status of god-king.
pipiltin during the war against the city-state of Atzcapotzalco
Subsequent Aztec kings—such as Motecuhzoma Ilhui-
in 1428.
camina (Moctezuma I)—issued decrees defining the differ-
When the Aztec precursors, the Chichimec (from chich,
ent classes of nobles, traders, warriors, and commoners ac-
meaning “dog,” and mecatl, meaning “rope” or “lineage”),
cording to their privileges, manner of dress, ownership, and
migrated into the Valley of Mexico in the thirteenth century,
education. Beginning around 1440 the cosmological tradi-
they encountered an urbanized world of warring city-states.
tions undergirding Aztec society were reinterpreted to legiti-
The basic settlement pattern in the valley was the tlatocayotl,
mate the rise of sacred kingship and the concentration of au-
a city-state that consisted of a small capital city surrounded
thority in the elites. As a sign of this cosmic and political
by dependent communities that worked the agricultural
authority, each king following Itzcoatl took the responsibili-
lands, paid tribute, and performed services for the elite classes
ty of enlarging the Great Temple of the capital and acquiring
in the capital according to various ritual calendars and cos-
large numbers of enemy warriors to be sacrificed to the impe-
mological patterns. Within this world of political rivalries,
rial gods Tlaloc and Huitzilopochtli.
the most valued legitimate authority resided in communities
Interestingly, the symbolic sources for the legitimation
tracing their royal lineage to the great Toltec kingdom of
of Aztec kingship come from two lines of descent. On the
Tollan (tenth through twelfth centuries CE), which was re-
one hand, Aztec kings drew their legitimacy from the Toltec
membered as the greatest city in history, noted for agricultur-
priest-king Topiltzin Quetzalcoatl, while on the other hand
al abundance, technological excellence, and cosmological
they drew their power from the “all-powerful, the invisible,
order.
the untouchable” Tezcatlipoca, whom one chronicler called
As the Aztec slowly but systematically integrated them-
“the first among all the gods” and who was strongly related
selves into the more complex social world of tlatocayotls, they
to the patron Aztec god Huitzilopochtli. This combination
sought a means to acquire access to the Toltec lineage. Ac-
demonstrates both the strength and, surprisingly, the vulner-
cording to a number of sources, they turned to the city-state
ability of Aztec kings. The most intimate inspiration for
of Culhuacan, which held the most direct lineal access to the
Aztec kings came from the twisting maneuvers of the princi-
authority represented by the Toltec, and asked to be given
pal god, Tezcatlipoca. While Quetzalcoatl was an ancient
a half-Aztec, half-Culhuacan lord by the name of Aca-
underpinning of Aztec kingship, Tezcatlipoca’s influence on
mapichtli as their first tlatoani, or royal leader. The successful
the legitimacy, power, and conduct of Aztec rulers was im-
transfer of legitimate kingship to the Aztec resulted in an in-
mediate and pervasive. Guilhem Olivier summarizes the
ternal adjustment of Aztec society. The first several tlatoanis
major feast of Tezcatlipoca:
were forced to negotiate their authority with the traditional
The king personally decorated “his beloved god,” a
social unit of Aztec life, the calpulli. The calpulli was most
young man impersonating Tezcatlipoca, who was des-
likely a type of conical clan in which members were interre-
tined to be sacrificed. The king sacrificed himself sym-
lated by family ties but hierarchically stratified according to
bolically through the man who was the image (ixiptla)
lines of descent from a sacred ancestor. This sharing of au-
of his tutelary divinity. Likewise, during the royal en-
thority took an abrupt turn at the collapse of the Tepanec
thronement rites, the future sovereign wore pieces of
kingdom between 1426 and 1428 and the formation of a
fabric that covered the sacred bundles (tlaquimilolli) 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
5174
KINGSHIP: KINGSHIP IN MESOAMERICA AND SOUTH AMERICA
Huitzilopochtli and of Tezcatlipoca, ritually reproduc-
This passage demonstrates how, at least in the eyes of
ing the death and rebirth of the two major Aztec divini-
some of his descendants and Spanish chroniclers, an Aztec
ties. (Olivier, 2001)
king used an ancient mythological tradition of kingly abdica-
tion in a new situation for the purpose of interpreting a
Perhaps the most vivid example of Tezcatlipoca’s influence
threatening development. According to this tradition, the
appears in the prayers recited at the installation of a ruler and
kingdom of Tollan (centuries before the Aztec arrived in the
upon his death. When a new king was installed in Tenochti-
central plateau of Mexico) was ruled by the brilliant priest-
tlan, Tezcatlipoca was invoked as the creator, animator,
king Topiltzin Quetzalcoatl, but it collapsed when a sorcerer
guide, and potential killer of the king. The ceremony, ac-
(Tezcatlipoca) from the outside tricked him into violating his
cording to book 6 of Fray Bernardino de Sahagún’s Historia
kingly vows and abdicating his throne. Topiltzin Quetzal-
general de las cosas de la Nueva España (compiled 1569–1582;
coatl left his kingdom for the eastern horizon, where, accord-
also known as the Florentine Codex), begins at the moment
ing to different traditions, he either sacrificed himself and be-
when “the sun . . . hath come to appear.” The particular
came the morning star or sailed away on a raft of serpents
phrasing of the description of the sunrise in the prayer re-
promising to return one day and reclaim his throne. In the
ported by Sahagún is related to the story of the creation of
crisis of 1519, according to some interpreters, the last Aztec
the Sun in the official cosmogonies of the Aztec elites. The
king applied to a series of reconnaissance reports the archaic
king’s installation and Tezcatlipoca’s presence are seen as
mythologem of Quetzalcoatl’s flight and promised return to
cosmogonic acts that result in the dawning of a new day. As
regain his throne. Moctezuma sent jeweled costumes of Aztec
the ritual proceeds, Tezcatlipoca is called the “creator . . .
deities, including the array of Quetzalcoatl, to Cortés, and
and knower of men” who “causes the king’s action, his char-
he instructed his messengers to tell Cortés that the king ac-
acter,” even the odors of his body. This intimacy is best stat-
knowledged the presence of the god for whom he had been
ed when Tezcatlipoca is asked to inspire the king: “Animate
waiting to return and sit in the place of authority. As the
him . . . for this is thy flute, thy replacement, thy image.”
Spaniards advanced, Moctezuma fell into an emotional crisis
This intimacy is carried to a surprising turn when, later in
(“He was terror struck . . . his heart was anguished”), and
the narrative, the prayer asks Tezcatlipoca to kill the king if
he made two gestures of abdication. First, he moved out of
he performs badly. This resonates with the tradition about
his kingly residence into a palace of lesser authority, and sec-
Tollan, in which the king Quetzalcoatl broke his vows of
ond, he sought escape in a magical cave where he believed
chastity and was sent away by the sorcerer Tezcatlipoca. The
he could pass into the supernatural world. When Cortés ar-
omnipotence of Tezcatlipoca is also evidenced in the repeat-
rived at the capital, a series of encounters took place in which
ed statement that the new king, like all the other previous
Moctezuma instructed his nobles to transfer their power to
rulers, was merely borrowing the “reed mat” (symbolic of
the returning king. In this situation, a form of “imperial
kingship) and “thy [i.e., Tezcatlipoca’s] realm” during his
irony” appears in the tradition of Aztec kingship. On the one
kingship. The invocation to Tezcatlipoca ends when the god
hand, the Aztec drew their legitimacy from the tradition that
is asked to send the king “to be on the offensive” in the “cen-
depicted Tollan as a city-state characterized by agricultural
ter of the desert, to the field of battle.” Kings in Aztec society
stability, artistic achievement, and religious genius. But in
were expected above all to be successful in warfare.
drawing their legitimacy as Toltec descendants, they were
As this historical narrative demonstrates, the Aztec sense
also heirs to a tradition of kingly abdication and dramatic po-
of legitimacy was derived, in part, from their acquired con-
litical changes. Like Topiltzin Quetzalcoatl, who gave his
nection to the ancient kingdom of Tollan, where Quetzal-
kingdom to Tezcatlipoca, Moctezuma opened the royal door
coatl ruled a world of abundance, artistic creativity, and cos-
for Cortés to enter.
mic balance, only to be undone by his counterpart
It must be noted that this interpretation, found in both
Tezcatlipoca. This connection and conflict apparently influ-
the sixteenth-century chronicles and a group of modern
enced Aztec kingship and provided to some degree an ironic
studies, is in constant dispute by some scholars who believe
destiny for the last Aztec tlatoani, Motecuhzoma Xocoyotzin
these episodes were largely fabricated during the early dec-
(Moctezuma II). In fact, the vulnerability of Aztec kingship
ades of Spanish colonial domination in central Mexico. In
is reflected in a series of episodes involving Motecuhzoma
this view, the application of Quetzalcoatl’s return to the ar-
Xocoyotzin and Hernán Cortés, the leader of the conquering
rival of Cortés was part of a vigorous sixteenth-century prose
Spanish expedition (1519–1521). According to the account
project designed to justify the holy and just war propaganda
of the conquest of Tenochtitlan told in book 12 (“The Con-
of the Europeans and to celebrate the genius of their tri-
quest”) of Sahagún’s work, when word reached the magiste-
umphs.
rial city of Tenochtitlan that “strangers in the east” were
making their way toward the high plateau, “Moctezuma
In the case of the last great civilization of Mesoamerica,
thought that this was Topiltzin Quetzalcoatl who had come
sacred kingship was an urban institution acquired by the
to the land. . . . It was in their hearts that he would come
Aztec, who utilized borrowed and indigenous religious
. . . to land . . . to find his mat . . . his seat. . . . Moc-
symbols to legitimate their imperial expansion and social
tezuma sent five emissaries to give him gifts.”
character.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: KINGSHIP IN MESOAMERICA AND SOUTH AMERICA
5175
MAYA SACRED KINGS. In the last several decades, our overall
riage alliances, and visits by honored foreign leaders,
view of the long, complex history of Maya society, culture,
royal authority was clearly subject to challenge. Titles
and rulership has undergone something of a revolution.
for subsidiary lords proliferated in the Late Classic, sug-
Where once were imagined peaceful kingdoms ruled by as-
gesting growing recognition of sub-royal entitlements.
tronomer priests who had mastered the human tendencies
A “council house” (popul na) is material evidence that
Copan’s rulers shared formal governance with high-
of aggression and warlike domination, it is now known that
ranking nobles by the late eighth century CE. (Ashmore,
Maya peoples, despite their superb artistic, mathematical,
2001)
and architectural capacities, struggled violently among their
various city-states, kingdoms, and extended families. Stun-
What seems particularly outstanding through the Maya
ning breakthroughs in deciphering Maya forms of writing
world, especially in places like Copan and Tikal, is a pro-
have led to a complex understanding of how Maya societies
found respect given to the founders of kingdoms and their
were organized around stunning ceremonial centers in which
real or imagined well-being. Ancestor worship as social and
resided, supreme among an ever pulsating elite community,
symbolic sites where each new generation discerned the will
the ajaw or k’uhl aja-lord (ruler or holy lord or supreme
of the gods seems profoundly intertwined with the rise, flo-
ruler). As one Maya scholar writes, “Perhaps the most fa-
rescence, and waning of Maya society.
mous Mesoamerican scenes of accession appear on the so-
INCA SACRED KINGSHIP. When Spanish soldiers led by
called niche stelae of Piedras Negras; they represent the new
Francisco Pizarro arrived on the Pacific coast of South Amer-
king on a scaffold throne, surrounded by cosmological sym-
ica in 1527, they encountered the Inca empire, called Tah-
bols of heaven. Like the Mexica emperors, the new Maya
uantinsuyu (land of the four quarters). At its height, the em-
ruler is shown at the central point of the cosmic order” (Stu-
pire extended from the northern border of present-day
art, 2001).
Ecuador south for more than 4,300 kilometers to the Maule
Scholarship has shown that in many ways the Maya rep-
River in Chile. This kingdom contained more than twelve
licated the basic pattern of ruler-deity relations, control of
million people organized into a tightly knit series of local,
natural and cultural resources, dominance through military
regional, and imperial administrative units, with authority
aggression, and administration of tributary payments out-
centered in the capital city of Cuzco. When subsequent re-
lined above in the central Mexican world. But the Maya
searchers attempted to reconstruct the history of the Inca
world also had many distinctive royal practices and variations
empire, they found two impressive facts. First, the Inca
of sacred authority during the many centuries of urban devel-
achieved a meteoric rise from a modest village settlement in
opment. In exquisitely constructed civic ceremonial centers
the valley of Cuzco to an imperial power in less than one
such as Tikal, Copán, Quirigua, Caracol, Calakmul, and
hundred years. Second, the Inca recorded their own historic
many others, rulers and their elite families occupied and con-
developments in terms of the lives and achievements of their
trolled high-status compounds from which they ruled a large
kings and the care of dead kings by the royal mummy cult.
populace by directing ritual performances in imposing stone
The term Inca, according to the social context to which
temple precincts, spacious plazas, and even ballcourts.
it refers, can have one of three meanings. As Michael A. Mal-
Kkings and their families reenacted cosmological narratives,
pass writes,
sometimes of bellicose and warlike character in these ball-
courts. Royal authority, as William Fash (2001) has shown,
It can refer to a people, an empire, or even a single per-
was powerfully reinforced through public displays of portrait
son—the Inca king. The term as it is used by experts
sculptures, dynastic genealogies, and accounts of military vic-
refers only to the small ethnic group that originally lived
tories against neighboring city-states. In Maya centers
in the area around Cuzco. All others were not originally
Incas; we may refer to them as Inca subjects, but not
throughout a long, complex history, rulers skillfully used
as Incas. To be an Inca was to have certain privileges
public architecture to not only map the course of the time
not allowed to others; to wear a particular kind of head-
and the heavens but also to persuade the populace of their
band and to wear earplugs that were so large that they
individual dynastic interests and interpretations.
stretched out the earlobe. This caused the Incas to be
given the Spanish nickname orejonjes, or “big ears.” Not
Certainly by what is called the “Late Classic” period, the
to be an Inca was to be subject to the orders of the
holy lords of many Maya centers passed on their authority
reigning Inca king, who claimed ownership of your
from father to son, unless a younger brother was deemed
land and rights to your labor. Thus the differences be-
more fit for the accession to the throne. Among the Maya,
tween the Inca and the Inca subject were great (Mal-
as archaeological and ethnohistorical evidence clearly shows,
pass, 1996, p. 37).
women sometimes governed as regents and played crucial
The origin myth of the Incas explains the sacredness of the
roles in interdynastic marriage alliances. The record also
royal Inca lineage. Eight ancestors of the Inca kings, four
shows that Maya rulers lived in an unstable social world. As
women and four men, emerged from a cave near the town
one scholar writes:
of Pacariqtambo. One of them, Maco Capac, became the
Despite the sumptuous royal tombs, impressive build-
first Inca ruler, and from him all subsequent kings descend-
ing programs, and texts extolling military exploits, mar-
ed. After other people emerged from nearby caves, the 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
5176
KINGSHIP: KINGSHIP IN MESOAMERICA AND SOUTH AMERICA
ancestors gathered them together and sought a place to settle.
fying deity that identified itself as the Inca sky god; the sky
They drove out the original inhabitants of the town of Cuzco
god called Cusi Yupanqui “my son,” and he told Cusi Yu-
and there established a capital city. From this myth, it is
panqui that if he followed the true religion he would become
gathered that Inca kingship was intimately related to:
the Sapay (great) Inca and conquer many nations. Driven by
this powerful vision and supported by increased political alli-
1. The powers of the earth, for example, caves.
ances, the Inca leader drove the invaders away, which result-
2. A cosmology of wholeness symbolized by the number
ed, after factional intrigues against his father and brother, in
eight, with four males and four females constituting a
his ascension to the throne. The new king then embarked
balance of gender.
on an intense series of conquests resulting in the expansion
3. The site of Cuzco, which served as the axis of the Inca
of Inca lands and the laying of the foundation for the Inca
world.
empire. He became known as Pachacuti, which means “cata-
clysm” or “he who remakes the world.” This remarkable epi-
4. A direct line to Manco Capac.
sode, which is recorded in a number of sources, combines
At its most basic social level, the world of these kings and
two major patterns of Inca religion: the sacred legitimacy of
their royal mummies was organized by ayllus, which appear
Inca kinship and the responsibility of the king to acquire new
to have been composed of well-ordered endogamous kinship
territories through conquest and warfare.
groups that traced their descent to a common ancestor. Ayllu
While it is difficult to present a satisfactory outline of
members emphasized self-sufficiency by rigorously practic-
Inca religion, recent studies have identified three major com-
ing certain traditions such as assisting one another in the
ponents, each relating to the power and authority of Inca
construction of homes and public buildings, the farming of
kings: the omnipotence and omniscience of the creator sky
lands together, and the care of specific deities within local
god Viracocha, the cult of ancestor worship and mummies,
ceremonial centers. In fact, certain common plots of land
and the pervasive pattern of the veneration of huacas.
were used to produce goods for sacrifices at the shrine of an-
Inca kings derived their sanctification from what Arthur
cestral deities.
Andrew Demarest (1984) calls the “upper pantheon” of Inca
These ayllus were organized into larger units such as vil-
religion. According to Demarest’s useful formulation, the
lages and chiefdoms that were involved in intense raiding
single Inca creator sky god manifested himself in at least
and small-scale warfare among themselves. The social setting
three subcomplexes organized around Viracocha (the univer-
of ayllus and competing chiefdoms helped to produce the
sal creator), Inti (the sun god), and Illapa (the thunder and
emergence of sinchis, or war leaders, who possessed the addi-
weather god). Ritual cycles and ceremonial events associated
tional capacity to organize groups of men into firm alliances.
with political, astronomical, and economic schedules re-
These leaders were chosen from the prominent adult male
vealed the many aspects and versions of this upper pantheon.
members of the ayllus, and if one was particularly successful
At the center of the sacred schedule of activities stood the
in warfare and conquest of new lands, he utilized his acquisi-
Sapay Inca, who was venerated as the manifestation of Vira-
tions to achieve more permanent positions of leadership.
cocha, as the descendant of Inti, and, upon his death, as the
It appears that the earliest Inca kings were particularly
power of Illapa.
prominent sinchis who achieved a semblance of permanent
Cult of ancestor worship. The second aspect of Inca
and legitimate authority by manifesting an intimacy with the
religion related to kingship is the fascinating cult of ancestor
Inca sun god Inti. The actual reconstruction of the process
worship and mummies. A pan-Andean tradition of ancestor
of the rise of sacred kingship in the Inca culture is difficult
worship, in which the bodies of dead family members were
to discern. However, the standard Inca histories hold that all
venerated as sacred objects and ceremonially cared for by the
Inca kings descended from this great solar god. Different pri-
living, permeated Inca existence. Central to this tradition was
mary sources include a standard list of thirteen Inca kings
the practice of oracular communication with the dead. The
dating back to mythical times, but serious historical recon-
ancestral remains, in the form of a mummy or simply a col-
structions reveal that the expansion of Inca power beyond
lection of bones, were called mallquis. Specific questions con-
the chiefdom level and the consolidation of authority in
cerning all aspects of life were put to the mallquis, and specif-
kings took place with the career of the ninth Inca king,
ic answers resulted. Specialists known as the mallquipvillac
Pachacuti.
(they who speak with the mallquis) were influential in Inca
life. The ancestral spirits also manifested themselves in
The sacred histories of the Inca tell of a crucial turning
hierophanies of stones and plants, and, most powerfully, in
point in the creation of their empire. In 1438 the fledgling
the sparks of fires. Specialists called the “consultors of the
Inca village of Cuzco was attacked by the aggressive army of
dead” communicated with the ancestors through fire.
the Chanca. A threatening siege of the settlement resulted in
the flight of the Inca king Viracocha and his designated suc-
The quintessential expression of this pattern of ancestor
cessor, his son Urcon, from the capital. Another son, Cusi
worship was the royal mummy cult of Cuzco. As already
Yupanqui, commanded the defense of Cuzco. Just before the
noted, the king was considered a descendant of the sky god
expected final attack, the commander had a vision of a terri-
Inti or Viracocha. At the death of a Sapay Inca, the authority
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: KINGSHIP IN MESOAMERICA AND SOUTH AMERICA
5177
to govern, wage war, and collect taxes passed on to one of
practice of ancestor worship with the historical process of im-
his sons, ideally a son born of a union with the king’s sister.
perial expansion and warfare. As in Mesoamerica, sanctified
However, all possessions of the dead king, including his pal-
legitimacy was derived from connection with ancient and
aces, agricultural lands, and servants, remained the property
contemporary hierophanies, deities, and their human repre-
of the mummy. These possessions were to be administered
sentatives.
by his panaqa, a corporate social unit made up of all the de-
scendants in the male line. While the panaqa lived off a small
SEE ALSO Aztec Religion; Inca Religion; Maya Religion;
portion of these lands, the group’s primary purpose was to
Quetzalcoatl; Tezcatlipoca.
function as the dead king’s court and to maintain his
mummy in private and public ceremonial events, relaying his
BIBLIOGRAPHY
wishes through oracular specialists and carrying out his will.
Adams, Robert M. The Evolution of Urban Society: Early Mesopota-
mia and Prehistoric Mexico. Chicago, 1966. This concise
The public display of these mummies was a major element
study of urban development in Mesopotamia describes the
in Inca ceremonial life. Processions of kingly mummies, ar-
step-by-step process of the rise of intense social stratification.
ranged according to their seniority, traveled through the
It includes insightful passages on the persistence of the sacred
fields at rainmaking ceremonies and paraded through the
in periods of secular growth.
streets of the capital to the ceremonial center of Cuzco,
Ashmore, Wendy. “Maya Lowlands.” In Oxford Encyclopedia of
where they observed and participated in state rituals. They
Mesoamerican Cultures, edited by Davíd Carrasco, vol. 1,
also visited one another to communicate through oracular
pp. 242–243. New York, 2001.
specialists and participated in the dances, revelries, and cere-
Brundage, Burr C. Empire of the Inca. Norman, Okla., 1963.
monies in their honor. All kings, alive and dead, were consid-
Though dated in some respects, Brundage’s study provides
ered the living spirit of Inti.
a useful description of the religious forces contributing to the
integration of the Inca empire.
What is vital to understand is the degree of influence
the cult of mummies had on the conduct and destiny of the
Carrasco, Davíd. Quetzalcoatl and the Irony of Empire: Myths and
Prophecies in the Aztec Tradition. Niwot, Colo., 2001. This
living king. For instance, when the Spanish captured the Inca
work discusses the ironic dimensions of Aztec kingship and
ruler Atahuallpa and condemned him to death, he was given
the roots of sacred kingship in five Mesoamerican capitals.
a choice of remaining a pagan and being burned at the stake
This revised version has a new chapter on the controversy
or converting to Christianity and being garroted. Atahuallpa
surrounding the “return of Quetzalcoatl” tradition and the
chose conversion and garroting, not because he believed in
conquest of Mexico.
Christianity but so that his body would not be destroyed.
Carrasco, Pedro. “Los linajes nobles del Mexico antiguo.” In Es-
After receiving a Christian burial, some surviving Incas se-
tratificación social en la Mesoamérica prehispánica, edited by
cretly disinterred his body, mummified it, and then hid the
Pedro Carrasco, Johanna Broda, et al., pp. 19–36. Mexico
mummy, continuing to treat it in the traditional manner.
City, 1976.
More impressive perhaps is the political and military pressure
Cobo, Bernabé. History of the Inca Empire: An Account of the Indi-
placed on the living king by his mummified father. Powerful
ans’ Customs and Their Origin, Together with a Treatise on
in privilege but much poorer in lands and riches, the new
Inca Legends, History, and Social Institutions. Austin, Tex.,
Inca was spurred on to carry out expansive conquests in order
1979. One of the valuable post-Conquest primary sources
to acquire his own territorial lands and riches so he could live
for the study of various aspects of Inca history and religion.
in the expected manner. This forced him to carry out his
Demarest, Arthur Andrew, and Geoffrey W. Conrad. Religion and
kingly responsibilities of establishing short- and long-
Empire: The Dynamics of Aztec and Inca Expansionism. Cam-
distance trading routes, building agricultural projects to sus-
bridge, U.K., 1984. This study makes a significant contribu-
tain himself and his growing kingdom, building temples to
tion to the comparative study of social dynamics, religion,
the sky god Viracocha throughout the new regions of the em-
and imperialism in the two regions of New World primary
pire, and establishing the local and imperial administration
urban generation.
units into which the kingdom was organized.
Fash, William. Scribes, Warriors and Kings: The City of Cópan and
the Ancient Maya. London, 2001. This beautifully illustrated
At the more popular level, Inca religion was organized
book illuminates the ways that rulers, warriors, and Maya
by the veneration of huacas. Huacas were the endless
scribes interacted to consolidate the Maya worldview and
hierophanies in stones, plants, or other objects that animated
conceptions of authority.
the entire Inca landscape. The countless huacas were objects
Gillespie, Susan D. “Rulers and Dynasties.” In Oxford Encyclope-
of offerings, sacrifices, and oracular events. Even major fami-
dia of Mesoamerican Cultures, edited by Davíd Carrasco, vol.
ly relationships expressed in the concept of villca (ancestor,
3, pp. 96–98. New York, 2001. This is the best overview of
descendant) were examples of huacas. Ancestors were huacas,
up-to-date scholarship on the varieties and powers of sacred
and in this way the Inca mummies were the most sacred of
rulership in Aztec and Maya societies.
huacas.
Katz, Friedrich. The Ancient American Civilizations. Chicago,
1972. The standard starting point for a comparative analysis
The last great civilization of South America, the Inca de-
of the material and social character of Aztec and Inca king-
veloped their concept of sacred kingship by combining their
ship.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5178
KINGSHIP: KINGSHIP IN EAST ASIA
Malpass, Michael A. Daily Life in the Inca Empire. Westport,
The question of whether or not the Shang people de-
Conn., 1996. A very useful summary of scholarship on the
fined the status of their king as Shangdi’s “descendant” has
religion, politics, and daily life in the Inca world.
not yet been settled. The Shang dynasty was founded by
Nicholson, H. B. Topiltzin Quetzalcoatl: The Once and Future
members of the Zi clan, who were descendants of the clan’s
Lord of the Toltecs. Niwot, Colo., 1999.
founder, Xie. According to the Shi jing, Xie was born miracu-
Olivier, Guilhem. Mockeries and Metamorphoses of an Aztec God:
lously; his mother became pregnant after swallowing an egg
Tezcatlipoca, “Lord of the Smoking Mirror.” Niwot, Colo.,
dropped by a dark bird in flight. This mythic story might
2004. This is the finest and most detailed analysis of the evi-
be taken to suggest that the Shang people believed in a blood
dence about Tezcatlipoca’s significance in Mesoamerican so-
link between Shangdi and the king. It may be noted, howev-
ciety and the relationship to kingship.
er, that no oracle-bone inscription has thus far pointed to the
Reed, Kay. Time and Sacrifice in the Aztec Cosmos. Bloomington,
genealogical relationship. According to David N. Keightley,
Ind., 1998.
the doctrine of the “mandate of Heaven” (tianming), usually
Schele, Linda, and David Freidel. A Forest of Kings: The Untold
considered a creation of the Zhou dynasty (1150–256 BCE),
Story of the Ancient Maya. New York, 1990. A detailed study
has deep roots in the theology of the Shang. Di, the supreme
of the lives of individual rulers in lowland Maya cultures.
god of the Shang, is most impersonal in character; that is,
Stuart, David. “Ruler Accession Rituals.” In Oxford Encyclopedia
it was not generally thought that he could be “bribed” by the
of Mesoamerican Cultures, edited by Davíd Carrasco, vol. 3,
sacrifices offered by the members of the royal family. It was
pp. 95–96. New York, 2001.
precisely this impersonality that made it possible for Di to
Wheatley, Paul. The Pivot of the Four Quarters: A Preliminary En-
harm the dynasty by sponsoring the attack of the Zhou, the
quiry into the Origins and Character of the Ancient Chinese
dynasty that followed the Shang.
City. Chicago, 1971. Wheatley places Inca and Aztec social
and symbolic structures within a broad comparative analysis
The state religion of the Zhou times centered on sacri-
of the rise of primary urban generation.
fice to Tian (Heaven) and the gods of the soil (she). A vast
Zuidema, R. Tom. “The Lion in the City: Royal Symbols of
ceremonial was elaborated in which the Zhou king played
Transition in Cuzco.” Journal of Latin American Lore 9
the leading role and on which the well-being of his state was
(Summer 1983): 39–100. One of the many important arti-
deemed to depend. Two kinds of sacrifices were offered to
cles by Zuidema explaining the myths and rituals associated
Tian, the supreme god of the Zhou: in the ancestral temple
with kingship and authority in Inca religion.
and in the open fields. The sacrifice in the open fields, called
DAVÍD CARRASCO (1987 AND 2005)
the “suburban sacrifice,” was the religious act par excellence
of a reigning king; a burnt offering of an unblemished calf
was offered to Tian at the winter solstice, on the round hill-
KINGSHIP: KINGSHIP IN EAST ASIA
ock in the southern suburbs of the royal city.
The central focus of East Asian civilization until the begin-
The Shi jing narrates the origin of the Zhou people: a
ning of the twentieth century remained the king. He was the
woman named Yuan stepped on the big toe of Shangdi’s
center of the universe, whether it was in China, Korea, or
footprint and then gave birth to Hou Ji (Prince Millet), the
Japan, and he was supremely responsible for the well-being
god of agriculture, who was considered the primordial ances-
and prosperity of the society over which he reigned. The
tor of the Zhou. This notion of divine descent probably
king’s political authority was ultimately based on the reli-
gious claim that he possessed the mandate of Heaven, wheth-
helped to establish the Zhou’s claim to the royal throne, and
er temporarily or perpetually. Moreover, the heavenly origin
it may also have contributed to the Zhou conception of the
of the king was acknowledged almost invariably in East Asia.
king as “son of Heaven” (tianzi).
His status was generally defined as (1) the earthly representa-
The Son of Heaven was one who received the mandate
tive of heaven or heavenly will, (2) the descendant of a god,
of Heaven. This mandate signified that imperial authority
or (3) the god incarnate.
could not become a permanent possession of the ruler, that
The earliest institution of kingship to emerge in East
Heaven had the complete freedom to confer or withdraw its
Asia developed on the mainland of China with the establish-
charisma or “gift of grace” from the ruler on earth. Whether
ment of the Shang kingdom (c. 1500–1050 BCE). The Shang
or not the king was given the divine mandate was generally
state centered around the king (wang) for, according to ora-
determined by his acceptance by the “people” (the ruling
cle-bone inscriptions, he was the “unique man” who could
class and their clients, i.e., the literati and landowners). If the
appeal to his ancestors for blessings or, if necessary, dissipate
people recognized his rulership, it was an indication that the
ancestral curses that affected the state. It was believed that
heavenly mandate remained with him, but if they deposed
determining and influencing the will of the ancestral spirits
him or killed him, it was a clear sign that he had lost Heav-
were possible through divination, prayer, and sacrifice. The
en’s moral support. Under these circumstances, the Zhou
king’s ancestors interceded, in turn, with Di or Shangdi, the
conception of the Son of Heaven tended to lose in the course
supreme being in heaven, who stood at the apex of the spiri-
of time whatever genealogical implications it may have had
tual hierarchy of the Shang.
in its beginnings.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINGSHIP: KINGSHIP IN EAST ASIA
5179
The classical Chinese conception of sovereignty took
heavenly in origin. It seems also certain that the number of
shape in the Qin and Han periods (221 BCE–220 CE). While
reigning years he uttered in an unconscious state was accept-
the sovereign adopted the title, connoting supreme power,
ed as an announcement from Tengri, the supreme being in
of huangdi (emperor), he was never considered divine, at
heaven.
least while he was alive, nor was he regarded as an incarna-
The use of the felt carpet was not confined to the T’u-
tion of a divine being. Rather, he was a “unique man” repre-
jue. It was also used among the Tuoba, the Turkic or Mon-
senting Heaven’s will on earth and serving as the link be-
golian people also known as the Xianbei, who established the
tween Heaven and earth. The Chinese notion of the Son of
Northern Wei dynasty (493–534) in China. When the en-
Heaven in its classical form had nothing to do with the gene-
thronement ceremony for Tuoba Xiu was celebrated in 528,
alogical conception of kingship, such as in ancient Egypt or
seven dignitaries held up a carpet of black felt on which the
Japan, that the king was the descendant of a certain god or
new emperor, facing west, made obeisance to heaven (Bei shi,
the god incarnate; the emperor was simply the earthly repre-
bk. 5). In the Khitan state of Liao (907–1125), the enthrone-
sentative of Heaven or heavenly will. The essential function
ment ceremony had as its essential scenario the elevation of
of the Chinese emperor, as formulated in the Han period,
the new emperor on a felt carpet (Liao shi, bk. 49). Chinggis
was to maintain the harmonious cosmic order by means of
Khan, the founder of the great Mongol empire, was also lift-
ceremonials. “The Sage-Kings did not institute the ceremo-
ed in his accession on a carpet of black felt supported by
nies of the suburban sacrifices casually,” states the Han shu
seven chiefs.
(chap. 25). “The sacrifice to Heaven is to be held at the
southern suburb. Its purpose is to conform to the yang prin-
In ancient Korea, several states competed with each
ciple. The sacrifice to earth is to be held at the northern sub-
other for political supremacy until 676, when they became
urb. Its purpose is to symbolize the yin principle.” In short,
united by the kingdom of Silla. The beginnings of these na-
the emperor maintained the cosmic balance by assisting
tions are inseparably interwoven with myths narrating the
Heaven and earth in the regulation and harmonization of the
miraculous birth of the founders, which point almost invari-
yin and yang principles.
ably to the heavenly origin of sovereignty.
In the centuries that followed the fall of the Han em-
The myths can be classified into two major types, one
pire, China was often threatened and invaded by the nomad-
of which may be illustrated by the myth of Puyo˘:
ic peoples of Central and Northeast Asia. Here, too, the king
Tongmyo˘ng, the founder of Puyo˘, was born of a woman who
(khagan, khan) was considered a sacred person, deriving his
became pregnant by a mystical light descending from heav-
sacredness and authority from Tengri (Heaven); he was heav-
en. A similar story is also told of Zhu Mong, who founded
enly in origin, received the mandate from Heaven, and was
Koguryo˘. This type of foundation myth is associated, outside
a supremely important spokesman of heavenly will, serving
of Korea, with Taiwudi (r. 424–452), the third emperor of
as Heaven’s representative on earth.
the Northern Wei dynasty; with A-pao-chi, who founded the
Khitan state of Liao; and with Chinggis Khan. There is no
Significantly, the sacred nature of the king in Central
doubt that this mythic theme was widespread among no-
Asia was often conceived after the archaic model of the sha-
madic peoples such as the Manchus and the Mongolians.
man. Among the Tujue, who dominated the Mongolian
steppes from 552 to 744, a series of strange rituals was per-
The other type of myth is characterized by the story of
formed when a new king acceded to the throne (Zhou shu,
how the founder of a nation or a dynasty descended from
bk. 50): the high-ranking officials turned a felt carpet, on
Heaven onto mountaintops, forests, and trees. According to
which the king was seated, nine times in the direction of the
the myth of ancient Choso˘n, Hwang-wung, a son of the ce-
sun’s movement, and after each turn they prostrated them-
lestial supreme being Hwang-in, descended from Heaven
selves, making obeisance to him. Then they throttled him
onto Mount Tehbaek to establish a nation. The supreme god
with a piece of silken cloth to the point of strangulation and
in Heaven approved of Hwang-wung’s heavenly descent and
asked him how many years he was to rule. In an almost un-
granted him three items of the sacred regalia. He descended,
conscious state, the king uttered his answer.
accompanied by the gods of the wind, rain, and clouds as
well as three thousand people. Similar stories of heavenly de-
This ceremony is somewhat reminiscent of the shaman’s
scent are known of Pak Hyo˘kko˘se and Kim Archi of Silla.
rite of initiation in Central Asia in which the felt carpet
Also noteworthy is the myth of Karak, a small state variously
played a role. Seated on a felt carpet, the shaman was carried
known as Kaya or Mimana: Suro, the founder of Karak, de-
nine times around nine birches in the direction of the sun’s
scends from Heaven onto the summit of Mount Kuji at the
movement and made nine turns on each of them while
command of the heavenly god; a purple rope is seen coming
climbing. Nine turns symbolize the shaman’s ascent to nine
down from Heaven, and at the end of the rope there is a box
heavens. According to the belief of the Tujue, the king in his
containing six golden eggs covered by a piece of crimson
accession makes a symbolic ascent to the highest heaven
cloth. Suro is born of one of the eggs.
through the nine cosmic zones, starting his journey from the
felt carpet on which he is seated; then, after reaching the top
Significantly, the heavenly origin of sovereignty is also
of heaven, he descends onto earth. In this sense, the king was
recognized by the pre-Buddhist tradition of ancient Tibet:
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5180
KINGSHIP: KINGSHIP IN EAST ASIA
GñyaD-khri Btsam-po, the first mythical king, descended
riage of Takaki’s daughter to Amaterasu’s son, to whom
from Heaven onto the sacred mountain of Yar-lha-`sam-po
Ninigi is born. He is born in the heavenly world and, at the
in Yarlung, by means of a rope or a ladder. He agreed to de-
command of either Takaki or Amaterasu or both, descends
scend on the condition that he be granted ten heavenly magi-
onto the summit of Mount Takachiho. When Ninigi is
cal objects. According to Giuseppe Tucci, the Tibetan royal
about to descend, accompanied by the five clan heads, Ama-
ideology owes much to the religious tradition of the pastoral
terasu gives him rice grains harvested in her celestial rice
Turco-Mongolians.
fields, after which he comes down in the form of a newborn
baby covered by a piece of cloth called matoko o fusuma. Es-
Japanese kingship emerged at the end of the fourth cen-
pecially noteworthy is the fact that Ninigi is granted the sa-
tury CE. The ruler called himself the “king [o¯ in Japanese;
cred regalia as well as the mandate of Heaven guaranteeing
wang in Chinese] of Wa” or “king of the land of Wa” when
his eternal sovereignty on earth. Ninigi’s heavenly descent
he addressed the court in China. These designations simply
was reenacted by the emperor at the annual harvest festival
followed what had become customary between the Chinese
in the fall as well as on the occasion of his enthronement
suzerains and the Japanese local princes since the middle of
festival.
the first century CE. However, these titles were never used
within Japan; the sovereign was called o¯-kimi (dawang in
SEE ALSO Amaterasu O
¯ mikami; Chinese Religion, article on
Chinese; “great king”) by local nobles. It is not until the be-
Mythic Themes; Japanese Religions, articles on Religious
ginning of the seventh century that the Japanese sovereign
Documents, The Study of Myths; Shangdi; Tengri; Tian;
began to employ such titles as tenshi (“son of Heaven”) and
Tibetan Religions, overview article.
tenno¯ (“emperor”) to refer to himself, both of which have
been in use until modern times.
BIBLIOGRAPHY
In 600 Empress Suiko sent an envoy to the Sui dynasty,
There is no single book dealing with the problem of sacred king-
the first Japanese mission to China since 502. The Sui shu
ship in East Asia as a whole. On kingship in ancient China,
reports of that mission: “The king of Wa, whose family name
there is a classic study in Marcel Granet’s La religion des
was Ame and personal name Tarishihiko, and who bore the
Chinois (Paris, 1922), translated with an introduction by
title of O
¯ -kimi, sent an envoy to visit the court.” Meaning
Maurice Freedman as The Religion of the Chinese People (New
“noble son of Heaven,” Ametarishihiko (or Ametarashihiko)
York, 1975), pp. 57–96. Valuable information is also pres-
was roughly equivalent to the Chinese tianzi, although its
ented in D. Howard Smith’s “Divine Kingship in Ancient
implications could be different. “Son of Heaven” in the Japa-
China,” Numen 4 (1957): 171–203. David N. Keightley has
made an excellent analysis of the kingship ideology of Shang
nese conception of sovereignty referred invariably to the ruler
China in “The Religious Commitment: Shang Theology and
who claimed his direct genealogical descent from the sun
the Genesis of Chinese Political Culture,” History of Religions
goddess Amaterasu as well as his vertical descent from the
17 (February–May 1978): 211–225. More recently, kingship
heavenly world. The Japanese mission to China was followed
in ancient China has been brilliantly discussed in Guangzhi
by another one in 607: “The Son of Heaven in the land
Zhang’s Art, Myth, and Ritual: The Path to Political Authority
where the sun rises addresses a letter to the Son of Heaven
in Ancient China (Cambridge, Mass., 1983).
in the land where the sun sets” (Sui shu). According to the
The conception of kingship among the nomadic peoples in Cen-
Nihongi (compiled in 720), in 608 Suiko forwarded a letter
tral Asia has been skillfully analyzed in Jean-Paul Roux’s
to China with the greeting: “The Emperor of the East re-
“L’origine céleste de la souveraineté dans les inscriptions
spectfully addresses the Emperor of the West.”
paléo-turques de Mongolie et de Sibérie,” in La regalità sacra/
The classical Japanese conception of sovereignty took
The Sacral Kingship (Leiden, 1959), pp. 231–241. I have ex-
amined the symbolism of the felt carpet with special refer-
shape in the second half of the seventh century. It was an era
ence to both shamanism and kingship in my article “Notes
when, under the influence of the Chinese legal system, a
on Sacred Kingship in Central Asia,” Numen 23 (November
highly centralized bureaucratic state was created. Significant-
1976): 179–190.
ly, the creation of this political structure was accompanied
by the completion of the sacred-kingship ideology that had
On the ancient Tibetan conception of kingship, see Giuseppe
Tucci’s study “The Sacred Characters of the Kings of An-
been developing in the previous centuries; not only was the
cient Tibet,” East and West 6 (October 1955): 197–205.
state conceived as a liturgical community with its paradigm
in heaven, but also the sovereign who ruled the state was ex-
The Tibetan conception of kingship has been compared with that
plicitly called the akitsumikami, manifest kami (god), that is,
of ancient Korea and Japan in my “Symbolism of ‘Descent’
the god who manifests himself in the phenomenal world.
in Tibetan Sacred Kingship and Some East Asian Parallels,”
Numen 20 (April 1973): 60–78.
The essential part of the sacred-kingship ideology was
The formation of kingship and its ideology in ancient Japan is dis-
the belief in the emperor’s heavenly origin, and this belief
cussed in my “Sacred Kingship in Early Japan: A Historical
was clearly expressed in the myths of Ninigi, as narrated in
Introduction,” History of Religions 15 (May 1976): 319–342.
the Kojiki (compiled in 712) and the Nihongi. Genealogical-
See also my article “Conceptions of State and Kingship in
ly, Ninigi is connected with both the god Takaki (Takami-
Early Japan,” Zeitschrift für Religions- und Geistesgeschichte 28
musubi) and the sun goddess Amaterasu through the mar-
(1976): 97–112.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINJIKITILE
5181
New Sources
overhead covered. Much to the anger of the people, the pay-
Butler, Lee. Emperor and Aristocracy in Japan, 1467–1680: Resil-
ments did not materialize.
ience and Renewal. Cambridge, U.K., 2002.
Of Kinjikitile the person very little is known. The most
Ching, Julia. Mysticism and Kingship in China: The Heart of Chi-
nese Wisdom. Berkeley, 1997.
certain event in his biography was his death by hanging on
August 4, 1905, when, together with an assistant, he became
Fujitani, Takashi. Splendid Monarchy: Power and Pageantry in
the first opposition leader to be summarily executed by the
Modern Japan. Berkeley, 1996.
German military forces. He had lived in Ngarambe for some
Piggot, Joan. The Emergence of Japanese Kingship. Stanford, Calif.,
four years prior to this time and had emerged as an influen-
1997.
tial person; the recipient of many gifts, he had become an
Wakabayashi, Bob Tadashi. Japanese Loyalism Reconstrued: Yama-
object of jealousy on the part of local political leaders.
gata Daini’s Ryushi Shinron of 1759. Honolulu, 1995.
Kinjikitile was a synthesizer of many religious elements.
MANABU WAIDA (1987)
Revised Bibliography
There had long been a territorial shrine to Bokero on the Ru-
fiji to which the people had recourse in times of drought.
The drought of 1903 had activated this shrine and extended
its range of influence as pilgrims came from greater and
KINJIKITILE (d. 1905) was a religious leader in south-
greater distances. Kinjikitile’s teachings drew upon this long-
eastern Tanganyika (now Tanzania) who provided inspira-
standing religious institution, joining the territorial authority
tion for the anticolonial struggles known as the Maji Maji
of Bokero with local beliefs in divine possession. His use of
Wars. In 1904, Kinjikitile became famous as a medium in
maji as a new war medicine, which helped to convince people
a place called Ngarambe in Matumbi country, where the op-
to join the rebellion, combined Bokero’s preeminent associa-
pressions of the German colonial system were severe. He was
tion with water with traditional beliefs concerning the effica-
possessed by Hongo, a deity subordinate to the supreme
cy of sacred medicines in protecting hunters. At Ngarambe,
being, Bokero, whose primary ritual center was at Kibesa on
he also built a huge kijumba-nungu (“house of God”) for the
the Rufiji River. At Ngarambe, Kinjikitile blended the spiri-
ancestors; drawing on a resurrectionist theme, he announced
tual authority of Bokero and Hongo with more local ele-
that the ancestors were all at Ngarambe, ready to help their
ments of ancestor veneration at a shrine center where he re-
descendants defeat the Germans and restore the earthly
ceived offerings from pilgrims seeking intercession with the
realm. Furthermore, Kinjikitile’s teachings contained ele-
spiritual world and relief from the adversities they faced,
ments of witch cleansing, whereby the evil within society was
both natural and political. In the later part of 1904 and early
to be eliminated and the community morally purified. By
1905, Kinjikitile advised the pilgrims to prepare themselves
drawing upon these traditional beliefs and using them to
to resist the Germans and dispensed a medicine that he
create an innovative ideology, Kinjikitile provided a regional
promised would turn the enemy’s bullets into water when
and polyethnic basis for the spread of his message of resis-
combat commenced. The rebellion broke out in late July
tance.
1905 without the order coming from Kinjikitile, but the
ideological preparation provided by his message and the sys-
Maji Maji warriors knew that their weapons were inferi-
tem of emissaries that spread the word and the medicine have
or to those of the colonial forces, but the German presence
been viewed as critical in the struggles called the Maji Maji
was not so strong as to overawe them. They hoped for a polit-
Wars.
ical restoration, not of indigenous rulers, but of the Sultan
of Zanzibar, whose regime became idealized because of the
The Maji Maji Wars continued from July 1905 to Au-
relatively benign form of commercial hegemony with which
gust 1907, extending over more than 100,000 square miles
it was associated. Hence there was room for the Germans to
and causing terrible loss of life, estimated officially at 75,000
investigate the possibility that Islamic propaganda or belief
by the Germans and at over 250,000 by modern scholars.
had played a role in the mobilization of resistance. Their con-
Out of this struggle, Kinjikitile emerged as a figure of epic
clusions were negative. Indeed, although Kinjikitile wore the
proportions; he is said to be a religious innovator who de-
traditional garb of Muslims, a long white robe called the
vised a spiritual appeal that transcended particularism and al-
kanzu, his message and idiom were decidedly drawn from
lowed the people to unite against German rule.
traditional sources. Whether he really forged a universalistic
By 1904, resentment of colonial rule and the desire to
traditional religion, as the Tanzanian historian G. C. K.
overthrow it had become widespread in southeastern Tan-
Gwassa has claimed, demands closer scrutiny. Certainly his
ganyika. The times were especially troubled in Matumbi
career obliges students of religion to pay well-merited atten-
country, which experienced a succession of adversities that
tion to the structures and functions of territorial cults, ances-
went beyond the capacity of political agents to handle. In
tor veneration, and concepts of personal spiritual power and
1903 there was a severe drought, and from 1903 to 1905 the
charisma. The context of the Maji Maji Wars must also be
Germans increasingly insisted that the people of Matumbi
carefully weighed to refine notions of thresholds of moral
engage in communal cotton growing, promising payment for
outrage, recourse to religious leaders, and willingness to sub-
the crop once it had been marketed and the administration’s
scribe to a common ideology of resistance.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5182
KINSHIP
BIBLIOGRAPHY
which their organized social life depends” (1949, p. 340). At
Gwassa, G. C. K. “The German Intervention and African Resis-
the time, this was a progressive approach, emphasizing the
tance in Tanzania.” In A History of Tanzania, edited by Isaria
rationality, functionality, and essentially human creativity of
N. Kimambo and A. J. Temu, pp. 85–122. Nairobi, 1969.
such societies. But it became untenable, both because it is
Gwassa, G. C. K. “Kinjikitile and the Ideology of Maji Maji.” In
too reductionist and because of the inherent evolutionist di-
The Historical Study of African Religion, edited by T. O.
chotomy between “primitive” and “civilized”—the former
Ranger and Isaria N. Kimambo, pp. 202–217. Berkeley,
designating a more natural state of social life and the latter
Calif., 1972.
higher cultural development and social institutions—which
Iliffe, John. A Modern History of Tanganyika. Cambridge, 1979.
suggested a great, substantive divide among all forms of
human society. Rather than substantive, the differences and
MARCIA WRIGHT (1987)
contrasts of sociality between societies came to be seen as rel-
ative. Although research in “civilized” societies revealed
many structural similarities with “primitive” societies, reduc-
KINSHIP
ing the social structure of more egalitarian societies to the
is both a social phenomenon found in all
principles of kinship disregards influential factors such as the
human societies and one of the most central and contested
division of labor, gender, or inequality. The link between
concepts in anthropology. It is a pervasive symbolic practice
kinship and social structure is critical in some societies, but
of creating socially differentiated categories of people and the
it cannot be made at the expense of disregarding the dynam-
relationships among them, especially those relationships that
ics of religious or political or economic factors.
concern the reproduction of people and that constitute
human “being.” A significant aspect of kinship relationships
At the same time, the ethnographic evidence across cul-
is that they apply not only to contemporaries, but transcend
tures does not uphold the typologies of social order proposed
the living to include predecessors and ancestors as well as de-
on the ground of a supposed correlation between kinship
scendants and future generations.
constructs such as descent, kinship terminology, or marriage
Who is a relative and how relations of kinship are de-
patterns and aspects of social organization such as gender re-
fined varies from culture to culture. But the ideas and princi-
lations, social roles, the allocations of rights and obligations,
ples underpinning these different kinships systems are often
or the distribution of power. In this regard, studies that com-
closely associated with religious ideas, addressing existential
bined the analysis of kinship and gender since the 1970s con-
questions for all human beings, such as: What makes people
tributed critically to dismantling formal models that linked
humans? How do people come into the world? What consti-
kinship institutions to social organization. The way kinship
tutes a person? What happens to persons when they die?
is conceptualized and structured in a society does not predict
Wherein consists the continuity of social relationships that
the totality of social life.
transcends generations?
KINSHIP AND THE NATURAL. For much of the twentieth cen-
THE CONCEPT. Early anthropologists noticed that the vari-
tury, anthropologists defined kinship as genealogical related-
ous peoples they studied differed greatly in the ways they
ness, that is, as relationships based on consanguinity (the idea
named and categorized kin, defined appropriate behavior
that related people share blood or biogenetic substance) and
among kinspeople, reckoned descent, regulated marriage,
affinity (relationships forged as a result of marriage). This
and organized succession among the generations. Kinship
meant that the diverse ways in which people in different cul-
and its diversity became the central issue in anthropology for
tures define who is a relative and organize their systems of
much of the twentieth century, mainly for two reasons. First,
kinship relationships were explained by falling back on the
both an explanation for the diverse systems of kinship and,
notion that this diversity nevertheless must have a referent
in the face of such diversity, a universal definition needed to
in the natural facts of life, the natural processes of human
be found. This taxing issue led to most of the central debates
sexual reproduction. A critical distinction, between social
in anthropology until quite recently. Arguments over what
kinship and biological kinship, was introduced. Biological
the term kinship designates, and what its analytical validity
relations were considered given in nature, and therefore kin-
is, resulted in a robust reconfiguration of kinship studies
ship could be singled out as the primary structure ordering
since the 1970s. Second, many of the societies anthropolo-
social relations in simple societies. The social relations of kin-
gists studied were societies without state organization, and
ship were regarded as cultural constructs and representations
one of the leading questions was how social order and politi-
that more or less recognized and interpreted biological ties
cal structure were defined and maintained in such societies.
and the given facts of life.
Kinship was considered to play the key role in providing
In the 1960s and 1970s a debate erupted concerning
a basic structure for the organization of the social life of state-
what kinship is all about and engendering a rethinking of the
less and, as they came to be called, as a type, “primitive” so-
concept. It resulted in the analytical separation of physical
cieties. Their social structure, Meyer Fortes stated in The
kinship from biological kinship. The cultural notions of
Web of Kinship among the Tallensi, was “kinship writ large”
physical procreation and consubstantiality—how people
and “kinship . . . is one of the irreducible principles on
considered themselves to be related through shared physical
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KINSHIP
5183
substance, whether it was blood, or semen, or food—should
them empirically rather than take them as given by
be seen as separate from true biological facts and as cultural
definition.
interpretations of genealogical ties (see Holy, 1996 for a use-
DEFINITION. If the defining moment of kinship is not refer-
ful discussion). A major turning point in the still ongoing
enced to biology, what kind of definition can be put forth
reconfiguration of kinship was A Critique of the Study of Kin-
that enables cross-cultural comparison but avoids the pitfalls
ship (1984) by David Schneider, who targeted the analytical
of previous definitions? Current working definitions of the
distinction between biological and social kinship, which he
concept—and there is no single agreed-upon definition—
identified as stemming from a European and American cul-
tend to go back to first principles. They focus on those rela-
tural bias, from Western folk models of kinship which are
tionships that in any given cultural context are considered
embedded in what he called the “general characteristic of Eu-
constitutive of personhood and social human being, of how
ropean culture toward what might be called ‘biologistic’ ways
people come into being, achieve personhood, and attain a so-
of constituting and conceiving human character, human na-
cially recognized afterlife. There may be exceptions, but in
ture, and human behavior” (1984, p. 175). Reflecting a gen-
most human societies these constitutive relationships are
eral shift in anthropology from function to meaning, Schnei-
marked as distinct among all social relations. They often ar-
der’s pioneering work on kinship in American culture
ticulate fundamental ideas about relationality itself, about
analyzed “the distinctive features which define the person as
how social relationships can be forged, maintained, and
a relative” (1968, p. 19), examining American kinship as a
properly dismantled. They also tend to articulate a temporal
symbolic system in which biological relatedness and sexual
component so that such constitutive relationships provide a
relations play a fundamental role as symbols for social rela-
person with a past, with relationships to predecessors, such
tionships. In many non-European traditions, kinship rela-
as ancestry, descent, and collective history.
tionships are not necessarily conceptualized as an elaboration
of natural processes or as the tracing of genealogical connec-
Raymond C. Kelly offered a comprehensive and cross-
tions (and where biological ideas have gained purchase in the
culturally useful definition of kinship in Constructing In-
course of the global spread of Western culture, they are often
equalities (1993). Significantly, he connects kinship to the
being reworked and innovatively amalgamated with existing
concepts of the body and the person:
cultural ideas). Cultural concepts of procreation may involve
Kinship relations are social relations predicated upon
critical religious elements unrelated to biological processes.
cultural conceptions that specify the processes by which
an individual comes into being and develops into a
The people of the Micronesian island of Yap, for exam-
complete (i.e., mature) social person. These processes
ple, single out human existence as categorically different
encompass the acquisition and transformation of both
from the existence of animals such as their domestic pigs. In
spiritual and corporeal components of being. Sexual re-
Yap culture, human procreation and descent involve not
production and the formulation of paternal and mater-
only bodily processes but also a spiritual component, the re-
nal contributions are an important component of, but
incarnation of ancestral souls. Descent only exists in humans.
are not coextensive with, the relevant processes. This is
It charts the reincarnation of ancestral souls and is distinct
due to the ethnographic fact that a full complement of
from reckoning parentage for the breeding of pigs. Anthro-
spiritual components is never derived exclusively from
the parents. Moreover, the sexually transmitted ingredi-
pologists have always insisted that descent is a concept of so-
ents of corporeal substance are frequently transmitted
cial organization, referring to relatedness based on common
in other ways as well. (p. 521)
ancestry, which may include people not related biologically
and only those genealogical relationships that are socially rec-
These further processes of manipulating and modifying sub-
ognized. In the Yap definition, however, descent and the re-
stances and spiritual components involved in attaining full
lationship to ancestry is part of the process of conception.
personhood and in forging kin relations should not be disre-
garded because of a biologically based definition of kinship.
Since Schneider’s critique, anthropologists approach
As Kelly points out, “there is no analytic utility in artificially
kinship cross-culturally, with an increased reflective sensitivi-
restricting the category of kin relations to relations predicat-
ty to preconceived ideas about what kinship is. As Ladislav
ed on some but not all the constitutive processes of person-
Holy points out in Anthropological Perspectives on Kinship
hood because these processes are culturally formulated as
(1996), “the most significant development in the study of
components of an integrated system” (1993, p. 522).
kinship has been the growing awareness of the cultural speci-
ficity of what were previously taken to be the natural facts
By dissociating the concept of kinship from biology and
on which all kinship systems were presumed to be built”
integrating it with the process of how persons come into
(p. 165). The resulting challenges made kinship again one
being, the investigative focus shifted to ways in which kin-
of the most innovative areas of study, connecting research
ship is embedded in the social life of people and to its con-
across diverse disciplinary, analytical, theoretical, and ethno-
nections to aspects of culture such as religion.
graphic sites. Recent studies of local and specific conceptual-
KINSHIP, PERSON, AND BODY. The approach to kinship and
izations of kinship foreground the questions of what kinship
social organization through the concepts of the person and
means and who is a relative and why, and they seek to answer
the body was most powerfully developed by Marilyn Strath-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5184
KINSHIP
ern in The Gender of the Gift (1988), a comparison of social
briand traditional belief that conception takes place when an
life across the diverse cultures of Melanesia. She generalized
ancestral soul enters the womb of a woman who belongs to
the Melanesian person as “a microcosm of relations” and the
the same landholding descent group with which the ancestor
body as “a register, a site of . . . interaction . . . composed
is associated. Souls thus retain the descent and kin classifica-
of the specific historical action of others” (pp. 131–132), and
tion they had as living beings, and they are reincarnated into
both concepts are keys to understanding social organization
the same kin group. Sexual intercourse is critical to this pro-
and social units such as descent, group formation, exchange,
cess because it provides the soul with a material human form,
and marriage arrangements. The approach echoes well be-
the body, which is made from blood, a kinship substance
yond that region, inspiring studies triangulating kinship, the
provided by the mother, and which is shaped by the father’s
person, and the body elsewhere, including the West. Exam-
activities during sexual intercourse with the mother. Both the
ining kinship in conjunction with personhood also sheds
maternal and paternal contributions are vital to this process.
new light on the structuring of rituals, particularly life-cycle
The mother’s contribution consists of providing blood (es-
rituals such as initiation, marriage, and mortuary rituals in
sence) and spirit, and the father’s of forming the child’s body,
which the body often takes center stage. As Kelly’s definition
which takes an appearance that resembles the father, and of
suggests, life-cycle rituals modify and complement the com-
enabling the child’s growth and eventual separation from the
position of the body and the constitution of the person,
maternal body. A Trobriand father will contribute to feed
which began with procreation. Death rituals often involve
and shape his child’s bodily form and appearance by affec-
the dismantling of the network of relationships centered on
tionately taking care of the child, in what is expressed by
the deceased and the final repayment of contributions to-
Trobrianders as paternal nurture and which remains a vital
wards the deceased person by others. This history of relation-
factor in the course of a person’s life. The different maternal
ships, contributions, and obligations is literally embodied in
and paternal contributions to the making of a child are sym-
the deceased person, and, with the body gone, the person
bolized in the relationships between the child and wider sets
and the obligations need to be discharged by the surviving
of maternal and paternal kin. They also shape the relation-
kin of the deceased. Kinship and life-cycle rituals are ana-
ships between different descent groups who maintain rela-
lyzed here in a combined approach, and such rituals, which
tions of paternal nurture with each other, expressed in vari-
often articulate and realize religious ideas, are part of the pro-
ous exchange events. These collective relationships
cess of attaining personhood.
acknowledge their mutual interdependence from each other
for the regeneration of the descent group. Like an ancestral
Some recent kinship studies reveal the importance of
soul, they depend on paternal nurture to be able to exist in
feeding and nurture to the process of kinship. Janet Carsten
a material, bodily form.
showed that while the people of Langkawi (Malaysia) regard
blood as a substance with which a child is born and which
Recent scholarship on kinship and new reproductive
biotechnology, international adoption, and gay and lesbian
differentiates kin, blood as a kinship substance is modified
families shows that a more flexible concept of kinship, em-
and transformed by breast-milk which the child ingests, and
phasizing relationality and process, may be at work signifi-
later by the food the child eats; through the daily food that
cantly in European and North American practices. At the
was cooked on the hearth of the house and that members of
same time, these new contexts for kinship raise new ques-
a household share, they have a substance in common which
tions about how relatives, especially parents, are defined,
has qualities similar to blood. The body of a Langkawi per-
challenging traditional Euro-American notions that human
son undergoes a social process that reflects the relationships
reproduction is a natural process through which the ties of
of commensality, the sharing of food, and cohabitation that
kinship emerge unproblematically. The new reproductive
the person maintains. One consequence of this processual
technologies manipulate what were deemed to be natural
conceptualization of kinship is that birth siblings and adopt-
processes so that biological relatedness no longer figures as
ed siblings are not socially differentiated if they were nursed
a given ground for kin relations. Marilyn Strathern succinct-
by the same woman and fed from the same hearth, because
ly states the problem as “what is interfered with is the very
the substance that makes them related to others is considered
idea of a natural fact” (1992, p. 41); nature assisted by tech-
to be the same.
nology becomes part of culture. Shared substance, rather
The cultural understanding of procreation and person-
than biology, may also be a powerful connection for mem-
hood among Trobriand Islanders (Papua New Guinea) in-
bers in families created through adoption. These innovative
corporates significant religious and relational concepts that
ways of making kinship suggest that, in the European tradi-
structure social organization. Trobriand procreation not only
tion, the ground for relationality as it is experienced by peo-
involves bodily substance and the reincarnation of spirits,
ple is no longer, or may never have been, simply biology and
but also the creation of form. The Trobriand model of
nature after all.
human reproduction preoccupied many observers and was
ANCESTORS AND DESCENT. Ancestors are important in most
debated as an instance of virgin birth, or denial of physiologi-
kinship systems. Shared ancestry can be the basis for the clas-
cal paternity and sexual intercourse as a condition for procre-
sification of kin into social categories, particularly descent
ation. This is based on a fundamental misconception of Tro-
categories. Ancestors are, by definition, remembered kin, 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
KINSHIP
5185
not all kin are remembered as ancestors, and which kin be-
EXTENDING THE MORALITY OF KINSHIP. Many communi-
come ancestors varies. Among some Amerindian peoples
ties extend the use of kinship terms—the specific names for
only personally known kin become ancestors, whereas in
the different kinship relationships and those used to address
many African and Asian cultures ancestors and their relation-
kin—to refer to non-kin. This is a metaphorical or classifica-
ships are remembered for many generations. In yet other cul-
tory use of kinship which is significant, because it extends
tures ancestors may be remembered as names rather than as
the morality of kinship to other people and sometimes to
deceased kin, but as names associated with land and people
other beings. In Christianity, God is addressed as Father, and
who, by bestowing the names to children, forge descent as
Jesus is addressed as the Son of God. Similarly, members of
a relationship between ancestral name, land, and kinspeople.
Christian faith communities and monasteries use kinship
Among the Dobu Islanders of Papua New Guinea, the physi-
terms to express relationships within their communities. In
cal remains of ancestors are the focus of descent. Dobuans
doing so they express their separation from their families of
return their dead kin to their village of origin and bury them
origin and their commitment to the social relations of the
in the center of the village. The burial mound thus symbol-
community. It has also been suggested that the sharing in the
izes lineal descent unadulterated by affinal relations. Among
Holy Spirit serves as a basis of essence for the social relation-
Australian Aboriginals it is often the memory of the ances-
ships of kinship in Spirit. From an anthropological point of
tors’ journeys in the country, and their activities and experi-
view, one understands such uses in different Christian com-
ences at places in the landscape, that is the content of descent
munities across the world as reflecting cultural diversity and
and connects people to ancestors, the landscape, and their
diverse views of God as Father—depending on the way in
past.
which the role of father is culturally conceived, for example.
Ancestors may be the focal point for the definition of
In some societies, kinship and ancestry is extended to
kin categories and groups, in the case of lineages and clans
animals and other beings who live together with people in
for example, which comprise persons related through descent
the same environment. The Nayaka, a people living in the
exclusively through either the male (patrilineal) or the female
Nilgiri Hills of Tamil Nadu (South India), regard the forest
(matrilineal) line. In societies with a strongly developed pat-
in which they live as a parent. Nurit Bird-David (1999) re-
rilineal descent structure, such as the Lugbara of Uganda, dif-
ports that Nayaka refer to features in the forest such as hills
ferent categories of patrilineal male and female ancestors are
or rocks in the same terms they use to refer to the spirits of
distinguished depending on their descent status and whether
those who were their immediate predecessors (their recently
they contributed significantly to the polity of the descent
deceased ancestors)—as “big father” or “big mother”—and
group during their lifetime. In these societies, genealogies re-
they refer to themselves as children. In relation to their forest
cord effective ancestors.
they see themselves as children of the forest, and they main-
In community-based religions the offices of ritual ex-
tain relationships of sharing. The morality of kinship, specifi-
perts and access to esoteric knowledge may be organized by
cally the sharing morality and intimacy of the parent-child
kinship statuses and succession through descent. Only peo-
relationship, extends to the environment. As Tim Ingold
ple categorized as descendants of a particular ancestor may
notes, “the environment shares its bounty with humans just
be permitted to have certain knowledge or the right to per-
as humans share with one another, thereby integrating both
form rituals. Such experts often employ this knowledge and
human and non-human components of the world into one,
perform rituals on behalf of the whole community or society.
all embracing ‘cosmic economy of sharing’” (Ingold, 2000,
In many Australian Aboriginal, lowland South American,
p. 44).
and Native American cultures of the Southwest, the kinship
system involves a form of dual organization in which people
Such use of kin terms is part of a wider phenomenon
are classified into moieties (halves into which the total society
by which people attribute personhood to the beings with
divides), which are part of a dual cosmology. Moiety organi-
whom they share an environment (e.g., animals, trees, rocks,
zation is related to kinship and descent, but it is often rela-
places), whether or not they address them by kin terms. At-
tively flexible and may involve multiple differentiations,
tributing personhood means that one regards other beings as
which enables cooperation between the moieties. Depending
capable of maintaining social relationships among them-
on the specific system, a person may belong to one or several
selves and with other beings. It indicates what Bird-David
cross-cutting moieties. Moiety affiliation may be strictly
calls a “we-ness which absorbs differences” (1999, p. 78), and
through descent, or it may change according to the specifics
subsumes kinship, or what Roy Wagner (1977) identified
of marriage exchanges or of residence. Some moieties are not
among Papuan cultures as the very ground of being rather
linked to kinship, but are ritual moieties. Among Yolngu, an
than merely of humanity, namely the innate capacity for so-
Australian Aboriginal people of Arnhem Land, there are
cial relationship both with those similar and with those dif-
named matrilineal and patrilineal moieties as well as ceremo-
ferentiated, which renders all beings of an environment akin.
nial nonlineal moieties. Moieties own certain cults and ritu-
als which they perform for the whole community, which in
SEE ALSO Ancestors, article on Ancestor Worship; Commu-
turn supports these services by organizing the performances.
nity; Family; Genealogy; Marriage; Totemism.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5186
KINSHIP
BIBLIOGRAPHY
sive and influential critique of the notion of the primitive,
Bird-David, Nurit. “Animism Revisited: Personhood, Environ-
kinship-based society representing the origins of human soci-
ment, and Relational Epistemology.” Current Anthropology
ety, discussing different theoretical traditions such as totem-
40, suppl. (February 1999): 67–79, 86–91.
ism, lineage theory, and alliance theory.
Bloch, Maurice. “Zafimaniry Birth and Kinship Theory.” Social
Middleton, John. Lugbara Religion. London, 1960; new edition,
Anthropology 1 (1993): 119–32. This concise article outlines
Oxford, 1999. A classic account of kinship and ancestor wor-
the processual nature of kinship and marriage among Zafi-
ship in Africa.
maniry (Madagascar), where a couple emerges through the
Mosko, Mark. “On ‘Virgin Birth,’ Comparability, and Anthropo-
children they raise and the increasing solidity of the house
logical Method.” Current Anthropology 39, no. 5 (1998):
they build over their lifetime; the house turns into a family
685–687. A short but concise discussion of Trobriand Is-
shrine upon their death.
landers’ cultural theory of conception, including relevant ref-
Bloch, Maurice, and Jonathan Parry, eds. Death and the Regenera-
erences.
tion of Life. Cambridge, U.K., 1982. Various excellent arti-
Morphy, Howard. Ancestral Connections: Art and the Yolngu Sys-
cles dealing with death, kinship, descent, and funeral rituals.
tem of Knowledge. Chicago, 1991. A readable ethnography on
Carsten, Janet. The Heat of the Hearth: The Process of Kinship in
the complex relations of ceremony, art, land, ancestry, and
a Malay Fishing Community. Oxford, U.K., 1997. A readable
kinship among an Aboriginal Australian people.
and evocative ethnographic account of kinship on the island
of Langkawi, Malaysia, and a grounded theoretical discus-
Ortiz, Alfonso. The Tewa World: Space, Time, Being, and Becom-
sion of the nature of kinship, especially the concept of sub-
ing in a Pueblo Society. Chicago, 1969. An encompassing eth-
stance.
nographic account of a system of dual classification, of the
dynamic of its inherent division and unity, tracing its appli-
Carsten, Janet, ed. Cultures of Relatedness: New Approaches to the
cation in all aspects of culture.
Study of Kinship. Cambridge, U.K., 2000. A collection of ar-
ticles providing detailed ethnographic accounts of various
Schneider, David M. American Kinship: A Cultural Account. En-
cultural idioms of relatedness in an attempt to rethink kin-
glewood Cliffs, N.J., 1968.
ship theory.
Schneider, David M. A Critique of the Study of Kinship. Ann
Collier, Jane Fishburne, and Sylvia Junko Yanagisako, eds. Gender
Arbor, Mich., 1984.
and Kinship: Essays toward a Unified Analysis. Stanford,
Schweitzer, Peter, ed. Dividends of Kinship: Meanings and Uses of
Calif., 1987. A milestone in kinship studies, dismantling the
Social Relatedness. London and New York, 2000. These arti-
idea of kinship as a separate domain of social life and putting
cles examine kinship as a practice and explore how kinship
forth the cultural construction of difference as the central
is embedded in social life through the way people in various
issue in understanding both kinship and gender.
cultures make kinship concepts work to address specific op-
Desjarlais, Robert. Sensory Biographies: Lives and Deaths Among
portunities and pursue social strategies.
Nepal’s Yolmo Buddhists. Berkeley, Calif., 2003. Insightful
Strathern, Marilyn. The Gender of the Gift. Berkeley, Calif., 1988.
and beautifully written biographical accounts of several per-
One of the most theoretically innovative and influential
sons portraying the many ways kinship and religion shape a
comparative works by a leading anthropologist, a synthesis
life and are closely interwoven in a person’s experience of life.
addressing kinship, personhood, gender, and sociality in
Fortes, Meyer. The Web of Kinship Among the Tallensi. London,
Melanesia.
1949. A classic ethnographic monograph of kinship in the
Strathern, Marilyn. After Nature: English Kinship in the Late
structural-functionalist mode of a culture where kinship is
Twentieth Century. Cambridge, U.K., 1992. An account of
closely linked to ancestral authority.
English kinship in the context of knowledge production, as-
Franklin, Sara, and Susan McKinnon, eds. Relative Values: Recon-
sisted human reproduction, and consumer society, tracing
figuring Kinship Studies. Durham, N.C., 2001. A major re-
the wider implications of producing natural ties through re-
cent contribution towards repositioning kinship studies, par-
productive technology for the way human knowledge is con-
ticularly in response to empirical and theoretical challenges
ceptualized.
posed by international adoption, reproductive technology,
and genetic projects in a globalized world.
Wagner, Roy. “Are There Social Groups in the New Guinea
Highlands?” In Frontiers of Anthropology, edited by Murray
Holy, Ladislav. Anthropological Perspectives on Kinship. London,
J. Leaf. New York, 1974. A seminal essay showing how the
1996. A sensitive and well-argued introductory text on the
exchange of food substances connects with kinship substance
concept of kinship and its history, and still the best available
in a New Guinea society and how kin groups are elicited
today.
temporarily through the use of named differentiations and
Ingold, Tim. The Perception of the Environment: Essays on Liveli-
constitute themselves in the process of such successive ex-
hood, Dwelling, and Skill. London, 2000. An innovative,
change events, rather than in a given kinship structure.
highly synoptic approach to understanding human culture
Wagner, Roy. “Scientific and Indigenous Papuan Conceptions of
through relationality, environment, personhood, and inter-
the Innate.” In Subsistence and Survival: Rural Ecology in the
action.
Pacific, edited by Timothy P. Bayliss-Smith and Richard G.
Kelly, Raymond C. Constructing Inequality: The Fabrication of a
Feachem, pp. 385–410. London and New York, 1977.
Hierarchy of Virtue among the Etoro. Ann Arbor, Mich.,
1993.
Weiner, Annette. Women of Value, Men of Renown: New Perspec-
tives on Trobriand Exchange. Austin, Tex., 1976.
Kuper, Adam. The Invention of Primitive Society: Transformations
of an Illusion. London and New York, 1988. A comprehen-
CLAUDIA GROSS (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
KITAGAWA, JOSEPH M.
5187
KIREEVSKII, IVAN (1806–1856), was a Russian pub-
isolated individual. Kireevskii’s “integrality” of the soul was
licist and Slavophile. In his early years Kireevskii’s literary
to be attained solely by “the common endeavor of all who
criticism gained him the patronage of Vasilii Zhukovskii
believe and think.” The concept of sobornost D, first formulat-
(1783–1852) and the approval of Aleksandr Pushkin (1799–
ed by Kireevskii’s friend Aleksei Khomiakov (1804–1860),
1837). He founded and was briefly the editor of a promising
was equally congenial to Kireevskii himself. Each was eager
journal, Evropeets, closed by the authorities in 1832. This
to promote that sense of Orthodox community and organic
event drove Kireevskii into semiretirement, from which he
fellowship to which sobornost D refers.
was to emerge only occasionally and with reluctance. Only
Several of Kireevskii’s insights were to prove seminal for
in the last decade of his life was he to find a cause that helped
Russian thinkers of succeeding decades. He died an early
to justify his withdrawal from society: collaboration with the
death of cholera and was buried at Optino, his spiritual
monastic elders of the hermitage at Optino. This in its turn
home. Despite the neglect of Kireevskii’s reputation and
provided him with a theological diagnosis for what in 1853
depredations of Optino during the Soviet period, his tomb-
he called “the disorder of my inner forces.”
stone has recently been recovered and restored.
In his early years Kireevskii was a proponent of West-
ernization. But by the late 1830s he insisted on the role of
BIBLIOGRAPHY
Russia as a lodestar for a western Europe in decline. Without
Kireevskii’s complete works were edited by M. O. Gershenzon as
any marked chauvinism or aggressiveness (in this he differed
Polnoe sobranie sochinenii I. V. Kireevskago in two volumes
from several of his contemporaries and successors), he had
(1911; reprint, Farnborough, 1970). To these should be
added the German translation of Kireevskii’s diaries for
become one of the founding fathers of the Slavophile move-
1852–1854 (the original remains unpublished): “Das Tage-
ment.
buch Ivan VasilDevic Kirejevskijs, 1852–1854,” translated by
For Kireevskii this undertaking had involved a conver-
Eberhard Müller, Jahrbücher für Geschichte Osteuropas 14
sion or at least a return to the Orthodox church. At the
(1966): 167–194. Two monographs may be mentioned: Ab-
prompting of his wife, NatalDia Arbeneva, Kireevskii had
bott Gleason’s European and Muscovite: Ivan Kireevsky and
turned his attention from Friedrich Schelling (1775–1854)
the Origins of Slavophilism (Cambridge, Mass., 1972) and
Peter K. Christoff’s An Introduction to Nineteenth-Century
to the church fathers. His first guide in Orthodox church life
Russian Slavophilism: A Study in Ideas, vol. 2, I. V. Kireevskij
was his wife’s confessor, Filaret (d. 1842), a monk of the
(The Hague, 1972).
Novo-Spasskii monastery in Moscow. But in his search for
guidance Kireevskii also visited the Optino community,
SERGEI HACKEL (1987)
which was in the forefront of a Russian hesychast revival.
Here he found two profound and subtle guides—the elder
Leonid (1768–1841) and his successor Makarii (1788–
KISSING SEE POSTURES AND GESTURES;
1860). Kireevskii’s acceptance of their guidance presaged the
SALUTATIONS; TOUCHING
reconciliation of the Westernized gentry and (subsequently)
intelligentsia with the church; and it anticipated what is so
often termed the Russian “religious renaissance” of the early
twentieth century.
KITAGAWA, JOSEPH M. (1915–1992) was a histo-
rian of religions, humanist, Asianist, priest, theologian, edu-
At Optino Kireevskii committed himself to an ambi-
cator, and administrator. The career of Joseph Mitsuo Kita-
tious, unprecedented program—the editing, translation, and
gawa, who served as an editor of the first edition of The
publication of Greek patristic texts. The program attracted
Encyclopedia of Religion (1987), spanned a number of conti-
the patronage of Metropolitan Filaret of Moscow and proved
nents, traditions, disciplines, and roles.
to be a landmark in the history of Russian publishing.
Among the authors made available were Isaac the Syrian
EARLY YEARS. Born to Japanese Christian parents in Osaka,
(d. 700?), Maximos the Confessor (c. 580–662), John Cli-
his father an Episcopal priest, from his youth Kitagawa lived
macus (c. 570–649), Symeon the New Theologian (949–
within the minority Christian tradition in Japan, but was at-
1022), and, representative of Russian mystics, Nil Sorskii
tuned to the variety and depth of Asian thought and belief.
(1433–1508). The first volume issued (1847) was, appropri-
Reflecting on his life, Kitagawa wrote that:
ately enough, called The Life and Writings of the Moldavian
I have always been awed, fascinated and inspired by the
Starets Paisii Velichkovskii (1722–1794). Paisii’s influence
lives of two men, Confucius and the Apostle
had stimulated the resurgence of hesychast spirituality at the
Paul. . . .[P]ersons like myself, born and raised in the
Optino community.
Far East, lived in the shadow of the towering figure of
Confucius. We were inspired by his view of common
With all his concern for the traditional spiritual disci-
human nature, his insistence on the educability of all
plines, Kireevskii had no intention of discarding reason. Nor
men and women, and his vision of ethical universalism
did he see Orthodox tradition as something finite. He spoke
based on the cultivation of human goodness. His voca-
of patristic teaching as “an embryo for the philosophy of the
tion was the training of scholars (Ju), who would influ-
future.” That future philosophy must not be the task of an
ence the administrative policies of the nation. Although
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5188
KITAGAWA, JOSEPH M.
he himself failed miserably during his lifetime to per-
other scholars, they established the “history of religions” ap-
suade the rulers to adopt his policies, Confucius left a
proach, as epitomized in the journal they founded, History
high standard for his disciples to follow. . . .An edu-
of Religions: An International Journal for Comparative Studies
cated person had a vocation to master the saving knowl-
(1961–). While promoting the study of religion on the grad-
edge of the sacred past, to transmit it to the present gen-
uate level, Kitagawa helped educate a large group of histori-
eration, and to interpret contemporary experience in
ans of religion, and trained a number of doctoral students
the light of accumulated wisdom. . . .As a child of a
parsonage, I have been exposed from my earliest days
in the area of Japanese religion, who helped develop the field
to the name of another important figure, namely the
of “Japanese religion” within North America. He was an in-
Apostle Paul. . . .I have come to appreciate over the
defatigable advocate of comparative religion as a component
years the very human qualities of the Apostle Paul. Also
of undergraduate education, and of the role of trained histo-
his piercing insight into human nature and its predica-
rians of religions to teach such courses; he foresaw the role
ment resonates in many of us. . .Paul. . .is a man of
of state institutions as playing a prominent function in the
unusual talents coupled with human weaknesses, com-
teaching about religion, once undertaken only in private in-
pletely dedicated to his vocation of spreading the gos-
stitutions. Kitagawa’s students, both those in his special area
pel. . . .For this vocation he joyfully endured afflic-
of Japanese religion, and in other fields of the history of reli-
tions, hardships, calamities, beatings, imprisonments,
and hunger. Significantly, it was his spiritual maturity
gions, found academic positions throughout the world, espe-
which brought him to a profound understanding of the
cially in the United States and Japan. He is remembered by
meaning of love as the mystery of God. . . .The lives
his colleagues and students as impeccable in dress and man-
of these two persons. . .remain constant reminders to
ners, a consummate diplomat, and an able and tireless ad-
me that our worth must be measured not primarily by
ministrator.
our accomplishments, not even by scholarly accom-
plishments, but by the quality of vocation we find in
Kitagawa interrupted his own academic work to serve
life. (Kitagawa, 1979, pp. 18–20)
for two terms from 1970 to 1980 as dean of the Divinity
School. As dean he looked back to the vision of William
Kitagawa’s own experiences and studies led him to a life-long
Rainey Harper (the academic founder of the University of
commitment of mediating between and among contrasting
Chicago, a scholar of biblical and Middle Eastern studies
viewpoints. He graduated from Rikkyo University, affiliated
who also insisted on the scientific study of religion), finding
with the Episcopal Church, and like his brother followed
in him a role model for mediating both between academic
their father in becoming an Episcopal priest. Coming to the
and professional roles and among various fields. Following
United States to continue his theological studies just before
Harper’s lead, Kitagawa promoted a threefold graduate and
World War II, he was caught in the internment of Japanese
professional mission for the Divinity School: balancing theo-
and Japanese-Americans for the duration of the war. He
logical inquiry, the humanistic (or scientific) study of reli-
commented later that, while ministering to the religious
gion, and the development of professional religious leader-
needs of fellow internees, these relocation camps were his real
introduction to American society. He embraced America’s
ship. Kitagawa’s work as dean has been summed up by his
democratic ideals, and yet noted, with sadness, “America’s
close colleague, Martin Marty: “Kitagawa regularly remarked
failure to fulfill her creed of democratic equality” (Kitagawa,
on the ways the Harper model could be used to criticize ex-
1992, p. 128), not only in his own internment experiences,
cesses in today’s world. Thus he was not impressed by neo-
but domestically on racial issues and internationally on refu-
positivist, ‘more secular than thou’ scholars of religion who
gee matters. Not until after the war, in October 1945, could
pretended that believing communities did not exist, or dis-
he resume his studies, first taking a bachelor of divinity de-
dained them. He was equally unimpressed by professional
gree at Seabury-Western Theological Seminary in Evanston,
ministerial or theological schools which underestimated the
Illinois, in 1947. During this time he also organized an Epis-
need for critical scholarly inquiry” (Marty, 1985, p. 13).
copal mission to Chicago’s Japanese population; this endeav-
Kitagawa was furthering these goals when he was instru-
or eventually became the Asian ministry of the diocese. He
mental in establishing the Institute for the Advanced Study
studied for his doctorate under Joachim Wach at the Divini-
of Religion (now the Martin Marty Center) at the University
ty School of the University of Chicago, completing his dis-
of Chicago. In the United States he was a founding member
sertation on “Kobo-daishi and Shingon Buddhism” in 1951.
and mainstay of the American Society for the Study of Reli-
ACADEMIC CAREER. Kitagawa joined the faculty of his alma
gion, and he was prominent in his support of the Interna-
mater in 1951 and served in a number of capacities, first as-
tional Association for the History of Religions. Kitagawa’s
sisting his mentor Joachim Wach in cultivating the postwar
service to the field was international, sitting on the board of
interest in the study of religion. Their efforts to combine the
directors for both the International Institute for the Study
earlier American tradition of comparative religion with the
of Religion (Tokyo) and the Fund for Theological Educa-
European notion of Religionswissenschaft were cut short by
tion; he was editorial advisor to the Encyclopaedia Britannica
Wach’s premature death in 1955. Kitagawa was instrumental
and on the board of editors for Numen. He lectured widely
in securing the appointment of Mircea Eliade at the Univer-
throughout the world, and delivered a number of major lec-
sity of Chicago; together with Charles H. Long, and later
tures, including the Joachim Wach Memorial Lecture at 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
KLIMKEIT, HANS-JOACHIM
5189
University of Marburg, the Charles Wesley Brashares Lec-
books and articles to 1980. Reynolds and Ludwig have also
tures on the History of Religions at Northwestern Universi-
provided (pp. 11–21) an overview of Kitagawa’s methodolo-
ty, the Charles Strong Memorial Lecture in Comparative Re-
gy. Some of his publications undertook the editing of post-
ligions at Australian universities, the Rockwell Lecture Series
humous works of his mentor, Joachim Wach: The Compara-
at Rice University, and Lectures on the History of Religions
tive Study of Religions (New York, 1958); Understanding and
(sponsored by the American Council of Learned Societies).
Believing: Essays (New York, 1968); and Essays in the History
of Religions (New York, 1988). He also authored Gibt es ein
For his scholarship he received a number of honorary
Verstehen fremder Religionen?: Mit einer Biographie Joachim
degrees.
Wachs und einer vollst(ndigen Bibliographie seiner Werke (Lei-
SCHOLARLY CONTRIBUTION. Several autobiographical state-
den, 1963). Kitagawa was generous in editing the work of
ments can serve to characterize Kitagawa’s work. “Having a
others, such as (with Alan L. Miller) Ichiro Hori, Folk Reli-
father who was a Confucian-turned-Christian minister and
gion in Japan: Continuity and Change (Chicago, 1968); he
co-edited (with Charles H. Long) Myths and Symbols: Studies
growing up in the Yamato area, the oldest district of Japan,
in Honor of Mircea Eliade (Chicago, 1969); he also co-edited
with the children of Buddhist and Shinto clerics as my play-
a number of volumes in Japanese, and some of his articles
mates, made me realize the importance of religion early in
and books were translated into Japanese.
life” (Kitagawa, 1987, p. ix). In contrast to some Japanese
Kitagawa’s own contribution to the field is found in articles such
scholars who began with the study of religion and ended up
as “The History of Religions in America,” in The History of
in the pursuit of theology, Kitagawa notes: “I found that my
Religions: Essays in Methodology, ed. Mircea Eliade and Joseph
own academic pilgrimage moved in the opposite direction:
M. Kitagawa (Chicago, 1959), reprinted in The History of Re-
from theology to the philosophy of religion to Religion-
ligions: Understanding Human Experience (Atlanta, 1987), a
swissenschaft (known as the history of religions, or
collection of his key articles on the history of religions and
Shu¯kyo¯-gaku)” (1987, p. ix). Grounded in his own experi-
Religionswissenschaft. Kitagawa is best known for his work in
ence as a Japanese Christian, Kitagawa reached out to Asians
Japanese religion. His doctoral dissertation, “Kobo-daishi
to broaden their perspective of Christianity, at the same time
and Shingon Buddhism” (Chicago, 1951), although not
chiding Westerners for their Eurocentric conception of
published, has been used widely (in photoduplicated copies
Christianity. Having received his earliest academic training
in university libraries). His major work is Religion in Japanese
History (New York, 1966), an overview still utilized as a text-
in Japan, and then undergoing a harsh introduction to
book; his key articles are collected in On Understanding Japa-
American democracy through internment, he completed his
nese Religion (Princeton, N.J., 1987). While continuing his
graduate work in an American setting under the European
scholarly work, he remained in touch with his concern for
influence of Wach, and later refined his understanding of re-
social issues, editing The American Refugee Policy: Ethical and
ligion in collaboration with his colleague Eliade; he parlayed
Religious Reflections (Minneapolis, 1984). At the end of his
Wach’s notion of Verstehen (understanding) and Religion-
career Kitagawa turned to broader themes: the theological
swissenschaft into the more recent category of history of reli-
work The Christian Tradition: Beyond its European Captivity
gions. Like Eliade, Kitagawa deplored the fact that we do not
(Philadelphia, 1992), and the synthetic works The Quest for
have a more precise term than religion, but insisted that “the
Human Unity: A Religious History (Minneapolis, 1990) and
point of departure of Religionswissenschaft is the historically
Spiritual Liberation and Human Freedom in Contemporary
Asia (New York, 1990). He wrote a brief autobiographical
given religions” (Eliade and Kitagawa, 1959, p. 21). He ac-
account, “Vocation and Maturity” (pp. 18–20), in Criterion:
knowledged in a critique of the history of religions approach
A Publication of the University of Chicago Divinity School 18,
that “there are no purely religious phenomena,” but agreed
no. 2 (1979). Appreciations of Kitagawa’s contributions as
with Eliade that “the meaning of a religious phenomenon
a scholar, educator, and administrator are included in Crite-
can be understood only if it is studied as something reli-
rion 24, no. 3 (1985), which includes Robert Wood Lynn,
gious,” viewing it religio-scientifically or religio-historically
“The Harper Legacy: An Appreciation of Joseph M.
(Eliade and Kitagawa, 1959, p. 21).
Kitagawa”(pp. 4–8); Martin E. Marty, “Joseph M. Kitagawa,
the Harper Tradition, and this Divinity School” (pp. 9–13);
SEE ALSO Japanese Religions, overview article.
and D. Gale Johnson, “Comments on Joseph Kitagawa’s
Day” (pp. 14–16). A memorial tribute in Criterion 32, no.
1 (1993) is Nancy Auer Falk and H. Byron Earhart, “Perfect
BIBLIOGRAPHY
in Dress and Address: Remembering Joseph Mitsuo Kita-
From early in his career Kitagawa wrote on a wide range of issues
gawa, 1915–1992” (pp. 10–16).
for a general audience in various publications, voicing his
concerns about social and political issues, such as the war-
H. BYRON EARHART (2005)
time internment of Japanese-Americans and the treatment of
refugees, and speaking to theological issues (especially the sit-
uation of Asian churches and the character of missionary ac-
KLIMKEIT, HANS-JOACHIM.
tivity). The best source for such materials is in the Festschrift
Hans-Joachim
edited by Frank E. Reynolds and Theodore M. Ludwig,
Klimkeit (1939–1999) was born in Ranchi, Bihar, in India,
Transitions and Transformations in the History of Religions: Es-
the son of a German Lutheran missionary. Klimkeit spent
says in Honor of Joseph M. Kitagawa (Leiden, 1980); the bibli-
his youth in different parts of the subcontinent, and from
ography, pp. 3–9, includes a comprehensive listing of both
early on he became acquainted with such languages as 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
5190
KLIMKEIT, HANS-JOACHIM
glish, Hindi, Urdu, Bhojpuri, and Tamil. In 1955 Klimkeit
Jens Peter Laut, and Helmut Eimer), Klimkeit was much
moved to Germany, where he passed his school-leaving ex-
concerned with questions of religious iconography.
amination in 1958. Afterwards he took up studies of Protes-
While he added a sense of history and a rich variety of
tant theology, first at a small ecclesiastical academy, then,
source materials to the abstract phenomenologist sketches of
from 1959 onwards, at the university of Tübingen. There,
his teacher and predecessor Mensching, Klimkeit would al-
besides theology, he also studied mathematics and, more im-
ways remain heavily influenced by the phenomenology of re-
portantly, philosophy with the hermeneutician Otto Frie-
ligion and hermeneutics as represented by Bollnow and Jo-
drich Bollnow and Indology with Helmuth von Glasenapp,
achim Wach (see Klimkeit, 1972). In his later work,
who both would have a lasting impact on him. In 1961
Klimkeit advocated the idea of a “problem-centered” (and
Klimkeit went to study at Bonn under the phenomenologist
humanist) phenomenology of religion (see Klimkeit, 1986,
Gustav Mensching, whose successor he became in 1972.
1999), and he intended a comparative study of the “answers”
Klimkeit took his Ph.D. with a thesis on Ludwig Feuer-
that different religions give (or have given) to a number of
bach’s ideas about miracles from the point of view of the phe-
fundamental problems of humankind, such as good and evil,
nomenology of religion (Das Wunderverständnis Ludwig
human autonomy, and divine heteronomy (see Gantke, who
Feuerbachs in religionsphänomenologischer Sicht, 1964). After-
continued this approach in his own work).
wards he spent one year at the Center for the Study of World
As a teacher and supervisor, Klimkeit had a remarkably
Religions at Harvard University, where Wilfred Cantwell
open and kind attitude. Rather than founding a school in the
Smith encouraged him to add a historic-philological ap-
strict sense, he actively encouraged his students to pursue
proach to the sort of phenomenology represented by Men-
their own paths, even if they were leading into territories be-
sching. Klimkeit then began studying Sanskrit, and after he
yond Klimkeit’s frame of mind. During his time there, the
returned to Bonn he wrote his Habilitation on antireligious
tiny Religionswissenschaftliches Seminar at Bonn University
movements in Southern India (Anti-religiöse Bewegungen im
experienced an unprecedented increase in enrollment. Klim-
modernen Südindien: Eine religionssoziologische Untersuchung
keit was the editor of several books and series (most impor-
zur Säkularisierungsfrage, 1971). The work was intended as
tantly the series Studies in Oriental Religions), and he served
a contribution to the issue of secularization from the point
as coeditor of the Zeitschrift für Religions- und Geistesgesch-
of view of the sociology of religion. His interest in recent de-
ichte, the series Nag Hammadi and Manichaean Studies, and
velopments in Indian religious history would culminate in
the Theologische Realenzyklopädie. In addition, Klimkeit
Der politische Hinduismus: Indische Denker zwischen religiöser
served on the boards of several academic societies. Even be-
Reform und politischem Erwachen (1981), which was pub-
fore the fall of the Iron Curtain, he had established impor-
lished before “political Hinduism” had become a standard
tant and lasting contacts with colleagues in many countries
agenda. Klimkeit’s knowledge of Sanskrit left fruitful traces
ranging from the former German Democratic Republic to
in his book on the Buddha (1990), in which he emphasized
China, which would greatly facilitate the progress of research
the importance of the Northern Buddhist Sanskrit texts, as
on the Silk Road and Manichaeaism.
against the later Pali books.
During the 1970s, by learning several other languages
BIBLIOGRAPHY
(Uighur, Middle Iranian, Sogdian, Tibetan, and Mongolian)
For a complete bibliography of Klimkeit’s writings (360 items)
Klimkeit laid the groundwork for his later studies on Mani-
and a survey of the courses and classes taught by him in
Bonn, as well as the thirty Ph.D. theses and four Habilitation
chaeism (e.g., Klimkeit, 1982, 1989, 1993) and the Silk
supervised by him, plus obituaries, see Ulrich Vollmer,
Road (e.g., Klimkeit 1986, 1988). These were mainly pub-
“Hans-Joachim Klimkeit—Werk, Wirken, Würdigung” in
lished during the 1980s, the peak period of his scholarly out-
Religionsbegegnung und Kulturaustausch in Asien: Studien zum
put, while the 1990s were increasingly overshadowed by the
Gedenken an Hans-Joachim Klimkeit, edited by Wolfgang
illness that ended in his tragic death in 1999.
Gantke, Karl Hoheisel, and Wassilios Klein, pp. 11–48
(Wiesbaden, Germany, 2002). For Wolfgang Gantke’s per-
Both in his teaching and his research, Klimkeit worked
sonal recollections plus an evaluation of Klimkeit’s approach
on a remarkable number of different religions, most impor-
to the phenomenology of religion, see his essay in this vol-
tantly Hinduism, Buddhism, (Nestorian) Christianity (e.g.,
ume, “Mut zur Offenheit: Erinnerung an Hans-Joachim
Gillman and Klimkeit, 1999), Zoroastrianism, and in partic-
Klimkeit und einige seiner zentralen Überlegungen zur reli-
ular Manichaeism (Klimkeit was instrumental in the revival
gionswissenschaftlichen Methodendiskussion,” pp. 72–80.
of Manichaean studies). Apart from writing and coauthoring
See also:
monographs and papers on single religions, Klimkeit devot-
Gillman, Ian, and Hans-Joachim Klimkeit. Christians in Asia Be-
ed several important studies to different forms of encounter
fore 1500. Richmond, UK, 1999. Klimkeit contributed the
and interaction between religions and cultures, in particular
chapters on Christians in Central Asia and Christians in
(but not exclusively) on the Silk Road. Apart from his work
China.
with textual sources (culminating in his collection of
Klimkeit, Hans-Joachim. “Das Prinzip des Verstehens bei Jo-
Manichaean texts and a series devoted to the Hami manu-
achim Wach.” Numen 19 (1972): 216–228. A comprehen-
script of the Maitrisimit, undertaken with Geng Shimin,
sive reconstruction of Wach’s hermeneutic system.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KLONG CHEN RAB ’BYAMS PA (LONGCHENPA)
5191
Klimkeit, Hans-Joachim. Der politische Hinduismus: Indische De-
tematizer of the Nyingma tradition of the Great Perfection
nker zwischen religiöser Reform und politischem Erwachen.
(Rdzogs chen [Dzogchen]), which he expounded in a series
Wiesbaden, Germany, 1981. A survey of major thinkers of
of brilliant texts that balanced architectonic structure, apho-
political Hinduism and an investigation of some of its “ar-
ristic poetry, and philosophical nuance and precision. While
chetypal,” basic structures with their respective religious
his writings span the earliest phases of Great Perfection litera-
roots.
ture, he above all else focused on the eleventh- and twelfth-
Klimkeit, Hans-Joachim. Manichaean Art and Calligraphy. Lei-
century Seminal Heart (Snying thig [Nyingthink]) revela-
den, 1982. The first ever general study of Manichaean ico-
tions and their highly distinctive reinterpretation of the
nography.
Great Perfection. Longchenpa articulated a deeply systematic
Klimkeit, Hans-Joachim. Die Begegnung von Christentum, Gnosis
approach to Seminal Heart to create one of the most power-
und Buddhismus an der Seidenstrasse. Opladen, Germany,
ful statements of philosophical Vajraya¯na. His writings sys-
1986.
tematize doctrines and contemplative practices into a struc-
Klimkeit, Hans-Joachim. Die Seidenstrasse: Handelsweg und Kul-
tured and integrated whole, while simultaneously
turbrücke zwischen Morgen- und Abendland. Köln, Germany,
definitively defining key terminology with innovative nu-
1988; 2d ed. 1990. A richly illustrated cultural history and
ance. In large part due to the influence of his corpus, the
panorama of the Silk Road (mostly focusing on pre-Islamic
Seminal Heart came to be the dominant tradition of the
times) comprising history of research, geography, cultural
Great Perfection right into the present.
centers, people, and religions.
Klimkeit, Hans-Joachim. “Der leidendende Gerechte in der Reli-
Secondly, Longchenpa was one of the few premodern
gionsgeschichte: Ein Beitrag zur problemorientierten ‘Reli-
Nyingma authors to incorporate broad learning in exoteric
gionsphänomenologie.’” In Religionswissenschaft: Eine Ein-
Buddhist literature directly into his writings. He is famed for
führung, edited by Hartmut Zinser, pp. 164–184. Berlin,
his integration of the insights, terminology, and practice of
1988. A global comparison of the motif of the suffering righ-
the Great Perfection into the broader framework of an ency-
teous meant as an example of his “problem-centered” phe-
clopedic overview of the entire Buddhist tradition. While
nomenology of religion.
many other Nyingma authors appear to have had solid train-
Klimkeit, Hans-Joachim. Hymnen und Gebete der Religion des
ing in the exoteric literature, relatively few wrote at any great
Lichts: Iranische und türkische liturgische Texte der Manichäer
length on the subject, preferring to work in esoteric veins and
Zentralasiens. Opladen, 1989. A collection of Manichaean
narrative materials. Longchenpa is thus often discussed with-
(ritual) texts in several Iranian languages and Old Turkish
in the Nyingma tradition in connection with two other such
with extensive introductions. A revised and augmented En-
prominent authors, Rongzom Chökyi Zangpo (eleventh cen-
glish translation was published under the misleading title
tury) and Mipham (1846–1912). These three stand out
Gnosis on the Silk Road: Gnostic Texts from Central Asia. San
within the tradition for their great learning in exoteric Bud-
Francisco, 1993.
dhist scholasticism, and the expression of that learning in ex-
Klimkeit, Hans-Joachim. Der Buddha: Leben und Lehre. Stuttgart,
tensive writings.
1990. A study of the figure of the Buddha intended for a
broader audience and illustrative of Klimkeit’s approach in
Thirdly, the Nyingma tradition until the fourteenth
that he seeks to combine historic-philological methods and
century was dominated by the practice of revelations, where-
hermeneutic principles of understanding.
by important new bodies of literature were produced as
Klimkeit, Hans-Joachim. “Religionswissenschaft.” In Theologische
“treasures” (gter ma, terma) attributed to the distant past of
Realenzyklopädie, edited by Gerhard Müller, Vol. 29,
Tibet’s imperial greatness (seventh to ninth centuries) rather
pp. 61–67. Berlin and New York, 1998. Expresses Klimkeit’s
than to the authorial hand of the present. Longchenpa’s writ-
ideas about the history of religions.
ings at times utilized the rhetoric of revelation, but in general
Klimkeit, Hans-Joachim, Shimin Geng, Helmut Eimer, and Jens
were clearly presented as his own personal compositions.
Peter Laut. Das Zusammentreffen mit Maitreya: Die ersten
While certainly such personal compositions had appeared
fünf Kapitel der Hami-Version der Maitrisimit. 2 vols. Wies-
elsewhere in Nyingma circles from the eleventh to thirteenth
baden, Germany, 1988.
centuries, the emergence of such a huge corpus of major reli-
M
gious writings attributed to a contemporary figure was a wa-
ICHAEL STAUSBERG (2005)
tershed in the history of the Nyingma tradition.
Longchenpa’s life can be roughly divided into his first
twenty years of youth and earlier studies, his twenties during
KLONG CHEN RAB ’BYAMS PA (LONG-
which he received his seminal intellectual and yogic training,
CHENPA). Longchenpa (1308–1363) is perhaps the
his thirties when he emerged as a major teacher and author,
most important philosophical author in the history of the
his forties marked by political turmoil and exile even as his
Rnying ma (Nyingma) school of Tibetan Buddhism and one
literary output continued unabated, and finally his return to
of the great figures in fourteenth-century Tibet, a time of
Tibet and final years in his fifties. His studies, social experi-
larger-than-life authors and systematizations of sectarian tra-
ences, and literary writings were all deeply interwoven into
ditions. His renown stems from his huge literary corpus, and
the fabric of his life, with common motifs and images run-
three distinctive facets of it. Firstly, he is renowned as the sys-
ning through 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
5192
KLONG CHEN RAB ’BYAMS PA (LONGCHENPA)
PAST LIVES AND PROPHECIES. Tibetan accounts of the life
learning during the twelfth and thirteenth centuries, and re-
of a saint begin at starting points that are highly Tibetan and
mained a dominant academic seat during Longchenpa’s life-
Buddhist in character: past lives and prenatal prophecies con-
time. His educational focus thus shifted during this time
cerning birth and life. Longchenpa did not arrive on the his-
from ritual and meditation to syllogism and philosophy in
torical scene as a recognized member of an established rein-
the form of works by Asan˙ga (c. 315–390), Digna¯ga (c. 480–
carnational line with a clear pedigree and institutional power,
540), Dharmak¯ırti (seventh century), and others. By all ac-
though certainly his gestation and birth are framed with
counts he excelled in his studies, and it was this seven-year
prophecies said to indicate his unusual spiritual accomplish-
stay at Sangphu that gave him the superb mastery of tradi-
ments. His most interesting and relevant reincarnational as-
tional Buddhist thought that came to be a hallmark of his
sociations, however, are with an obscure visionary from the
literary output.
late twelfth and thirteenth centuries, Tsultrim Dorjé (1291–
1317), with intimate associations to the Seminal Heart.
However, Longchenpa’s decisive educational experience
Through Tsultrim Dorjé, also known as Pad ma las ’brel rtsal
was the period he spent living and practicing with his princi-
(Pema Ledreltsel), he came to be further identified as the di-
pal teacher Kuma¯ra¯ja (Kuma¯ra¯dza, Gzhon nu rgyal po,
rect rebirth of the Tibetan princess Lhacam, daughter of Khri
1266–1343) during his late twenties. Besides receiving his
srong lde’u btsan (Trisong Detsen, 742–797), and a direct
most important Great Perfection teachings from Kuma¯ra¯ja,
disciple of Padmasambhava. He was also identified eventual-
Longchenpa was also much influenced by the peripatetic way
ly as a divine emanation of Mañju´sr¯ı, the bodhisattva of wis-
of life of his followers. The biographical materials mention
dom. Such emanatory identity is common place for great
that Kuma¯ra¯ja and his small band of disciples wandered from
scholars, given Mañju´sr¯ı’s traditional function as the patron
place to place, living like virtual nomads, exposed to the ele-
bodhisattva of intellectual and monastic pursuits.
ments, living and sleeping in crude sack garments. Such a
yogic lifestyle stands in clear contrast to the institutional life
THE EARLY YEARS: SAMYE, SANGPHU, AND NOMADIC
of so many Tibetan scholars based in large monasteries, pre-
YOGIS. Longchen Rabjampa was born on the tenth day of
siding over systematic institutional processes, and often
the second month of the earth-monkey year of the fifth sixty-
bound up with or even directly wielding political power.
year cycle (Saturday, March 2, 1308). He appears to have
This quasi-nomadic lifestyle is also consonant with tropes
been a member of an aristocratic family with strong spiritual
and metaphors commonly found in Great Perfection litera-
associations on both sides of his family, including a paternal
ture valorizing space, the absence of boundaries, natural free-
ancestor dating back to the imperial period and Padmasamb-
dom, simplicity, and spontaneity. Hence, this training with
hava’s original circle of disciples, namely Rgyal ba mchog
his teacher Kuma¯ra¯ja may be understood as a period during
dbyangs (Gyelwa Chokyang). It is possible that Longchen-
which these literary images became associated with vivid so-
pa’s sense of himself as possessing a certain social and spiritu-
ciological experiences connected to specific behaviors and
al heritage with corresponding entitlements may explain the
lifestyles for Longchenpa.
tensions and self-perception in his adult life discussed below.
TEACHING AND COMPOSITION. After approximately two
Longchenpa’s early education consisted of studying var-
years living and practicing with his principal guru Kuma¯ra¯ja,
ious rites, ceremonies, and “sciences” (rig gnas) such as medi-
Longchenpa is said to have been designated as his successor,
cine and astrology with his father. As a teenager, he memo-
after which he embarked on a period of intensive teaching
rized lengthy texts, and expanded his interest into the study
and meditation. Thus, during his thirties, Longchenpa
of Tantric texts from both the ancient (rnying ma) and mod-
emerged as a teacher in his own right and began to pen some
ern (gsar ma) traditions. At the age of twelve, Longchenpa
of his greatest works. Although Longchenpa’s fame as a prac-
journeyed to Bsam yas (Samyé), Tibet’s first monastery,
titioner and teacher were increasing significantly during this
where he took up the study of monastic discipline. Longc-
time, he never founded or became affiliated in any significant
henpa’s association with Samyé dates back to his paternal an-
way with a large religious institution. On the contrary, he
cestor, Gyelwa Chokyang, who was one the original monks
apparently preferred the relatively remote hermitage setting
ordained there in the eighth century. His own studies there
of his home monastery called Gang ri thod dkar (White-Skull
accompanied by his intellectual brilliance led him to be
Mountain). It was here that he composed many of his great-
known later as “the polymath from Samyé,” which could also
est works.
be interpreted as “the recipient of Samyé’s many scriptural
transmissions.”
Longchenpa’s corpus consists of compilations typically
referred to in terms of the number of texts belonging to each
Among the most significant events in Longchenpa’s ed-
compilation. The most famous is undoubtedly The Seven
ucation as a young adult was his entry into the Sang phu ne’u
Treasures (Mdzod bdun), which integrates standard scholasti-
thog (Sangphu Neutok) monastic college. Sangphu, founded
cism with philosophical poetry to offer a systematic survey
by the translator Ngogs legs pa’i shes rab (Ngok Lekpé
of Buddhist thought and practice from its earliest phases up
Sherap, c. eleventh century), was the preeminent institution
to and including the distinctive synthesis of the Seminal
for the study of logic and epistemology in Tibet. It was the
Heart. These seven texts as a set are famous among his fellow
most important institutional support for the rise of scholastic
Nyingmas, as well as other sects, for their philosophical acu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KLONG CHEN RAB ’BYAMS PA (LONGCHENPA)
5193
men, their systematization of the Great Perfection, and their
prevailing social norms was equally evident from his early
ability to integrate distinctive Nyingma esoteric traditions
years. For example, toward the end of his stay at Sangphu,
with pan-sectarian Buddhist scholastic traditions. The Wish-
we can see Longchenpa’s impatience with what he perceived
Fulfilling Treasury (Yid bzhin mdzod) and The Treasury of
to be the frivolous behavior of ostensibly religious figures. He
Philosophical Systems (Grub mtha’ mdzod) focus on the basic
came into conflict with a group of scholars from Kham
Buddhist scholastic systems with modest influence from the
(Khams), who appeared to him to be sectarian and of poor
Great Perfection. In contrast, TheTreasury of Words and
moral character. The literary result of his disgust with these
Meanings (Tshig don mdzod) and TheTreasury of the Supreme
scholars was a thirty-line alphabetically arranged poem enti-
Vehicle (Theg mchog mdzod) offer a scholastic treatment of
tled “The Thirty Letters of the Alphabet” (Ka kha sum cu).
the Seminal Heart in its own right. Finally, The Treasury
This bitter but witty work is a savage attack on the dubious
of Reality’s Expanse (Chos dbyings mdzod) and The Treasury
conduct of the persons in question, likening them to demons
of Abiding Reality (Gnas lugs mdzod) constitute masterpieces
and accusing them of such actions as killing, boozing, and
of philosophical poetry focused on the Seminal Heart, while
whoring.
TheTreasury of Esoteric Precepts (Man ngag mdzod) is a lesser
work devoted to lists of precepts.
The mid-fourteenth century in Tibet was a time of po-
litical and social upheaval, yet also a time of consolidation
Longchenpa authored at least six other major compila-
of literary canons and sectarian identity. The sa skya (Sakya)
tions, each a trilogy devoted to Nyingma esoteric traditions.
hegemony, together with its Yuan dynasty patrons, was
The Trilogy of Resting-at-Ease (Ngal gso skor gsum) and The
reaching a state of collapse. Religious and regional factions
Trilogy of Natural Freedom (Rang grol skor gsum) are both
were in open and often violent conflict. Central Tibet in par-
lovely root poems around which a variety of other commen-
ticular was a contested area, with sites like Samyé coming
tarial texts have been associated, all of which center around
under the control of belligerent factions allied with specific
earlier traditions of the Great Perfection known as “mind se-
clans and religious sects. Families, politics, and religion were
ries” (Sems sde). In contrast, The Trilogy of Qintessences (Yang
inextricably interwoven throughout the time. Among the
ti gsum) constitute three individual compilations of scores of
prominent competing factions active in Central Tibet at that
individual works covering the rituals, yogas, history, philoso-
time were the Sakyapas, the ’Bri gung pa (Drigungpas), and
phy, and other areas of the Seminal Heart tradition. These
the Phag mo gru pa (Phakmodrupas), whose leader was Ta’i
constitute his ritual and yogic masterpieces of the Seminal
situ byang chub rgyal mtshan (Tai Situ Jangchub Gyaltsen,
Heart, in addition to detailed discussions of many other as-
1303–1364). It is roughly during this period that we come
pects of the tradition. These were integrated with two similar
upon further literary evidence of Longchenpa’s profound an-
compilations deriving from the older revelations associated
tipathy toward these factions and his dissatisfaction with po-
with the Indian saint Vimalamitra, and the more recent reve-
litical and religious developments in Central Tibet as he en-
lations associated with the Indian saint Padmasambhva to
tered a period of political turmoil and even exile during his
form The Seminal Heart in Four Parts (though in fact it has
forties.
five parts). Thus this famous anthology compiles the two
main strands of exegetical literature of the tradition along
Longchenpa’s attempts to process his feelings of discon-
with Longchenpa’s extension and integration. Finally, The
tent at the situation in Central Tibet are well documented
Trilogy of Dispelling Darkness (Mun sel skor gsum) was his
in a series of didactic narrative poems in which the characters
masterly commentary on The Nucleus of Mystery Tantra
are animals. The plots of several of these narratives revolve
(Gsang ba snying po; Skt., Guhyagarbha), the chief Tantra of
around the protagonist—invariably an exalted spiritual per-
the Nyingma tradition and the center of the Maha¯yoga cor-
sonality—being set upon by irreligious forces and being
pus. This trilogy was famed not only for its detailed study
compelled to depart for regions more conducive to religious
of the Tantra, but also for its innovative Great Perfection-
practice. These stories all take the appearance of a subtle so-
based reinterpretation of many of its particulars. Longchenpa
cial critique, and convey the impression of being thinly veiled
wrote widely on many other topics, including exoteric Bud-
autobiography. Probably the best example is The Swan’s
dhist scholasticism. However, it appears that the vast majori-
Questions and Answers (Ngang pa’i dris lan sprin gyi snying po).
ty of these compositions have been lost to the ravages of time
In this work, Longchenpa’s perception of himself as an un-
and the relative lack of concern for exoteric writings by the
justly ostracized pariah is clearly evident, and the references
Nyingma tradition in premodern times.
to his specific situation are more explicit than in other exam-
ples. The story chronicles a noble swan’s flight from the for-
SOCIAL AND POLITICAL CONFLICT. Longchenpa had a life-
merly sacred precincts of Samyé to more hospitable environs.
long tendency to remain somewhat in the margins of reli-
The swan in the story is in reality an emanation of the Bodhi-
gious institutions and political powers, and yet he was also
sattva Avalokite´svara, and is clearly patterned on Longchen-
explicitly critical of social, political, and religious trends and
pa himself.
events in Tibet. We have already seen such tendencies in his
nomadic years with his teacher Kuma¯ra¯ja, and his proclivity
From here we must turn briefly to the critical issue of
for the isolated retreat center of White-Skull Mountain. The
Longchenpa’s relationship with Tai Situ Jangchup Gyaltsen,
tendency to social criticism and feeling in conflict with the
who was the leading political figure in Tibet during the latter
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5194
KLONG CHEN RAB ’BYAMS PA (LONGCHENPA)
years of Longchenpa’s life. Not only was he a key figure be-
erary, intellectual, incarnational, and visionary impact a fig-
hind many of the trends in Tibet that Longchenpa found so
ure has after his death. Measured by institutional standards,
problematic, but in fact the two came into direct conflict in
Longchenpa had minimal impact on his own school, much
the 1350s. Jangchup Gyaltsen and the clan he led, the Phak-
less on Tibetan Buddhism as a whole. He offered no new in-
modrupas, were in constant conflict with various other com-
stitutional models, his disciples were not particularly vigor-
peting groups throughout most of the early fourteenth cen-
ous in founding new monasteries and temples, and his insti-
tury. Among the more prominent of the competing groups
tutional legacy was limited to modest sites such as the retreat
were the religious factions of the Sakyapas and the Drigung-
center White-Skull Mountain and the temple in Bumthang.
pas. Longchenpa, while no fan of the increasing military
It appears that a family lineage did persist over the centuries
presence in Central Tibet, became implicated in a bitter feud
in Bhutan from his offspring there.
between the leader of the Drigungpas and the leader of the
Phakmodrupas, that is, Jangchup Gyaltsen. Jangchup
Longchenpa’s most significant contribution is undoubt-
Gyaltsen reportedly came to view Longchenpa as a signifi-
edly in the intellectual and literary domains, where he is a
cant enemy, to the extent that he tried to have him assassinat-
towering figure historically both within the Nyingma tradi-
ed. This conflict, together with all his other frustrations and
tion, and outside it in other traditions. Curiously, however,
disappointments, eventually led Longchenpa to flee to Bhu-
he did not spawn a cottage industry in exegetical literature
tan in approximately 1353.
directly commenting on his work, quite in contrast to many
of the other great Tibetan philosophical authors. The reason
FINAL YEARS IN BHUTAN AND TIBET. Longchenpa was re-
for this lacuna is twofold. Firstly, Longchenpa’s impressive
portedly very active during his time in Bhutan, establishing
range of scholarly expertise and philosophical nuance in the
and renovating many monasteries and retreat facilities. He
exoteric traditions remained unusual in Nyingma traditions
taught widely, and is credited with reviving the fortunes of
until the last few centuries. Secondly, ongoing revelation re-
the Nyingma and Great Perfection traditions in that region.
mained a dominant influence in subsequence centuries
He composed several important texts there, very likely in-
among Nyingma lineages, and its historical focus on the im-
cluding The Treasury of Abiding Reality. His home base was
perial past discouraged the development of exegesis of post-
the famous Thar pa gling (Tharpa Ling) monastery, still
imperial Tibetan authors. Despite this absence of direct com-
standing today in Bumthang. He also fathered at least one
mentarial literature, Longchenpa’s influence was pervasive,
son with a nun during his stay in Bhutan, indicating that his
even if mediated through vision and the explicit citation
monastic vows either lapsed at some point or that he viewed
often thus sublimated. His impact on Great Perfection tradi-
his realization as enabling the integration of monastic vows
tions can already be seen in the revelations of Rig ’dzin rgod
and sexual activity. During this period of exile, Longchenpa
ldem (Rinzin Godem, 1337–1409), or in the later revela-
received numerous visitors from Tibet who encouraged him
tions of ’Jigs med gling pa (Jikmé Lingpa, 1729/30–1798).
to return to Central Tibet. Eventually, a reconciliation be-
In addition, his masterly synthesis of esoteric Nyingma tradi-
tween Longchenpa and Jangchub Gyaltsen was negotiated by
tions with mainstream Buddhist scholasticism was the inspi-
Sangs rgyas dpal (Sangyepel), such that Jangchub Gyaltsen
ration for the Mipham’s later extensive corpus of exoteric
invited Longchenpa to return to Tibet, made offerings to
writings, which undergirds much of the Eastern Tibetan ecu-
him, and received Tantric initiations and other teachings
menical movement (ris med), and forms the most important
from him. In fact, there is a tradition that Longchenpa’s
basis for the modern monastic curriculum of Nyingma insti-
most famous epithet (klong chen rab ’byams pa, “infinite open
tutions. Over time he thus achieved renown within and
space”) was given to him by Jangchup Gyaltsen himself, al-
without the Nyingma tradition as its greatest intellectual.
though the veracity of this story is uncertain. Although we
have no definite dates for Longchenpa’s sojourn in Bhutan,
Longchenpa never spawned a clear incarnational institu-
it may have lasted from roughly 1353 to 1360.
tion of his own rebirths, not surprising given his contentious
relationship with institutions. Incarnational lines known as
In 1363, when he was fifty-six years old, Longchenpa
“tulku” (sprul sku), literally “emanated bodies,” of course
took ill, and began to prepare for his eventual passing by
refer to the phenomenon in Tibet of religious personages
composing his final testaments (zhal chems). Finally, late in
being identified after death in young children believed to be
that same year, Longchenpa had a series of visions and gave
their rebirths, and to whom the previous life’s title, position,
his final advice to his disciples. His hagiographies describe
and property were transmitted. This institution of cross-life
his death in terms typical for a saint, specifying that he en-
inheritance was naturally bound up with monastic institu-
tered a state of deep meditation, and manifested many mirac-
tions, which had the institutional resources, memory, and re-
ulous signs such as rainbows, earthquakes, and showers of
cord keeping to maintain such incarnational lines. Longc-
flowers in his final hours and for twenty-five days following
henpa’s failure to found his own large monastic institution
his death.
almost guaranteed the lack of such an incarnational heritage.
INFLUENCE: BOOKS, FUTURE LIVES, AND VISIONS. Religious
There were of course various figures identified as, or claiming
influence in Tibet can be measured on many registers, but
to be, his incarnation, right into the present—the most fa-
a useful fourfold measure is to consider the institutional, lit-
mous being the Bhutanese Pad ma gling pa (Pema Lingpa,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KNEES
5195
1450–1521)—but none of these crystallized into a high-
Longchenpa. Kindly Bent to Ease Us. 3 vols. Translated by Herbert
profile and continuous series of incarnations in the way of,
Guenther. Berkeley, 1976. A translation and interpretative
say, the Karma pa or Dalai Lama incarnational lines. In con-
study of the root verses from Longchenpa’s The Trilogy of
trast, Longchenpa has had a highly successful visionary career
Resting-at-Ease.
since his death, and his presence in visions and dreams has
Longchenpa. Looking Deeper: A Swan’s Questions and Answers.
become a pervasive feature among Nyingma scholars and
Translated by Herbert Guenther. Porthill, Idaho, 1983. A
yogis. The most important of these is undoubtedly the fa-
translation and interpretative study of Longchenpa’s semi-
mous visions experienced by Jikmé Lingpa, which were cru-
autobiographical didactic narrative The Swan’s Questions and
Answers.
cial to his revelation of the Great Sphere (“longchen”) of the
Seminal Heart in the eighteenth century. This cycle came to
Longchenpa. The Precious Treasury of the Way of Abiding. Trans-
be the dominant Great Perfection ritual cycle right into the
lated by Richard Barron. Junction City, Calif., 1998. A
present, and while perhaps subliminal, the use of the term
translation of Longchenpa’s The Treasury of Abiding Reality
and its auto-commentary.
longchen in its title is obviously deeply resonant of Longchen-
pa’s own centrality in the tradition overall.
Longchenpa. A Treasure Trove of Scriptural Transmission. Trans-
lated by Richard Barron. Junction City, Calif., 2001. A
B
translation of Longchenpa’s The Treasury of Reality’s Expanse
IBLIOGRAPHY
Aris, Michael. Bhutan: The Early History of a Himalayan Kingdom.
and its auto-commentary.
Warminster, U.K., 1979. A study of the early history of Bhu-
Roerich, George, trans. The Blue Annals. Delhi, 1976.
tan, including issues relevant to Longchenpa’s exile there.
Tulku Thondup. Buddha Mind: An Anthology of Longchen Rab-
Aris, Michael. Hidden Treasures and Secret Lives: A Study of Pemal-
jam’s Writings on Dzogpa Chenpo. Ithaca, N.Y., 1989. An an-
ingpa (1450–1521) and the Sixth Dalai Lama (1683–1706).
thology of different selections of writings by Longchenpa
Delhi, 1988. A study of the life of Pemalingpa, including an
ranging from the more exoteric to the more esoteric.
account of his identification with Longchenpa.
Tulku Thondup. Masters of Meditation and Miracles: The Longc-
Dudjom Jigdrel Yeshe Dorje (Dudjom Rinpoche). The Nyingma
hen Nyingthig Lineage of Tibetan Buddhism. Boston, 1996.
School of Tibetan Buddhism: Its Fundamentals and History.
Biographies of saints involved in the lineage of The Great
Translated and edited by Gyurme Dorje and Matthew Kap-
Sphere of the Seminal Heart, including detailed accounts of
stein. Boston, 1991. An encyclopedic work covering the his-
the lives of Longchenpa and Jikmé Lingpa.
tory and religious traditions of the Nyingma school, with a
substantial biography of Longchenpa.
DAVID GERMANO (2005)
GREGORY A. HILLIS (2005)
Germano, David F. “Architecture and Absence in the Secret Tan-
tric History of rDzogs Chen.” The Journal of the International
Association of Buddhist Studies 17 no. 2 (1994): 203–335.
This surveys the various forms of the Great Perfection with
KNEES. The knees have long been closely associated with
a concern for Longchenpa’s systematization of them.
religious attitudes of penitence, prayer, surrender, and hu-
Germano, David, and Janet B. Gyatso. “Longchenpa and the Pos-
mility. In the Near East since ancient times kneeling has
session of the Dakinis.” In Tantra in Practice, edited by
sometimes been connected with prostration; Islam developed
David Gordon White, pp. 239–265. Princeton, N.J., 2000.
full prostration as the climax of a cycle of postures that in-
A look at events of possession and prophecy marking the
emergence of Longchenpa in his early thirties as a prominent
cludes a combined sitting and kneeling position. In ancient
teacher within yogic circles.
Israel, people considered the knees to be associated with the
Guenther, Herbert. Matrix of Mystery: Scientific and Humanistic
generation of new life and with adoption; thus Bilhah, Ra-
Aspects of rDzogs-chen Thought. London and Boulder, Colo.,
chel’s maidservant, bore a child on Jacob’s knees (Gn. 30:3),
1984. A highly interpretative study of Longchenpa’s writings
for a baby born on a man’s knees in biblical times and places
on The Nucleus of Mystery Tantra.
was considered legally to be his child. There may be a reflec-
Gyatso, Janet. Apparitions of the Self: The Secret Autobiographies of
tion or survival here of a prehistoric notion of an intimate
a Tibetan Visionary. Princeton, N.J., 1998. A study of Jigme
relationship between the knees and the reproductive process
Lingpa’s visionary experiences of Longchenpa.
(Onians, 1951, pp. 174–180).
Kapstein, Matthew. The Tibetan Assimilation of Buddhism: Con-
In ancient Rome, adoration at sacred temples included
version, Contestation, and Memory. New York, 2000. A sur-
falling to the knees as well as kneeling during supplication
vey of how Tibetans assimilated Buddhism, including a
and prayer. Romans also knelt when presenting pleas before
chapter on the integration of the Great Perfection and exor-
earthly authorities. In ancient Greece, only women and chil-
cistic esotericism within the school by Longchenpa and
others.
dren knelt before deities. The early Christians practiced
kneeling, according to accounts given in the New Testa-
Kuijp, Leonard W. J. van der. “On the Life and Political Career
of Ta’i-Si-tu Byang-chub rgyal-mtshan (1302–c. 1364).” In
ment, and the posture appears to have been inherited directly
Tibetan History and Language: Studies Dedicated to Uray Géza
from earlier Jewish practice. In the Hebrew scriptures, Solo-
on his Seventieth Birthday, edited by Ernst Steinkellner,
mon, Ezra, and Daniel are reported to have knelt at prayer
pp. 277–328. Vienna, 1991. A survey of the life of Tai Situ
(1 Kgs. 8:54, Ezr. 9:5, Dn. 6:10). It is likely that the ancient
Jangchub Gyaltsen and his political activities.
Israelites adopted kneeling as a religious posture from other
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5196
KNOTS
Near Eastern peoples. Buddhists also kneel, when paying re-
historic burials. The reasons are unclear, as it is not certain
spects at sacred sites, for example.
whether the bent knees were especially significant in them-
selves. Certainly the corpse’s submissive incapacity can at
Kneeling is not the only prayer posture mentioned in
least be conjectured from this position, whether in order to
the Bible. Standing in prayer is recorded as well (1 Sm. 1:26,
prevent the spirit of the deceased from wandering about and
Mk. 11:25, Lk. 22:41). In fact, only once in the Gospels is
haunting the living or to prepare the deceased for initiation
Christ reported to have knelt, namely, on the Mount of Ol-
into the secrets of the afterlife, which might possibly have in-
ives before his arrest (Lk. 22:41). But the Acts of the Apostles
cluded a ritual symbolism of returning to the fetal position.
depicts both Peter and Paul kneeling in prayer (9:40, 20:36,
21:5), and Paul’s great kenotic Christological passage in the
Letter to the Ephesians ends with this declaration: “In honor
BIBLIOGRAPHY
of the name of Jesus all beings in heaven, and on earth, and
A. E. Crawley’s article entitled “Kneeling,” in the Encyclopaedia
in the world below will fall on their knees, and all will openly
of Religion and Ethics, edited by James Hastings, vol. 7 (Edin-
burgh, 1914), is a useful source for Near Eastern, biblical,
proclaim that Jesus Christ is Lord, to the glory of God the
and Christian kneeling practices; the evolutionary perspec-
Father” (2:10–11). The penitential aspect of kneeling was
tive from which the topic is addressed must be rejected, how-
noted in the fourth century by Ambrose: “The knee is made
ever. For a convenient reference work, consult Betty J.
flexible by which the offence of the Lord is mitigated, wrath
Bäuml and Franz H. Bäuml’s A Dictionary of Gestures (Me-
appeased, grace called forth” (Hexaemeron 6.9.74.287).
tuchen, N.J., 1975); here are found numerous documented
reports about knee symbolism and kneeling in the ancient
The early Christians appear to have practiced both
Near East and Mediterranean world as well as in later Euro-
standing and kneeling at prayer. Later the Roman Catholic
pean history and literature. For stimulating insights and ob-
church appears to have encouraged standing for prayer, espe-
servations on the knees and other parts of the body, see Rich-
cially in Sunday congregational worship, but recommended
ard B. Onians’s The Origins of European Thought about the
kneeling for penitential and private prayer. Protestantism has
Body, the Mind, the Soul, the World, Time, and Fate (Cam-
emphasized kneeling as the prayer posture above all others,
bridge, U.K., 1951).
whereas Catholicism has regulated the postures of worship
FREDERICK MATHEWSON DENNY (1987)
and prayer fairly rigorously, for example prescribing standing
on Sundays and festival days and in praise and thanksgiving
at all times. During Low Mass, the worshipers kneel except
during the reading of the gospel.
KNOTS. The sacred value attributed to knots throughout
Popular Christianity employs a kneeling posture for
human history, and amid the most diverse cultures, has inter-
both supererogatory prayer and adoration. These practices
ested historians of religions since the nineteenth century. As
sometimes extend to rather arduous ascending of stairs of
products of the activity of tying or binding, knots have usual-
shrines on the knees while uttering pious formulas at each
ly been studied in the context of the more general phenome-
step, as at Saint Joseph’s Oratory in Montreal, where many
non of sacred bonds. It is not surprising, therefore, that re-
supplicants have been healed of crippling afflictions. Cured
search into the religious value of knots has followed the same
persons have long left their crutches at this shrine, displayed
general pattern that one finds in the study of binding. In par-
in the sanctuary like sacred relics. Within the precincts of the
ticular, the problems have been formulated in similar terms,
Shrine of the Virgin of Guadalupe in Mexico City many pil-
similar methods have been employed, and consequently the
grims can be seen approaching the sacred places on their
results obtained have also tended to coincide.
knees. Similar practices can be observed at other Christian
Thus the leading students of the religious significance
holy places in both the Old World and the New.
of binding and bonds have also led the way in the study of
knots. Scholars such as James G. Frazer, Isidor Scheftelowitz,
Kneeling has been practiced not only in the presence of
Walter J. Dilling, Georges Dumézil, and Mircea Eliade have
God but also in the presence of royalty in many cultures. The
made important contributions in both areas. In general,
early Roman rulers required the northern Europeans, the
these scholars have expended considerable effort on the col-
Egyptians, and Asian peoples to bend the knee in submis-
lection of data that are then subjected to comparative-
sion, whereas earlier still Alexander the Great required it of
historical study. Closer examination shows, however, that
all, declaring himself to be divine. When making supplica-
several quite different methods have been employed. Some
tion, ancient Greeks and Romans are reported to have knelt
scholars have been content with a simple exposition of indi-
while kissing the hand of the superior person, at the same
vidual instances of knots in particular cultures (Frazer, Dil-
time touching his left knee with the left hand. Modern Brit-
ling). Others have defined their study in terms of a definite
ish subjects curtsy and bend the knee when in the presence
cultural area (Dumézil). Finally, there has been an attempt
of their sovereign.
at a phenomenological analysis of knots aimed at the identifi-
Extreme flexing of the knees was once entailed in the
cation of an archetype of the bond (Eliade). The results ob-
binding of corpses for burial in a fetal position, as has been
tained by these methods, from Frazer to Eliade, have general-
reported in ethnographical accounts and in reports on pre-
ly been formulated in exclusively symbolic terms, for 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
KNOTS
5197
most part in the context of magical beliefs and practices.
human being. In ancient Babylonia, one finds the idea of sin
What has not been adequately studied up to now is the sym-
as a knot that has to be undone by various divinities, such
bolic value that knots may have in the context of everyday
as Nergal, “lord of the untying.” In Vedic India, it is the god
life and the wholly secular and functional importance of
Varuna who captures the guilty with his knotted lasso. In the
binding and knots in that context.
Shinto purification ritual, a piece of paper (katashiro) is cut
out by the penitent, bound in bundles of wicker, and thrown
Beginning with the work of Frazer at the beginning of
into the flames.
the present century, scholars have repeatedly affirmed that
the sacred action of tying or untying a knot serves to establish
The calculation of sacred and profane time can also be
or remove some restraint and that it has either a positive or
managed through the use of knots tied into a rope at set in-
a negative effect, depending upon the specific circumstances
tervals. A mere glance at such a rope is enough to allow a per-
under which it is done and the motives of the person doing
son to comprehend a situation and act appropriately. Martin
it. Countless examples of such symbolic action have been
P. Nilsson has shown how various primal cultures use such
furnished, drawn from both primitive cultures and higher
ropes for measuring the duration of menstrual impurity (for
civilizations. Every imaginable type of bond has been ana-
example, the Nauru of the Gilbert Islands), the period dur-
lyzed, bonds both concrete (such as are made from string or
ing which justice should be administered (the Gogo of Tan-
rope, or again, rings and chains) and abstract. Instances have
zania), the period during which intertribal dances should be
been provided of knots tied in both public and private rituals
prepared (the Miwok of California), or the days to be dedi-
as well as in nonritual contexts. Knots are found to be tied
cated to the celebration of a great festival (the Melanesians
by superhuman beings as well as by ordinary mortals, and
of the Solomon Islands).
in the latter case by those who are religiously inspired as well
In all these cases, knots are used to control a reality that
as by those who are not. In all of this description, however,
is itself abstract, fluctuating, evanescent. Guilt, time, or fate
the deeper motives behind such widespread forms of activity
itself, by being concretized in a knot, comes under the con-
have not been sought.
trol of the person who ties it and who thereby resolves a given
It has long been known that the activity of binding in
situation. But it is not only determinate problems that can
its various forms has the essential goal of permitting human
be resolved through the use of knots and the control they
beings to extend their control over reality. The most striking
give. The complexities of an entire empire can be made man-
example consists of the knotted ropes used in many preliter-
ageable thanks to the use of knotted ropes. This was the case
ate societies as a means of organizing and storing informa-
in pre-Columbian Peru, where the use of knotted ropes
tion. Knots tied into ropes, often of different colors, are used
called quipu as instruments for keeping records was essential
to represent numbers, objects, persons, situations, actions,
for the orderly functioning of the Inca Empire. The use of
and so forth. Such knotted ropes are useful in resolving spe-
the quipu made it possible for the quipu-camayoc (keeper of
cific problems of a practical nature, because they extend the
the quipu) to manage the enormous mass of data collected
human ability to count, inventory, register, list, and in gener-
by local officials and thereby keep tabs on the complex eco-
al to organize and communicate information. The problems
nomic and military situation of the empire.
solved in this way are not exclusively secular problems, how-
Moreover, in every period, in the most diverse types of
ever. They can often have a decidedly religious aspect. The
civilization, technology strives not only to gain control over
practical function of such knots, and in fact, of all types of
the world but also to enhance human creativity by providing
bond, even those of a purely symbolic nature, does not pre-
humankind with new tools with which to confront life’s dif-
clude their having a sacred function as well. Indeed, these
ficulties. The fabrication of such implements, however, in-
two functions may exist in a relation of strict comple-
volves the binding, weaving, and knotting together of the
mentarity.
most diverse materials. It is precisely the enormous impor-
tance of the technology of binding that stands behind the
In the specific context of the ritual confession of sins,
transposition of all its means and forms from the mundane
Raffaele Pettazzoni has shown how certain knots combine a
to the sacred. Forms of transposition that are particularly
symbolic value with the quite concrete purpose of restraining
widespread include the attribution of extraordinary value
or fixating the sin, so that the guilt associated with it may
and power to knots in magical rites; the creation of the type
be more effectively confronted and neutralized. Thus, for ex-
of the “god who binds,” armed with ropes, lassos, and nets;
ample, in preparation for their ritual journey in search of the
and above all, the development of the majestic conception
sacred híkuri (a cactus used in a festival), the Huichol of
of a universe created by means of the art of weaving.
Mexico require that each person making the trip indicate the
number of his lovers by tying the appropriate number of
In this regard, Eliade’s concept of the woven cosmos re-
knots in a rope, which is then destroyed by fire. A similar
quires further development. Eliade’s study of the symbolism
operation is performed by the women who remain at home.
of knots went beyond the study of knots per se to investigate
The Zapotec symbolically knot up the sins of the year by
those cases in which the universal order is believed to be pro-
tying blades of grass together two by two, soaking them in
duced by various types of tying and weaving, in much the
the blood of the penitent, and then offering them to a super-
same way as one would produce a rope, a chain, or a net.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5198
KNOTS
Among the Babylonians, for example, the markasu (rope)
would forever mark it (the Naskapi). As for the stars, they
was both the cosmic principle that unites all things and the
are so high because one day the vine woven between earth
divine power or law that provides the framework for the uni-
and sky was cut in two (the Boróro of the Mato Grosso).
verse. Similarly, the Vedic pra¯n˙a (breath) was believed to
In this universe, variously knotted, tied, and woven, the
have woven human life (Atharvaveda 10.2.13), while vayu
differentiation of animals and humans likewise was the result
(air) bound all beings to each other like a thread
of binding. When the rope that had permitted access to the
(Br:hada¯ran:yaka Upanis:ad 3.7.2). In China, the Dao, which
celestial sphere was broken, the animals tumbled hopelessly
was the ultimate principle of the universe, was described as
to earth (the Boróro). And once on earth, their existence was
the chain of all creation. Now it is precisely comparisons
determined by the activity of binding. The armadillo, for ex-
from the history of religions that teach that a motif of this
ample, set about weaving the “shirt” that would belong to
type, far from being the distillate of an extremely sophisticat-
it, and it is because it hurried too much and tied stitches of
ed philosophical thought, is in fact an image of great antiqui-
unequal size, now small and thick, now large and broad, that
ty, sinking its roots beneath the higher civilizations into the
it looks the way it does today (the Aymara of Bolivia). The
traditional patrimony of primitive peoples.
trout, for its part, while still in the hands of its creator felt
Indeed, the conception of creation as a whole—both the
drawn to its own fate so that it lamented and despaired, cry-
cosmic order and humanity’s place within it—as the product
ing out for a net in which it could make its first appearance
of some type of binding activity, whether of knotting, tying,
on earth (the Athapascan-speaking Kato).
twining, or weaving, is quite widespread. One finds, for in-
As for human beings, bonds characterize their very exis-
stance, in the origin myths of several primal cultures the con-
tence in the details of their own body and in the countless
ception of the creator as a spider who weaves the universe
components of the human condition. The Pomo of north-
just as a normal spider weaves its web. Similarly, specific
central California relate that Marunda created the first hu-
forms of ropes or bonds are sometimes assigned cosmic func-
mans by weaving and knotting together his own hair, while
tions. The rainbow, for example, can be interpreted as the
among the Melanesians of the island of Mota this usage is
belt with which the supreme being fastens his robe, as among
associated with an archetypal woman named Ro Vilgale
the western Galla. Among the Witóto of Colombia, the
(“deceptive bond”) who is created from twigs, branches, and
“thread of a dream” binds together a creation that is believed
leaves woven and knotted together, much like the masks of
to emerge out of nothingness. The Maidu of south-central
a Melanesian secret society in historical times. Alternatively,
California believe that a superhuman being once descended
primordial man may descend to earth by means of a skein
beneath the waters to procure the soil needed for creation by
let down from the sky (the Toba Batak of Indonesia) or a
means of a rope woven of feathers. The Nootka of Vancou-
rope (the Carisi of Brazil, the natives of Belau [Palau]). The
ver Island and the Polynesians of Hoa Island relate that the
breaking of this rope, sometimes due to the clumsiness of
light of the sun, having taken on the form of a basket, is low-
the person who wove it, brings about human mortality (the
ered down to the earth by means of a rope. In a similar vein,
Keres of New Mexico, the natives of Belau), and the resulting
the cosmogonic myths of various peoples of California tell
fall causes the articulation of the human body into joints or
of how, in a primordial epoch, the sea was put into a wicker
knots (the Carisi). In order to cover human nakedness, the
container (the Salina), the world was sewn together like a
superhuman beings who preside over weaving gave these first
small, tarred reed basket (the Yuki), or the entire universe
humans cotton and taught them to spin and to weave (the
took shape through the patient work of weaving as though
Caduveo of South America, the Ifugao of the Philippines).
it were a knotted mat (the Wintu).
To provide them with various necessities, they also taught
them the art of weaving wicker (the Pomo).
In this cosmos, structured and woven like fabric, the
creator taught human beings to tie fibers to make ropes and
At a certain point, however, humans themselves became
lassos. In this way the wild and unruly clouds were captured
capable of using bonds to improve their own economic con-
and humans began to exert a degree of control over the cli-
dition by capturing superhuman beings and forcing them to
mate (the Wintu). Similarly, bindings were used to control
yield to their demands. A myth from Namoluk Island (Mi-
the sun at the time of origin of the universe, when it was ei-
cronesia) tells how certain spirits, captured with a net, taught
ther too hot or too cold, and therefore threatened humans,
the cultivation of taro to those who until then had lived ex-
animals, and plants. The sun, caught in a trap like a lynx (the
clusively on fish. Stories are also told among numerous cul-
Chipewyan), half-tied like a slipknot (the Montagnais-
tures of humanity’s rescue from various cataclysms by means
Naskapi, the Alonquian Cree, the Ciamba of Nigeria), and
of specific products of binding: the net of the spider (the
captured in snares of various types (the Pende of the Kongo
Pomo), a basket (the Wiyot of Algonquin language), and so
and the natives of the Gazelle Peninsula, Oceania, and Mela-
on.
nesia, as well as others), was forced to diminish or strengthen
From this brief survey, it should be clear that knots and
its rays, change its course, and settle into what must hence-
other types of bonds need to be studied not only in historical
forth be its proper path. Neither could the moon avoid being
perspective but also in relation to the technology of the cul-
caught with a rope and receiving thereby the spots that
ture in question. Behind the motif of knots is found the exal-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KNOWLEDGE AND IGNORANCE
5199
tation of homo faber, who redeems himself from the infinite
Catholicism and various religious traditions using knots in
miseries and multitudinous limitations of his existential con-
praying.
dition precisely by means of his ability to bind things togeth-
Meuli, Karl. “Die gefesselten Götter.” In Gesammelte Schriften,
er. It is he who catches spirits in nets, weaves the rope that
vol. 2, Basel and Stuttgart, 1975, pp. 1035–1081. A classic
permits him to live on earth, sets snares and traps in order
study on binding symbolism throughout ancient Mediterra-
to capture the stars and fix them in their course, weaves the
nean traditions.
basket in which he saves himself from the flood—in short,
GIULIA PICCALUGA (1987)
spins and weaves the mortal condition. In his full apprecia-
Translated from Italian by Roger DeGaris
tion of manual ability as a creative force, in his elevation of
Revised Bibliography
this creativity to the cosmogonic level, and in his sublimation
of his own work by means of implements and tools capable
of controlling reality, humankind proves itself capable of
binding and loosening the entangling and knotty problems
KNOWLEDGE AND IGNORANCE. A cognitive
that fill his existence: He shows himself to be the uncontested
element is essential to most religions and probably to all, but
artificer of his own fate.
exactly what constitutes religious knowledge is problematic.
Strong belief, for example, may be subjectively indistinguish-
SEE ALSO Binding; Labyrinth; Webs and Nets.
able from knowledge. In a 1984 BBC interview, Billy Gra-
ham asserted that he knows there is to be a second coming
BIBLIOGRAPHY
of Christ. At a lecture, the Hindu scholar Swami Bon de-
Three works discuss the theme of knots and the binding action
clared that “transmigration is not a dogma, it is a fact.” This
central to it: James G. Frazer’s The Golden Bough, 3d ed., rev.
article will examine the various and conflicting conceptions
and enl., vol. 3, Taboo and the Perils of the Soul (London,
of religious knowledge that have emerged in the major tradi-
1911); Isidor Scheftelowitz’s Das Schlingen- und Netzmotiv
im Glauben und Brauch der Völker (Giessen, 1912); and Wal-
tions through history.
ter J. Dilling’s “Knots,” in the Encyclopaedia of Religion and
PRIMAL PEOPLES. “It appears,” Dominique Zahan has writ-
Ethics, edited by James Hastings, vol. 7 (Edinburgh, 1914).
ten, “that every religion, however primitive, contains a cogni-
More detailed approaches are taken by Georges Dumézil in
tive element” (“Religions de l’Afrique noire,” Histoire des reli-
Ouranos-Varuna (Paris, 1934) and Mitra-Varuna (Paris,
gions 3, 1976, p. 609). In primal religions, according to A˚ke
1940) and by Mircea Eliade in Images and Symbols: Studies
Hultkranz, religious knowledge rests on a fundamental divi-
in Religious Symbolism (New York, 1961).
sion of experience: “A basic dichotomy between two levels
Concerning the use of knotted ropes, the Peruvian quipu and art
of existence, one orderly or ‘natural’—the world of daily ex-
of weaving are the subject of P. Matthey’s “Gli esordi della
perience—the other extraordinary or ‘supernatural’—the
scienze” and Enrica Cerulli’s “Industrie e techniche,” both
world of belief—conditions man’s religious cognition”
in Ethnologica, vol. 2, Le opere dell’uomo, edited by Vinigi L.
(Hultkranz, 1983, pp. 231, 239). The world of belief is in
Grottanelli (Milan, 1965). Martin P. Nilsson discusses the
measurement of time with the aid of knotted ropes in Primi-
turn divided into that of the sorcerer and that of the magi-
tive Time-Reckoning (Lund, 1920), pp. 320ff. On the use of
cian. “They are opposed to one another on the plane of
ropes in the confession of sins, see Raffaela Pettazzoni’s La
knowledge and wisdom, as a tortuous, obscure knowledge
confessione dei peccati, vol. 1 (1929; reprint, Bologna, 1968),
full of contradictions and uncertainties, over against a clear
and on the use of knots in divination, see William A. Lessa’s
knowledge, imbued with evidence and conforming to the
“Divining by Knots in the Carolines,” Journal of Polynesian
logic of a thought at the service of the community” (ibid.,
Society 68 (June 1959): 188–204. For a discussion of the
p. 632).
metaphor of the universe as something woven, see Pettaz-
zoni’s well-documented study Miti e leggende, 4 vols. (Turin,
More simply, though, the world of belief may be identi-
1948–1963).
fied with the invisible. As the Kiowa Indian N. Scott Moma-
New Sources
day has said, “We see the world as it appears to us, in one
Dupré, Louis. Symbols of the Sacred. Grand Rapids, Mich., 2000.
dimension of reality. But we also see it with the eye of the
A study on the nature of religious symbols.
mind” (ibid., p. 248). A slightly different note is struck by
Faraone, Christopher A. Talismans and Trojan Horses. Guardian
an Eskimo woman: “You always want the supernatural
Statues in Ancient greek Myth and Ritual. New York and Ox-
things to make sense, but we do not bother about that. We
ford, 1992. Knots and knotted chords as prophylactic devices
are content not to understand” (ibid., p. 247).
in ancient magic.
INDIA. In India a cognitive element is conspicuous in the
Humphrey, Caroline. Shamans and Elders. Experience, Knowledge,
whole tradition that sprang or claimed to spring from the
and Power among the Daur Mongols. Oxford, 1996. Knots in
Veda. The R:gveda already comprised some speculative
shamanic performances.
hymns, and the Bra¯hman:as were essentially an interpretation
Lurker. “Knoten.” In Wörterbuch der Symbolik. Stuttgart, Germa-
of ritual by means of myth. Finally, in the Upanis:ads, ritual
ny, 1983, p. 50. Bibliography.
itself gives way to speculation: Salvation is achieved through
McKenna, Megan. Praying the Rosary. New York, 2004. A theo-
recognizing one’s identity with the essence of the universe,
logical and historical guide to symbols related to rosaries in
the brahman.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5200
KNOWLEDGE AND IGNORANCE
In classical Brahmanism, philosophy is a mere rational-
unlike the Buddhist understanding, pure being shrouds it-
ization of the Vedic revelation (Biardeau, 1964). Contrary
self, out of ignorance, in psychic formations. Essentially the
to what happened in both Christianity and Islam owing to
Buddhist message is this: Living is suffering, suffering stems
the clash of two different traditions, in Brahmanism no dis-
from desire, and desire from avidya¯. In order to be delivered
tinction was made between philosophy and theology. But in
one should vanquish ignorance and obtain wisdom, mystical
Hinduism there was always “a deep-seated tension between
lucidity (Pali, prañña¯; Sanskrit, prajña¯), also called
the ascetic ideal as personified in the holiness of the ´sraman:a
a¯ryaprajña¯ (“noble knowledge”), which produces extinction,
and the ideal or ritual propriety for the ordinary believer”
nirva¯n:a. But, contrary to what is taught in Brahmanism, this
(Bendix, 1960, p. 192). One of three or four approaches to
knowledge implies the negation of all permanence, of all sub-
this tension was jña¯nayoga (“the way of knowledge”), which
stance, of a¯tman as well as of brahman, the two terms whose
held that even a good action, because it is connected with
equation was the foundation of the Brahmanic doctrine.
ignorance (avidya¯), can only produce the fruit of all attach-
This is the view of H¯ınaya¯na Buddhism.
ment to things and beings, namely, reincarnation. In the
Nya¯ya (“logic”) school, there is finally only one mode of
Maha¯ya¯na Buddhism refines this negative position. The
knowledge, that of perception, but in certain circumstances
perfection of wisdom, prajña¯pa¯ramita¯, does not give omni-
contact with the external senses is not required: Contact be-
science by providing a foundation of knowledge: The very
tween a¯tman (“soul”) and manas (“inner sense”) is sufficient.
lack of such a foundation constitutes omniscience, which is
Natural and revealed knowledge are on the same plane: “The
the revelation of emptiness. Still, there are two degrees of this
gods, the men and the animals make use of the [revealed]
revelation. According to the Vijña¯nava¯dins, pure thought is
means of right knowledge, and there is no other”
an absolute to which all things are reduced, while the
(Nya¯yabha¯s:ya 1.1.17).
Ma¯dhyamikas go one step further: For them the doctrine of
emptiness is itself emptiness (Bugault, 1968, p. 48). The ef-
Concepts of nondualism and brahman have long had
fort toward knowledge results in nonknowledge, nescience.
precise meanings in India. Both refer to a mystical doctrine
of salvation through knowledge: As the Veda is endowed
According to Asanga, prajña¯ is only obtained subse-
with the ontological fecundity of the brahman, so the latter
quent to dhya¯na (“appeased, introverted concentration”; in
is, in turn, the spring of all knowledge. In the Sa¯m:khya
Chinese chan, in Japanese zen) and is a sort of no¯esis without
school the most fatal attitude is nescience, or nondiscrimina-
no¯eta (ibid., p. 41). Prajña¯ and dhya¯na are like the two sides
tion between purus:a (spectator spirit) and prakr:ti (creative
of a coin. Dhya¯na concentrates; prajña¯ liberates. Supreme
energy): This failure to discriminate is avidya¯ (“ignorance”),
knowledge, bodhi, is only the realization that there is nothing
which keeps one in the bonds of the cycle of transmigration.
to comprehend. This kind of knowledge would seem to be
But if language speaks only of things in themselves, it cannot
tantamount to sheer ignorance, but it is not, for then “the
express becoming, or change, Bhar:trhari objects, and he
deaf, the blind and the simpletons would be saints” (Majjhi-
finds a way out of this difficulty not by suppressing perma-
ma Nika¯ya 3.498). It must be remembered that Buddhism
nence, as did the Buddhists, but by allowing thought to tran-
arose amid ascetics who practiced control of the senses, of
scend perception without relinquishing being. He eventually
breath, even of blood circulation—and of thought. In Chi-
does away with the authority of perception and relies only
nese Buddhism, the direct approach of Huineng (seventh to
on interior revelation, which is essentially religious and non-
eighth century) to sudden awakening rejected all distinctions
rational. Bhar:trhari does not mention avidya¯ or ma¯ya¯
between enlightenment and ignorance.
(“illusion”), which will be the pivots of Vedantic thought.
VEDA¯NTA. The ruin of Brahmanic ontology under the assault
Veda¯ntism—the further development of Brahmanism—
of Hinayana Buddhism had resulted in Hinayana positivism,
cannot be understood without reference to Buddhism.
which led to the Maha¯ya¯na doctrine of absolute emptiness.
BUDDHISM. The teachings of the Buddha presupposed a
This in turn brought about in Brahmanism Vedantism, a re-
high level of schooling among his disciples: There were sys-
turn to ontology on the basis of avidya¯ (“nescience”), as for-
tematic, dispassionate discussions in which appeal was made
mulated by its first major exponent, S´an˙kara, in the eleventh
to the intellect, in contrast to the popular similes, ironical
century. The idea of the ego is produced by nescience; so are,
retorts, and emotional preaching of Jesus or the visionary
in their literal sense, the Vedic texts. Nescience is the cause
messages of Muh:ammad (Bendix, 1960, p. 192). Buddhism
of all error, of suffering and of evil. Brahman is the only true
is based on an illumination (bodhi) experienced by
object of knowledge, to which the soul goes back by exercis-
S´a¯kyamuni. Its object was expressed in the form of a chain
ing nescience. Substituting the word nirva¯n:a for the word
of causes and effects (Skt., prat¯ıtya-samutpa¯da; Pali,
brahman would result in a perfect formula of Buddhist or-
pat:icca-samuppa¯da). The list given in the Maha¯nida¯na Sutta
thodoxy. But Ra¯ma¯nuja (twelfth century), the second impor-
comprises only nine links, ending in (or starting from)
tant exponent of Vedantism, went one step further. He ad-
viñña¯n:a (“consciousness”), without ignorance being men-
mits, not unlike S´an˙kara, that subject, object, and the act of
tioned. Not so in the Maha¯vagga, which counts twelve terms,
knowledge are only arbitrary distinctions created by avidya¯,
starting from avijja¯ (“ignorance”), in the chain of psychic
that the chain of acts is only a trick of nescience, and that
formations, a notion parallel to that in Brahmanism where,
salvation consists in the cessation of nescience through
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KNOWLEDGE AND IGNORANCE
5201
knowledge of brahman, which is accessible in the Veda. But
be resolved, for instance by Theagenes of Rhegium (fourth
this is transcendent knowledge, an intuitive revelation only
century BCE), through the allegorical interpretation of myths.
made possible in a mystical union with brahman, which is
In the sixth century BCE Xenophanes ridiculed the an-
also conceived as the universal lord. “He who possessing
thropomorphism of the myths and emphasized God’s spiri-
knowledge untiringly strives and is devoted to me only, to
tuality and omniscience. A century later Socrates (according
him I am infinitely dear and he is dear to me” (Bhagavadg¯ıta¯,
to Xenophon) rejected the study of the world machine,
7.17).
wrought and ruled by the gods, and instead recommended
studying human affairs. He equated virtue with knowledge
Ra¯ma¯nuja also restored to the individual soul its reality
and vice with ignorance (Xenophon, Memorabilia 3.9, 4. a;
and substantiality. Whereas in the Upanis:ads and the teach-
Plato, Protagoras, Meno, etc.).
ings of S´an˙kara the divinity was conceived as sheer con-
sciousness, in medieval Hinduism, whether Vais:n:ava or
According to Plato, faith, mystical enthusiasm, is but a
S´aiva, it becomes a force in action, a sovereign energy. And
stage in the pathway to knowledge; the knowledge of God
knowledge must be fulfilled in bhakti, that is, unrelenting
is the soul’s marriage with her ideal. Above the Logos, or
love of God. Ra¯ma¯nuja refutes the notion of avidya¯ S´an˙kara
Reason, is the Nous, or Intellect, the faculty of perceiving
had inherited from the Buddhists. To assume that the brah-
the divine, the instrument of contemplation. But the su-
man necessarily develops into illusory nescience and plurality
preme idea, the Good, was raised by Plato beyond both being
is to admit that the brahman itself is illusory, that ultimate
and knowledge, as the principle of their unity.
reality is error and lie. This is, he says, to fall into the error
Aristotle replaced Plato’s anamn¯esis by abstraction. Hu-
of Ma¯dhyamika Buddhism, which is contradicted by the
mankind is like a mortal god, for it possesses a divine reality,
teachings of the Upanis:ads, the Bhagavadg¯ıta¯, and the Vis:n:u
the intellect, capable of knowing God. God, the Unmoved
Pura¯n:a (Grousset, 1931, p. 391).
Mover, is no¯esis no¯eseo¯s. This still reflects the primacy of the
intellect and implies superiority of contemplation over any
DAOISM. Chinese thought, on the whole, aims at culture,
other way of life.
not at pure knowledge. In Daoism, humankind falls by ac-
The Cynics reacted against the almost unlimited confi-
quiring knowledge. Whereas for the Confucians humans
dence in education as a means to form and transform man
learn to use and to improve on nature, for the Daoists this
that had prevailed in Athens since the time of the Sophists.
is a profanation of nature: “Banish wisdom, discard knowl-
Virtue, said Antisthenes, lies in action and has no need of
edge, and the people will be benefited a hundredfold, for it
many discourses or of science. But the saying attributed to
was only when the great Dao declined, when intelligence and
him by Diogenes Laertius (6.103) that “if one were wise, one
knowledge appeared, that the great Artifice began. . . . In
would not learn to read, lest one should be corrupted by
the days of old those who practiced Dao with success did not,
other people,” is probably an exaggeration of his position.
by means of it, enlighten the people, but on the contrary
sought to make them ignorant. The more knowledge people
For the Stoics the human intellect is not only akin to
have, the harder they are to rule. Those who seek to rule by
God, it is part of the divine substance itself. They appealed
giving knowledge are like bandits preying on the land. Those
to Heraclitus, but their Logos was not, like his, simply a prin-
who rule without giving knowledge bring a stock of good
ciple of explanation. It probably owed much to the notion
fortune to the land” (Dao de jing). Daoism is the declared
of the commanding word, davar, which in Hebrew expressed
enemy of civilization. Civilization based on knowledge is to
the divine will.
be replaced by another kind of knowledge, the intuitive
In the Platonic tradition, according to Philo Judaeus,
knowledge of Dao, through which humanity becomes the
the human intellect is the source of, on the one hand, percep-
Dao.
tion, memory, and reaction to impulses; on the other hand,
as apospasma theion (“divine fragment”), it makes possible su-
THE GREEKS. The notion of Logos in Heraclitus implies that
prarational intuition.
the universe can be known. He was the first philosopher to
THE HEBREWS. To the Hebrews, knowing was less a logical,
pose the epistemological problem. Still, for him “questions
discursive process than a direct psychological experience, less
of cognition are inseparable from questions of action and in-
the expression of objective truths than a personal engage-
tention, of life and death. The blindness he denounces is that
ment. (The Hebrew for “to know,” yada E, signifies sexual in-
of men who do not know what they are doing” (Kahn, 1979,
tercourse.) Knowledge of the law was the basis of the moral
p. 100).
life. In the Book of Genesis, however, a negative appraisal of
The Pythagoreans were divided into acousmatics and
knowledge was reflected in the story of the Fall: Evil and
mathematicians, the former following the tradition of fides
death entered the world through humanity’s “knowledge of
ex auditu, the latter following reason and veritas ex intellectu,
good and evil.” The myth resembles the Daoist one in which
thus already exemplifying, as Léon Brunschwicg noted, the
the loss of happiness results from the acquisition of knowl-
contrast between theosophy and philosophy. With the emer-
edge.
gence of philosophy a conflict was bound to arise between
In Israel, however, this conception remained isolated
reason and religion, between logos and muthos. It tended to
and, perhaps, misunderstood, over against the more wide-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5202
KNOWLEDGE AND IGNORANCE
spread feeling that knowledge is from God, who “teaches
ments there is fire, a vehicle of death and destruction, as
man knowledge” (Ps. 94:10) and, in the Qumran texts, is
within the three passions is hidden ignorance (Irenaeus,
even called “God of knowledge,” and “source of knowledge.”
Against Heresies 1.5.4).
Such a notion also prevails in Jewish apocalyptic literature
(Gruenwald, 1973, p. 63). Finally, skepticism is not absent
Jewish apocalyptic contributed to gnosticism by its new
from the Bible; Ecclesiastes expresses skepticism but compen-
idea of knowledge as a religious ideal (Gruenwald, 1973,
sates for it by adherence to authority.
p. 104), but the gnostics, according to Celsus, called the god
of the Jews the “accursed god” because he created the visible
EARLY CHRISTIANITY. The role of knowledge in the Chris-
world and withheld knowledge from humans (Rudolph,
tian faith has varied considerably. Its importance was already
1983, p. 73). According to various gnostic texts the “tree of
recognized by Paul the apostle, who considered it the su-
knowledge” imparts to Adam his appropriate godlike status
preme virtue: “. . . after I heard of your faith . . . and love
over against the lower creator god, who prohibited the enjoy-
. . . [I prayed] that . . . God . . . may give unto you the
ment of this tree out of envy. The serpent functions at the
spirit of wisdom and revelation in the knowledge of him”
behest of the highest god for Adam’s instruction, and thus
(Eph. 1:15–18; cf. Col. 2:2), which agrees with the educa-
has a positive task (ibid., p. 94). According to Irenaeus, how-
tional ideal of a Jewish doctor of the law and with the mysti-
ever, mundane knowledge is to be rejected (Against Heresies
cal aspiration of apocalyptic; however, the ultimate object of
2.32.2). And according to Hippolytus, God will extend the
knowledge, the love of Christ, “passeth knowledge” (Eph.
great ignorance to all the world, so that each creature will re-
3:19), and Paul conformed to the specific Christian ideal
main in its natural condition and no one will desire anything
when, addressing the Corinthians, he put charity above ev-
against nature.
erything: “and though I have the gift of prophecy, and un-
derstand all mysteries, and all knowledge; and though I have
Direct information about gnosticism is available thanks
all faith, so that I could move mountains, and have no love,
to the discovery in Upper Egypt of the Nag Hammadi Cop-
I am nothing” (1 Cor. 13:2); “knowledge puffeth up, love
tic manuscripts. Gno¯sis is a hidden, esoteric knowledge. One
edifieth” (1 Cor. 8:1).
of the tractates bears the significant title The Interpretation
of Knowledge. The Gospel of Truth states that “ignorance of
Only John attempts a synthesis of love and knowledge:
the Father brought about anguish and terror. And the an-
“for love is of God, and every one that loveth is born of God,
guish grew solid like a fog so that no one was able to see. For
and knoweth God” (1 Jn. 4:7). And in the prologue of the
this reason error became powerful; it fashioned its own mat-
Fourth Gospel he identifies Jesus himself with the Logos.
ter” (Robinson, 1977, p. 38). In the Gospel of Thomas: “The
Contact with paganism, however, had already brought about
Pharisees and the scribes have taken the keys of knowledge
in Paul a completely different reaction: “But we preach
and hidden them. They themselves have not entered” (ibid.,
Christ crucified, unto the Jews a stumbling block, and unto
p. 122). In the Authoritative Teaching: “Even the Pagans give
the Greeks foolishness” (1 Cor. 1:23). A conflict between
charity, and they know that God exists . . . but they have
natural wisdom and revealed truth thus developed in Chris-
not heard the word” (ibid., p. 282). The God of this world
tianity and later, parallel to it, in Islam. On the other hand,
is evil and ignorant, according to The Second Treatise of the
Justin Martyr, the first Christian apologist, headed a long se-
Great Seth. In contrast, the Logos “received the vision of all
ries of authors for whom the Christian revelation was the cul-
things, those which preexist and those which are now and
mination of a more ample one that would include the
those which will be” (ibid., p. 77). Further: “The invisible
thought of the pagan philosophers, also Christian in its own
Spirit is a psychic and intellectual power, a knowledgeable
way because it came from the Word (Logos), and Christ was
one and a foreknower” (ibid., p. 383). The function or facul-
the Word incarnate.
ty by means of which gno¯sis is brought about is personified:
It is Epinoia, a transformation of Pronoia, or Providence
GNO¯SIS. In the second century, when Plutarch, with his Pla-
(Apocryphon of John). The world, on the contrary, was creat-
tonic use of myth, bore witness to philosophy’s overture to-
ed through the union of Ialdabaoth, the demiurge, with
ward mysticism and to the challenge of the primacy of the
Aponoia, the negative counterpart of Ennoia and a symbol
Logos, people were seeking to attain through revelation a
of his intellectual blindness.
kind of knowledge allowing union with God. There ensued
a heated dialogue between faith (pistis) and intellectual
Knowledge liberates: “The mind of those who have
knowledge (gno¯sis), the latter already suspect to Paul (1 Tim.
known him shall not perish” (ibid., p. 52); The “thought of
6:20: pseudonumos gno¯sis). Thus arose two conceptions of the
Norea” is the knowledge necessary for salvation. The Testi-
knowledge accessible to the Christian: The one (gno¯sis) is to
mony of Truth contrasts knowledge with empty hopes for
replace faith; the other submits to faith in order to fathom
martyrdom and a fleshly resurrection. The tractate Marsanes
its mystery. Gnosticism “traces back the origin of the world
speaks of the rewards of knowledge. But knowledge is not
to an act of ignorance, the removal of which through knowl-
sufficient: According to the Apocryphon of John, Christ is sent
edge is the aim of the Gnostic doctrine of redemption” (Ru-
down to save humanity by reminding people of their heaven-
dolph, 1983, p. 71). The element earth has been produced
ly origin. Only those who possess this knowledge and have
by horror, water by fear, air by pain; within those three ele-
lived ascetic lives can return to the realm of light. In fact, says
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KNOWLEDGE AND IGNORANCE
5203
the Testimony of Truth, “No one knows the God of truth ex-
of love. Knowledge is above every affirmation or negation.
cept the man who will forsake all of the things of the world.”
This is the mystical ignorance, the supreme degree of knowl-
edge. The other kinds of knowledge are defective, this one
In sum, “Gnosis is not a ‘theology of salvation by na-
is superabundant.
ture,’ as the heresiologists caricature it; it is rather thoroughly
conscious of the provisional situation of the redeemed up to
To Maximos the Confessor (seventh century), man in
the realization of redemption after death.” (Rudolph, 1983,
his progress toward God through knowledge only ascends
p. 117). Similarly, in Mandaean religion (Manda d-Hiia, lit-
back, in a movement opposite to his fall, toward the eternal
erally “knowledge of life”), a gnostic sect that survives to the
idea of himself that, as his cause, has never ceased to exist
present day in Iraq, knowledge alone does not redeem: The
in God.
cultic rites, primarily baptism and the “masses for the dead,”
LATIN FATHERS. Among the Latin church fathers in the sec-
are necessary for salvation.
ond and third centuries Tertullian (like Tatian among the
Greeks) radically opposed philosophy. He wrote that the de-
But God, according to the gnostics, is the incomprehen-
sire for knowledge leads to faith. This is perhaps rather sim-
sible, inconceivable one, who is superior to every thought,
ple, but not quite the same as the motto often attributed to
“who is over the world,” “the one who is ineffable,” “the un-
him: “Credo quia absurdem.”
knowable” (Robinson, 1977, pp. 209, 213, 411).
G
The Platonic tradition survived and in the fourth and
REEK FATHERS. In the third century Clement of Alexan-
dria, “with his conscious use of the concept gno¯sis for the
fifth centuries produced the philosophy of Augustine of
Christian knowledge of truth, attempts to overcome the
Hippo, who after hoping to proceed through Manichaeism
breach between faith and knowledge in the Church and not
from reason to faith, always maintained the necessity of the
to remain stuck in a mere denial of the claims of the ‘false’
preparatory role of reason but held that reason had also an-
gnosis” (Rudolph, 1983, p. 16). “Should one say,” he writes
other role to play, subsequent to faith. Thus: “Intellige ut
in Stromateis 2.4, “that knowledge is founded on demonstra-
credas, crede ut intelligas.” All one’s knowledge stems from
tion by a process of reasoning, let him hear that the first prin-
one’s sensations, which, however, do not teach one the
ciples are incapable of demonstration. . . . Hence, it is
truths. This is done by something in one that is purely intelli-
thought that the first cause of the universe can be apprehend-
gible, necessary, motionless, eternal: a divine illumination.
ed by faith alone.” But Clement’s God is as unknowable as
To know oneself (as Socrates recommended) is to recognize
that of Plato or Philo Judaeus, who placed him above being.
an image of God, therefore to know God.
This is also the position of Plotinus, a contemporary of
ISLAM. Muh:ammad’s message presents itself as knowledge,
Clement.
so much so that the times preceding his coming are called
the Ja¯hil¯ıyah (“state of ignorance”). The same idea is found
In the fourth century at Antioch John Chrysostom
in Acts of the Apostles 17:30: “And the times of this ignorance
wrote on God’s incomprehensibility. According to Gregory
God winked at; but now commandeth all men everywhere
of Nazianzus God’s existence can be inferred from the order
to repent.” Islam initiated the times of illumination and right
of the world, but we cannot know what he is. The motto of
knowledge. But when the Muslims encountered the Greek
Theodoret of Cyrrhus (fourth to fifth century) was “first be-
philosophical heritage through Syriac texts, the problem of
lieve, then understand.”
the relationship between philosophy and the QurDanic tradi-
The Desert Fathers, in their simplicity, sometimes re-
tion was bound to arise. Some Muslims quoted the Prophet
sented the intrusion of more sophisticated views from Alex-
in support of their contention that speculation was one of
andria or, later, from Cappodocia. In contrast to the newly
the duties of the believers; others, on the contrary, main-
converted intellectuals who were bringing to Christianity the
tained that faith should be obedience, not knowledge.
aristocratic tradition of the pagan teachers, monachism reaf-
As related in the Jewish philosopher Maimonides’ Guide
firmed, as the Franciscans were to do in the thirteenth centu-
for the Perplexed, “when the Muh:ammadans began to trans-
ry, the primacy of the unsophisticated, one of the essential
late the writings of the Greek philosophers from the Syriac
teachings of the Gospels. Libido sciendi and excessive preten-
into the Arabic, they likewise translated the criticisms of
sion to wisdom were regarded as temptations of the devil just
those philosophers by such Christians as John Philoponus,
as were sensuality or ambition. (Brunschwicg, [1927] 1953,
the commentator of Aristotle” (Gilson, 1937, p. 39).
p. 107).
Al-Kind¯ı (ninth century) seems to have found in Philoponus
In the sixth century a gnostic tendency expressed already
the germ of his notion of a harmony between Greek philoso-
in the Gospel of Philip was developed by Dionysius the Are-
phy and Muslim faith. He suffered under the repression of
opagite, who applied to God all the names the scriptures give
all philosophical activity ordered by the Abbasid caliph al-
him (affirmative theology), but only in order to afterward
Mutawakkil.
deny them (negative or apophatic theology). God is beyond
According to Abu¯ Bakr al-Ra¯z¯ı, a tenth-century physi-
affirmation or negation; he is a superbeing (superlative theol-
cian, only philosophy, especially that of the Greek sages,
ogy). The world is a theophany, the only means of knowing
could lead to happiness. For him, there was no possible rec-
its author. Universal illumination is an immense circulation
onciliation between philosophy 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
5204
KNOWLEDGE AND IGNORANCE
“Where the revealed truth is, by hypothesis, absolute
THE SCHOOLMEN. Scholasticism was largely an answer to
truth,” writes Étienne Gilson, “the only way to save philoso-
the challenge of Ibn Rushd (Averroës); it might also be seen,
phy is to show that its teaching is substantially the same as
however, as little more than an obstinate endeavor to solve
that of revealed religion” (1937, p. 37). This was the purpose
one problem, the problem of universals. The answer was far
of al-AshaEr¯ı (Baghdad, tenth century), who inaugurated
from unanimous.
Muslim scholasticism (kala¯m) in the Sunn¯ı tradition, but
Peter Abelard (eleventh to twelfth centuries) always in-
whose doctrine “is a remarkable instance of what happens to
sisted on the continuity between ancient wisdom, based on
philosophy when it is handled by theologians, according to
the natural usage of reason, and Christian wisdom, which,
theological methods, for a theological end” (ibid., p. 39). His
far from destroying the previous, fulfills it. But he soon
contemporary al-Fa¯ra¯b¯ı was a typical representative of the
reached the conclusion that he had no universal ideas. God
main current in Muslim philosophy: Everything is known
alone has. Scientific and philosophical skepticism is compen-
through a cosmic agent, the Active Intellect, whose final aim
sated for by a theological appeal to the grace of God. Anselm
is to enable everyone to know God. Al-Fa¯ra¯b¯ı’s tendency cul-
of Canterbury (eleventh century) had written, “For I do not
minated in the teachings of the Iranian Ibn S¯ına¯ (Avicenna).
seek to understand that I may believe, but I believe in order
Abu¯H:a¯mid al-Ghaza¯l¯ı (Iran, eleventh century) turned Aris-
to understand. For this also I believe, that unless I believed,
totle’s own weapons against the Aristotelianism of al-Fa¯ra¯b¯ı
I should not understand.” Hence his motto: “Fides quaerens
and Ibn S¯ına¯ in order to establish religion—accessible only
intellectum.”
through mystical knowledge—on the ruins of philosophy.
Hugh of Saint-Victor (twelfth century) wrote that from
Faith could, in principle, be based either on authority
the beginning God wished to be neither entirely manifest to
(taql¯ıd) or on knowledge ( Eilm) or on the intuition of the
human consciousness nor entirely hidden. “If He were en-
mystic (a Eya¯n). Islamic mysticism seems to have originated
tirely hidden, faith would indeed not be added unto knowl-
in some form of gnosticism, and in the tenth century Neo-
edge, and lack of faith would be excused on the ground of
platonism was adapted. Twelver Shiism distinguishes, in its
ignorance. . . . It was necessary that He should conceal
epistemology, two parallel series. On the side of external vi-
Himself, lest He be entirely manifest, so that there might be
sion are eye, sight, perception, and sun; on the side of inter-
something which through being known would nourish the
nal vision, heart, intelligence ( Eaql), knowledge ( Eilm), and
heart of man, and again something which through being hid-
active intelligence ( Eaql fa E Ea¯l). This, so far, is the philosoph-
den would stimulate it” (De sacramentis 1.3.2). Further:
ical approach. The prophetic approach considers as its source
“Faith is a form of mental certitude about absent realities
the Holy Spirit, Gabriel, the angel of revelation, who is dis-
that is greater than opinion and less than knowledge” (ibid.,
tinct from the Active Intellect. But the two modes of percep-
1.10.2).
tion ultimately converge. This is due, according to the
The position of the Franciscan Bonaventure (thirteenth
Twelver Sh¯ıE¯ı theoretician Mulla¯ S:adra¯ Shira¯z¯ı (seventeenth
century), like that of Abelard, was destructive of natural
century), to the existence and activity, halfway between pure
knowledge. This was a difficulty another Franciscan, John
sense perception and pure intellection, of a third faculty of
Duns Scotus, endeavored to deal with, but his own doctrine
knowledge: creative imagination. (Aside from his Aristote-
was “the death warrant of early Franciscan epistemology”
lian theory of passive imagination, Ibn S¯ına¯ held another,
(Gilson, 1937, p. 59).
“Oriental” one, of active imagination, which was to be devel-
The Dominican Albertus Magnus and his disciple
oped in Suhraward¯ı’s “philosophy of light”).
Thomas Aquinas (who was almost exactly contemporaneous
But to return to al-Ghaza¯l¯ı’s destruction of philosophy:
with Bonaventure) vindicated Aristotle’s “abstraction” as a
“There was bound,” writes Gilson, “to appear a philosopher
way of knowing God against the “divine illumination” of
who, on the contrary, endeavored to found philosophy on
Augustine, Anselm, and Bonaventure, as well as against the
the ruins of religion” (ibid., p. 35). Such was the Andalusian
Active Intellect of Ibn Rushd. But in an irenic mood Thomas
philosopher Ibn Rushd (Averroës, twelfth century). He dis-
observed that because God is the ultimate cause, his illumi-
tinguished between knowledge accessible to the lower classes
nation is implied in abstraction also. Faith differs from
and interpretations reserved for the philosophical elite. Phi-
knowledge in being determined in part by the choice of the
losophy was supreme in attaining absolute science and truth;
believer, and from opinion in being held without misgiving:
next came theology, the domain of dialectical interpretation
Faith implies intellectual assent to that which is be-
and verisimilitude; at the lowest level, religion and faith were
lieved, but there are two ways in which the intellect
adequate for those who needed them. His adversaries accused
gives its assent. In the first way, it is moved . . . by the
him of professing the doctrine of double truth. This, accord-
object iself . . . as are conclusions which are known sci-
ing to Gilson, is inaccurate and unfair. Ibn Rushd main-
entifically. In the second way, the intellect gives its as-
tained only that reason’s conclusions are necessary and that
sent not because it is convinced by the object itself, but
he adhered to faith’s opposite teaching. His Latin followers
by voluntarily preferring the one alternative to the
supported his view that philosophy, when given the liberty
other. (Summa theologiae 2.2.1.4)
to follow its own methods, reaches necessary conclusions that
Commenting on James 2:19 (“Even the demons believe—
are contradictory to the teachings of religion.
and shudder”), Thomas further writes:
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KNOWLEDGE AND IGNORANCE
5205
The demons are, in a way, compelled to believe by the
whore”; hence his polemic against Erasmus. Calvin thought
evidence of signs and so their will deserves no praise for
that humanity cannot know God in itself, but only as the
their belief as they are compelled to believe by their nat-
Lord revealing himself to humans. A Calvinist (as noted by
ural intellectual acumen. (ibid., 2.2.5.2)
Max Weber), because of his particular view of the relation-
Moreover, while philosophy only teaches about God what
ship between the creator and the creature and of his own
is known per creaturas (Paul, Rom. 1:19), theology also teach-
“election,” would live and work in a certain way: “Puritan-
es, thanks to revelation, “quod notum est sibi soli” (“what
ism’s ethic of trade, which applied to believers and nonbe-
only He himself knows”; ibid., 1.6). Thomas’s position has
lievers alike, was related to both religious doctrine and pasto-
been characterized as intellectualist, fideistic, and voluntarist
ral practice. Intense religious education, together with the
by John Hick (1966), who attempts to refute it.
threat of social ostracism, provided powerful incentives and
sanctions” (Reinhard Bendix, Max Weber: An Intellectual
William of Ockham (fourteenth century), yet another
Portrait, Garden City, N. Y., 1960, p. 91).
Franciscan, discusses various philosophical problems as if any
theological dogma, held by faith alone, could become the
To combat Protestantism, the Roman Catholic church
source of philosophical and purely rational conclusions. In-
took an obscurantist stance, forbidding the reading of the
tuitive knowledge is self-evident. Not so abstractive knowl-
Bible in translation, while it also attempted to reinforce its
edge. William denies the existence of ideas representing the
doctrines by the institution of catechism. Ignorance could be
genera and the species, and this even in God (thus outstrip-
considered culpable, and a person could, “like a diseased
ping Abelard). The universal mystery is but a concrete ex-
limb . . . [be] cut off and separated by his ignorance and
pression of the supreme mystery of God, a position that an-
sin” (Miguel de Cervantes, Don Quixote, chap. 40). But ig-
ticipates Hume’s skepticism.
norance could also be an excuse if it be, in terms of Catholic
theology, “invincible,” that is, if the agent is wholly unaware
According to Gregory Palamas (fourteenth century),
of his obligations or of the implications of a specific act (see
who lived in Constantinople and was thus outside Latin
G. H. Joyce, “Invincible Ignorance,” in Encyclopaedia of Reli-
Scholasticism, knowledge acquired through profane educa-
gion and Ethics, edited by James Hastings, vol. 7, Edinburgh,
tion is not only different from but contrary to veritable, spiri-
1914).
tual knowledge (Triads in Defense of the Holy Hesychasts
1.1.10).
For Pascal, there is an order of the spirit above that of
After the breakdown of medieval philosophy, there
the flesh; but above the order of the spirit there is that of love:
seemed to be two ways of saving the Christian faith: either
“Le coeur a des raisons que la raison ne connaït pas” (“The
to resort, with Petrarch, Erasmus, and others, to the gospel,
heart has its reasons, which reason does not know”). And:
the fathers of the church, and the pagan moralists, which
“It was not then right that [Christ] should appear in a man-
might lead to the skepticism of Montaigne (who, neverthe-
ner manifestly divine, and completely capable of convincing
less, practiced Catholicism, to the extent of making a pil-
all men [through reason] . . . and thus [He was] willing to
grimage to Our Lady of Loretta), or to resort to mysticism.
appear openly to those who seek Him with all their heart”
A mystical tide swept over Europe during the fourteenth and
(Pensées 430).
fifteenth centuries. Johannes (Meister) Eckhart’s God is not
CARTESIANISM. Descartes’s doctrine was “a direct answer to
simply beyond the reach of human knowledge, but in a truly
Montaigne’s scepticism” and “a recklessly conducted experi-
Neoplatonic manner escapes all knowledge, including his
ment to see what becomes of human knowledge when
very own: Even if it be true that God eternally expresses him-
moulded into conformity with the pattern of mathematical
self in an act of self-knowledge, his infinite essence is unfath-
evidence: He had the merit of realizing that two sciences—
omable even to himself, for he could not know himself with-
geometry and algebra—hitherto considered as distinct were
out turning this infinite essence into a definite object of
but one: Why not go at once to the limit and say that all sci-
knowledge. “It is only when man reaches that silent wilder-
ences are one? Such was Descartes’s final illumination” (Gil-
ness where there is neither Father, nor Son, nor Holy Ghost,
son, 1937, pp. 127, 133). After confessing in the Discourse
that his mystical flight comes to an end, for there lies the
on Method that one could not talk of things sacred without
source of all that is: beyond God, in the fullness of Godhead”
assistance from heaven, he showed in the Meditations “the
(Gavalda, 1973, p. 111).
way to attain knowledge of God with more ease and certainty
Copernicus had put an end to geocentrism, but an ac-
than that of things of this world” (ibid., p. 137).
commodation between a newer cosmology and an older the-
Leibniz, Spinoza, and Malebranche were Cartesians:
ology was nevertheless to prevail for a long time to come:
From God proceeded the unknown force that linked mind
Kepler and others saw the Holy Trinity reflected in the solar
to matter and matter to mind. According to Spinoza, the
system, with the sun as God the Father.
mysticism of literal faith belongs to a kind of inferior knowl-
PROTESTANTISM. In reaction to accomodating tendencies
edge that dissolves in the light of intelligence. Above imagi-
within monachism and Scholasticism, Luther loathed philos-
nation there is reason, but above reason, intellectual intu-
ophy and ancient culture: Reason was “the devil’s highest
ition, which leads to the unique and absolute truth, 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
5206
KNOWLEDGE AND IGNORANCE
Malebranche, although holding that everything in God
constitute scientific knowledge, but that illusory speculation
is known, still believed in the existence of a concrete and ac-
that people call metaphysics. If reason does not lead to God,
tually subsisting world of matter. Not so Berkeley. Finally,
if, given Hume’s skepticism, reason is destructive of the very
Hume said that if one has no adequate idea of “power” or
principles of philosophical knowledge and morality, Rous-
“efficacy,” no notion of causality that one can apply to mat-
seau’s passionate appeal to feeling and to moral conscience,
ter, where could be obtained one that would be applied to
against the natural blindness of reason, is to Kant the revela-
God?
tion of a wholly independent and self-contained order of mo-
rality. But to posit God as required by the fact of morality
For Jakob Boehme, knowledge was a way of salvation.
is not the same as to know that God exists.
Under the influence of Boehme and Paracelsus, Christian es-
otericism tried more and more to unite faith and knowledge.
Maine de Biran, when young, surmised that the origin
But in eighteenth-century Europe, particularly in France,
of belief lay in the sense of smell, but in his old age he wrote
Germany, and England, the pursuit of happiness tended to
that Augustine, when meditating on his relation to God,
prevail over concern for salvation; besides, unhappiness was
found or proved that there might be a subtler, more refined
regarded as due to a lack of knowledge or to erroneous judg-
organization above the coarse one of human sense (Brunsch-
ment, and it was consequently believed that the progress of
wicg, 1927, p. 618).
reason would bring happiness. For Leibniz, evil results from
Hegel was in very much the same situation as Nicholas
ignorance. Locke entitled a book The Reasonableness of Chris-
of Cusa in the fifteenth century. There had to be contradic-
tianity (1695).
tion everywhere in the universe for the contradictions of phi-
None of the German Aufklärer was inclined toward
losophy to give a true picture of reality: This was another
atheism; each tried to fit God into a rational scheme of
form of learned ignorance. But finally Hegelianism, by con-
things. For Samuel Reimarus, whose work was published by
fining reason to the sphere of pure science, enslaved philoso-
G. E. Lessing, religion did not proceed from a letter, Bible,
phy to the blind tyranny of the will (Gilson, 1937, p. 252).
or QurDa¯n, dictated by some God; God was the presence, in
COMTE. At a primary level of each social group there is, ac-
one’s soul, of universal, eternal reason.
cording to Comte, a definite state of intellectual knowledge;
It was thought that one should stop bothering about
at a secondary level, determined by the first, is a specific form
what cannot be known and that morality could be free of any
of government; finally, a third element flows from the first
transcendent element and based on nothing more than the
two: a specific form of civilization. “We have only to reverse
self-knowledge of conscience. If all that seemed superstitious
this doctrine to get Marxism,” remarks Gilson (1937,
in the beliefs of the Roman church and reformed religion
p. 257). In his synthesis of positivism with the Hegelian tra-
were purged, only the unknown supreme being would re-
dition, Marx made possible a sociology of knowledge (actual-
main. Pierre Bayle paved the way for Holbach, Voltaire,
ly founded by Karl Mannheim), a science that tries to ex-
Shaftesbury, Locke, Montesquieu, Rousseau, and, eventual-
plain ideas (including religion) as the outcome of social con-
ly, Kant.
ditions.
While the Encyclopedists were trying to apply the meth-
By driving metaphysics out of its final position, Comte
ods of the sciences to the improvement of the practical arts
had ensured the uniformity of human knowledge. But sci-
and of social institutions, Rousseau’s opposition exploded
ence had failed to provide mankind with a systematic view
like a bomb: His philosophy was to dominate the period be-
of the world. By making love the ultimate foundation of pos-
fore the French Revolution and the years that followed its
itivism Comte was repeating in his own way Kant’s famous
failure. God had created man not only innocent but igno-
step of decreeing the primacy of practical reason. Condem-
rant, wishing thereby to “preserve him from knowledge just
nation of metaphysics in the name of science invariably cul-
as a mother would wrench a dangerous weapon from the
minates in the capitulation of science to some irrational ele-
hands of her child” (Discours sur les sciences et les arts, quoted
ment (Gilson, 1937, p. 298).
in Zaehner, 1970, p. 330). “Reason too often deceives us,”
Eighteenth-century rationalism believed it could elimi-
says the Vicaire Savoyard, but “conscience never deceives”
nate the religious tradition simply by determining its human
(Émile, quoted in Brunschwicg, 1927, p. 271). Conscience
conditions through historical and psychological observation.
is the soul’s divine instinct. Such was the religion of instinct,
The nineteenth century, on the contrary, established a psy-
already advocated by Swiss pietists. Bolingbroke had written
chology and a sociology of religion that, far from eliminating
that one cannot know what God is, only that there is a
their object, posited its objective reality through the very
God—which was, more or less, Hume’s position.
principles of their method. This reality is attained by intu-
K
ition (Léon Brunschwicg, Les étapes de la philosophie mathé-
ANT. What was Hume, after all, asks Gilson (1937,
p. 223), but a sad Montaigne? Hume’s voice was soon to be
matique, Paris, 1912, p. 432).
heard by Immanuel Kant. So long as one’s mind applies itself
THE PROTESTANT PERSPECTIVE. The problem of religious
to the mere mental presentation of possible objects, it does
knowledge has been dealt with extensively from the Protes-
not form concepts of things, but mere ideas; these do not
tant point of view by Douglas Clyde Macintosh (1940). 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
KNOWLEDGE AND IGNORANCE
5207
distinguishes not only between realism and idealism but be-
personal, unconscious, non-moral being.” Brown was
tween dualism and monism: “The object consciously experi-
expelled from the Episcopal church for espousing these ideas.
enced and the object existing independently of experience
Under “Logical Idealism” Macintosh ranks Georg Sim-
are, according to dualism, two wholly different existences,
mel, Wilhelm Windelband, George Santayana, Benedetto
and, according to monism, existentially one, at least in part
Croce, and Giovanni Gentile. While the religious man,
and sufficiently for some knowledge of the independently ex-
wrote Simmel, must be assured that God is, even if he may
isting reality to be humanly possible” (Macintosh, 1940,
be in doubt as to what God is, the typical modern man
p. vii). After excluding from the sphere of knowledge mysti-
knows very well what God is, but is unable to say that God
cism, ecstasy, the love-dialogue with God, and whatever is
is. Similarly, to Dean Inge the important question is not
redolent of monasticism as “extreme monistic realism,” Ma-
whether God exists but what is meant when speaking of
cintosh proceeds to an examination of “monistic idealism in
God—the value of values, the supreme value. One could add
religion.”
Léon Brunschwicg, for whom God is the formal ideal of
MONISM. Under the rubric “Religious Psychologism” Ma-
knowledge (as well as the intentional value of actions). Such
cintosh deals with the views of Hegel and others. Hegel’s def-
a philosophy of religion is common to Platonism and Chris-
inition of religion is “the Divine Spirit’s knowledge of itself
tianity.
through the mediation of a finite spirit.” For Feuerbach reli-
In Croce’s fusion of logical with psychological idealism,
gion is man’s earliest, indirect form of self-knowledge. For
to the extent that religion as cognition intuits what is beauti-
Édouard Le Roy dogmas are concerned primarily with con-
ful or thinks what is true, it is nothing beyond aesthetics or
duct rather than with pure reflective knowledge. Barukh Spi-
logic: To the extent that it intuits as beautiful what is not,
noza wrote in his Tractatus Theologico-Politicus that faith
or thinks to be true what is not true, it is not valid, theoreti-
does not demand that dogmas shall be true, but that they
cally considered. Gentile’s attitude, even more than Croce’s,
shall be pious—such as will stir up the heart to obey. For
is absolute idealism without the Absolute.
Durkheim, science refuses to grant religion its right to dog-
matize upon the nature of things. For Freud, insofar as reli-
Under “Critical Monistic Realism” Macintosh endorses
gion conflicts with science or would offer a substitute for sci-
a form of religious knowledge that includes adequate and ad-
entific investigation of the cause and cure of human ills, it
equately critical (i.e., logical) certitude of the validity of
is open to criticism. Macintosh would strongly maintain that
ideals and values considered as divine (i.e., as worthy of uni-
any tenable religious worldview must do full justice to sci-
versal human devotion). He cites as predecessors Friedrich
ence, including whatever scientific knowledge there may be
von Hügel, Henri Bergson, and a few others. Von Hügel was
in the field of religion, but such a worldview has the right
convinced that people have real experience and knowledge
to supplement scientific knowledge through a reasonable for-
of objects and that in religion in its higher reaches there is
mulation of religious faith based upon the tested value of
real contact with superhuman reality. For Bergson, the true
spiritual life.
metaphysical method is an immediate intuition or vision of
reality, and in religious mysticism there is such a thing. Ac-
Under “Philosophical Antecedents of Humanism” Ma-
cording to Macintosh, “Bergson carried the needed reaction
cintosh deals with John Dewey, whose functionalism implies
against intellectualism and rationalism to an equally objec-
a behaviorist theory of thinking and knowing, which crowds
tionable irrationalism and anti-conceptualism.” (Macintosh,
out of the definition of knowing all elements of mental con-
1940, p. 181).
templation and rules out as “nonempirical” not only the idea
of a transcendent God but even that of a persisting meta-
“Empirical Theology” is the title under which Macin-
physical ego as the individual subject of experience.
tosh presents his own program. Whereas scholastics, he
writes, defined theology as the science of God, a deductive
Under “Theological Antecedents of Humanism” Ma-
science proceeding from assured premises, some theologians
cintosh cites the work of George Burman Foster, whose early
have occasionally claimed to proceed by the inductive meth-
thought inclined to a dualistic theory of religious knowledge
od. Macintosh meets such objections as that of Georg Wob-
according to which the independently real but theoretically
bermin, who as a confirmed Kantian dualist cannot but feel
unknowable religious object was made the subject matter of
that all such terms as “empirical theology” involve a contra-
judgments of religious faith and feeling, an attitude obvious-
diction in terms. Macintosh finally formulates thirteen laws
ly inspired by Kant’s. But Foster came to feel that he must
of empirical theology. But he never gives an example of what
give up the dualistic supernaturalism of all doctrines of a
he means by “a truly reasonable belief.”
purely transcendent God.
DUALISM. According to dualism, the divine reality is never
Under “Humanism, Ecclesiastical and Other” Macin-
experienced immediately, never perceived directly. How
tosh cites, among others, William Brown, who wrote that the
then can there by any knowledge? There is reason to question
world’s savior, God, is knowledge, that the Gods of all the
the conclusiveness of the so-called proofs of God’s existence,
supernaturalistic interpretations of religion are so many cre-
the ontological, cosmological, anthropological, theological
ations of the dominant master class, and that “my God, Na-
arguments. These proofs will be replaced by argument from
ture, is a triune divinity—matter, form, and motion—an im-
moral values (as in Kant) or religious 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
5208
KNOWLEDGE AND IGNORANCE
But this has in fact led to agnosticism (a term coined
tion, but in its content: An inclusive supernaturalism would
in 1870 by Thomas Huxley), notably with Charles Darwin,
acknowledge revelation and miracle in all religions. (How is
who wrote that “the whole subject is beyond the scope of
religious knowledge possible? A “fourth critique,” after Kant,
man’s intellect,” and with Herbert Spencer, the prophet of
should investigate the a priori conditions of religious experi-
agnostic religion. For the agnostic, only the inductive meth-
ence.)
od and the positive results of the empirical sciences can serve
Rudolf Otto assumed that besides Glaube, which appre-
as an adequate check upon the too easy dogmatizing of theol-
hends the rationally necessary idea of an ultimate reality,
ogy and the speculative vagaries of metaphysics.
there is also Ahnung, a non-rational foundation for religion
Friedrich Schleiermacher, “the father of modern theolo-
in human nature, the instinctive sense of a mysterious reality
gy,” oscillated between pantheism and dualistic epistemolog-
(das Heilige), transcendent and wholly other.
ical agnosticism. Theology, he thought, can only be a de-
Under “Religious Pragmatism” Macintosh ranks, of
scription of subjective states of mind. Albrecht Ritschl was,
course, William James, but also his less well-known precur-
along with Schleiermacher, the most influential Protestant
sor A. J. Earl Balfour, who wrote that one assents to a creed
theologian of the late nineteenth century; he reacted vigor-
merely because of a subjective need for it, and who predicted
ously against intellectualism in favor of the autonomy of reli-
the advent of a critical science of religion whereby what valid
gious consciousness. He found Schleiermacher guilty of the
religious knowledge there may be will be given the universal
old error of making the doctrine of God a natural, as distinct
form of an empirical science.
from a revealed, theology, but in both cases, “religious
knowledge” is distinguished from science, philosophy, and
Under “Reactionary Irrationalism” Macintosh analyzes
theoretical knowledge generally. “But,” Macintosh asks
So⁄ren Kierkegaard, Miguel de Unamuno, and the theolo-
(1940, p. 247), “how can be justified the use of the term reli-
gians of crisis. This tendency began as a response to the mo-
gious knowledge as applied to the God and Father of our
nistic idealism of Hegel. Kierkegaard rebelled against Hegel’s
Lord Jesus Christ?” It should be recognized that the intuition
equation of actuality and the rational Idea. For Kierkegaard,
in question is not perceptual but imaginal, that so-called reli-
Christian faith is always contrary to reason: “The absurd is
gious knowledge is not knowledge in the scientific sense of
the proper object of faith, and the only thing that lets itself
empirically verified judgments and so on.
be believed.”
Adolf von Harnack agreed with Ritschl that Christianity
Similarly, for Unamuno, reason and faith are enemies,
is essentially ethico-religious and experiential rather than
and reason is the enemy of life. His despair of finding any
metaphysically speculative and intellectualistic. Ritschlians
theoretical defense of the Roman Catholic system of dogma
have much to say about revelation, but the concept is left
led him to underestimate the arguments vindicating a
vague from the epistemological point of view.
Christlike God and the immortality of the soul.
KARL BARTH. The theology of crisis in Germany was a con-
Wilhelm Herrmann was quite as suspicious of the influ-
sequence of World War I. But Karl Barth was also heir to
ence of mysticism as of the encroachments of metaphysics.
Kant, Schleiermacher, Troeltsch, Herrmann, Otto, Kierke-
For Julius Kaftan, Kant is the philosopher of Protestantism,
gaard, and Feuerbach. He condemned modern liberalism for
as Aristotle is the philosopher of Catholicism. The object of
its emphasis upon divine immanence, for “except in His
religious knowledge is not religion, but God; theology can
Word, God is never for us in the world.” As Kierkegaard in-
never be a science of the objects of faith, however, only a sci-
sisted, following Ecclesiastes, “God is in Heaven, and thou
ence of faith itself. Religious knowledge, as opposed to
upon Earth.” The image of God, Barth argued, has been
knowledge in the theoretical sense, presupposes an authentic
wholly destroyed in man by sin. The Bible is to be read in
revelation of God.
the old way, namely, not to find what people thought about
Wobbermin agreed with Ritschl in excluding from the-
God, but to find what God says to people. “This is,” writes
ology all the mixed articles in which the faith-knowledge of
Macintosh, “pretty much the old externally authoritarian, ir-
God was combined with and modified by the now discred-
rationalistic theology of the Evangelical Calvinism of two or
ited “natural” knowledge of God. “But,” Macintosh con-
three hundred years ago.”
cludes (ibid., p. 278), “no consideration of the value of a be-
Barth, hearkening back to Luther as well as to Calvin,
lief can establish it as knowledge in the absence of any
emphasizes the distinction between faith, which he em-
possibility of ‘first-hand experience.’”
braces, and religion, which he almost identifies with Roman
Under “Critical Rationalism” Macintosh lists the Reli-
Catholicism and abhors. In an essay on Barth’s theology,
gionsgeschichtliche Schule, which gave promise of liberating
Brand Blanshard offers this critique (“Critical Reflections on
modern theology from its perpetual oscillation between help-
Karl Barth,” in Faith and the Philosophers, ed. John Hick, Ith-
less agnosticism and the sheer dogmatism of exclusive super-
aca, N.Y., 1957):
naturalism. The comparative historical study of religions
Faith, according to Barth, is itself the highest knowl-
shows that the uniqueness of Christianity consists not in the
edge; but this knowledge differs completely from any-
manner of its proof, as resting upon a supernatural revela-
thing else which man calls knowledge, not only in its
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KNOWLEDGE AND IGNORANCE
5209
content, but in its modes of origin and form as well.
dogmas are symbols, ciphers, lacking all objective value, and
(p. 159) That revelation is to be considered a kind of
they should renounce their claim to the monopoly of truth.
knowledge is detected by his entitling one of his books
Knowledge of God. But he holds, with Ayer and Carnap,
Jaspers’s position is extreme, and exceptional in Germa-
that the attempt by rational thought to go beyond na-
ny. The general difference in philosophy between Germany
ture to the supernatural is inevitably defeated, though
and France is clearly formulated by Raymond Aron:
of course he draws a different conclusion from the de-
feat. He concludes that since we cannot reach a knowl-
German philosophers, especially in the last century,
edge of God through radical means, we must do so
often belonged to a milieu of civil servants, chiefly cleri-
through non-natural means; the positivists conclude
cal. Even when turned miscreants, they retain a sense
from the same premises that the attempt itself is mean-
of religion as a supreme form of spiritual aspiration;
ingless. (p. 170) In the face of all the projectionists who,
tending to a non-dogmatic religiosity, they distinguish
like Freud and Feuerbach, would make religious
between science, objectively true, and religion, humanly
“knowledge” an imaginative fulfilling of need, of all the
valuable although not liable to demonstration or refuta-
pragmatists who, like Dewey, would make it merely a
tion. This godless religiosity implies acknowledging the
means to human betterment, of all the rationalists who,
role of feeling, irreducible to that of reason. In France,
like Hegel, would make it philosophy half grown-up,
the direct rivalry of religion and philosophy prompts
of all the psychologists who, with Schleiermacher and
both of them to thorough and contradictory claims.
Ritschl, would make it essentially a matter of feeling,
Profane philosophy (at least in its most characteristic
Barth proclaimed a full-fledged return to the theology
exponents) is anti-Christian, even anti-religious. It is ra-
of the Reformation, in which God is set over against the
tionalistic and scientistic. (Aron, 1983, p. 135)
world as “wholly other,” known indeed to faith, but un-
THE ROMAN CATHOLIC PERSPECTIVE. The Roman Catholic
knowable, unapproachable and unimaginable by any
point of view, in its most conservative aspect, was put for-
natural faculties. (p. 160)
ward by Étienne Gilson in many admirable books, especially
BULTMANN AND JASPERS. Aside from Barth’s (or Luther’s)
in Réalisme thomiste et critique de la connaissance (1939). Reli-
distinction between religion and faith, Rudolf Bultmann dis-
gion justifies philosophy, which in turn illuminates religion
cerns within faith a core of message (kerygma) that is to be
through intelligence. Gilson writes on Bergson in La philoso-
extracted from the letter of the Bible through “Entmythologi-
phie et la théologie (Paris, 1960):
sierung.” The Bible failed to eliminate philosophy, which
Bergson had a clear idea of two types of knowledge, that
tends to make the kerygma a reality subject to reason’s grasp.
of intelligence, of which the purest expression is science,
Knowledge of God does not refer to his essence, but to his
and that of intuition, akin to instinct, which becomes
will. God is neither in nature nor in history and cannot be
explicitly conscious in metaphysics. If questioned about
attained there. The biblical authors are not completely inno-
faith, he could not for one instant imagine that it was,
cent of the sin of natural humankind; they sometimes under-
properly speaking, knowledge. The word “faith” sug-
stood God’s word through a naive kind of rationalism,
gested to him primarily the notion of obedience. To ac-
mythological rationalism, which is as sinful as scientific ratio-
cept a number of doctrinal positions as true although
nalism. Serious, cultivated believers reject that popular my-
accessible neither to intelligence nor to intuition, out of
thology. They can accept science and technology because
sheer submission to an external authority, was all this
they affirm that science and faith belong to two wholly dif-
philosopher would resign himself to. (p. 177)
ferent orders. But although they discard magic, spiritism,
Gilson sums up his own attitude as follows:
and all forms of pagan miracles, they nevertheless accept
Christian mythology, except in its most objectionable in-
There is on the one hand scientific progress, on the
stances. Contrary to Barth’s contention, faith should not uti-
other hand Christian faith, incarnated in the Church
and defined by tradition. To speak summarily but not
lize any philosophy. All philosophies are human projections
inexactly, there arises from the contact between the two
of God, of man, and of the world and are as such incompati-
a third kind of knowledge, distinct from both but akin
ble with faith. It was the mistake of the philosophia perennis
to both, whose data are provided by science but whose
to limit itself to the domain of knowledge and objectivity.
main object is to achieve as complete a comprehension
The destruction of metaphysics that was attempted by Hei-
as possible of the Christian revelation received by faith.
degger helped Bultmann to reject all Selbstsicherung.
(p. 233)
Karl Jaspers’s philosophy appears to be “the last word
But Roman Catholics are far from unanimous. They never
of irrationalism,” the last stage in the great movement of re-
were. They disagreed in the Middle Ages, as has been seen,
action against Aufklärung. Remembering Kant’s motto: “I
as to whether one knows truth in the light of one’s own intel-
must suppress knowledge in order to make room for faith,”
ligence, or in a divine light added to that of the intellect. The
Jaspers finally yields to the prestige of the ineffable. Howev-
present time has witnessed the painful controversies sur-
er, he expresses his philosophical irritation about the theolo-
rounding Maurice Blondel’s obstinate attempt at deducing
gians’ claim that the Christian faith is something absolute.
the supernatural from the natural and Teilhard de Chardin’s
Christians should give up the idea that Jesus was the one in-
fusion—or confusion—of cosmology with Christology, of
carnation of transcendence; they should accept the fact that
evolution with revelation. Both incurred anathema. Ever
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5210
KNOWLEDGE AND IGNORANCE
since the Counter-Reformation the church has been trying
tatus Logico-Philosophicus (6.54): “He who understands me
to combat Protestantism, or to catch up with it, not only (as
finally recognizes my propositions as senseless, when he has
seen above) by instituting catechism, but also by encouraging
climbed out through them, on them, over them,” a position
biblical studies. It has also tried to counter Kant’s influence
uncannily reminiscent of Maha¯ya¯na Buddhism. Finally,
by reviving Thomism; by condemning, in the ninteenth cen-
Wittgenstein writes: “Whereof one cannot speak, thereof one
tury, all forms of fideism; and by condemning modernism
must be silent” (ibid., 7.0). However, Notebooks 1914–1916
in the early twentieth century, only to yield to liberal tenden-
affirms that “to believe in God means understanding the
cies at the Second Vatican Council.
question of life, means seeing that life makes sense” (11 June
1916), which amounts to what has been called Wittgen-
Roman Catholicism, in its existentialist variety, is repre-
steinian fideism.
sented by Henry Duméry, who also owes much to Blondel—
and to Spinoza and Plotinus. He distinguishes, in his Philoso-
A brave attempt at overcoming positivism was made by
phie de la religion (Paris, 1957), different noetic levels; he
Michael Polanyi, another scientist and philosopher, who mi-
speaks of “a specified intelligible plane, halfway between God
grated from central Europe (in his case, Hungary) to En-
and empirical consciousness”—perhaps what he calls “le troi-
gland. In his great book Personal Knowledge (London, 1958),
sième genre de connaissance”—and treats faith as “un object
he refutes the Laplacean ideal of objective knowledge and
spécifique, irréductible à tout autre.” He speaks of “mentalité
calls for a return to Augustine in order to restore the balance
projective,” “intentionalité vécue,” “visée de transcendance.”
of cognitive human powers and to recognize belief once more
Although recognizing that the philosophy of religion should
as the source of all knowledge. He tries to define a form of
apply to all known religions, he bases his own attempt exclu-
knowledge neither purely objective nor purely subjective,
sively on Christianity. One example may be quoted from his
namely, personal knowledge: “Into every act of knowing
Phénoménologie de la religion (Paris, 1958): “It would be erro-
there enters a tacit and passionate contribution of the person
neous to objectify the typical existence of the Virgin Mary
knowing what is being known, and . . . this coefficient is
onto a profane—nay, profaning—plane of registry office”
no mere imperfection but a necessary component of all
(p. 57). Duméry, a Roman Catholic priest, has been granted
knowledge” (p. 312). Unfortunately, in the vast field of reli-
permission to relinquish priesthood.
gion he only takes into account Christianity. Even more nar-
In the Anglican church the situation is different, as sug-
rowly, he subscribes to the following statement by Paul Til-
gested by the appointment as bishop of Durham in 1984 of
lich: “Knowledge of revelation, although it is mediated
David Jenkins, who had declared that teachings concerning
primarily through historical events, does not imply factual
the virgin birth and the resurrection might be more symbolic
assertion, and it is therefore not exposed to critical analysis
than literal, and that a person could be a good Christian even
by historical research. Its truth is to be judged by criteria
while doubting the divinity of Christ.
which lie within the dimension of revelatory knowledge”
(Systematic Theology, London, 1953, vol. 1, p. 144). The
EPISTEMOLOGY. In England, modern epistemology is repre-
phrase “revelatory knowledge” begs the whole question of
sented by, among others, Bertrand Russell and A. J. Ayer.
the nature of religious knowledge.
In Mysticism and Logic (London, 1918) Russell defines the
mystical impulse in philosophers such as Heraclitus, Plato,
Yet another scientist and philosopher, Alfred North
Spinoza, and Hegel as the “belief in the possibility of a way
Whitehead, who migrated to the United States from En-
of knowledge which may be called revelation or insight or
gland, dealt with the problem of religious knowledge, espe-
intuition, as contrasted with sense, reason and analysis,
cially in his book Religion in the Making (1928) and again
which are regarded as blind guides leading to the morass of
in his great Process and Reality (1929), in which one reads:
illusion” (p. 16). But he calmly remarks that what is knowl-
“Religion is the translation of general ideas into particular
edge is science, and what is not science is not knowledge. In
thoughts, emotions, and purposes; it is directed to the end
The Problem of Knowledge (1956) Ayer simply ignores reli-
of stretching individual interest beyond its delf-defeating
gion altogether, as does Rudolf Carnap in his work. Both
particularity. Philosophy finds religion, and modifies it”
Ayer and Carnap belong to the logical positivist movement,
(Process and Reality, New York, 1978, p. 15). On Christiani-
based on the analysis of language, which started in Vienna
ty, his position is summed up as follows:
with Ludwig Wittgenstein, who later migrated to England
and was in close contact with Russell. But Wittgenstein’s at-
The notion of God as the “unmoved mover” is derived
titude toward religion was far less simple than that of those
from Aristotle, at least as far as Western thought is con-
cerned. The notion of God as “eminently real” is a
he influenced. Admittedly, he thought that religious creeds,
favourite doctrine of Christian theology. The combina-
in contradistinction to scientific concepts, are not more or
tion of the two into the doctrine of an aboriginal, emi-
less probable hypotheses: Never have propositions pertaining
nently real, transcendent creator, at whose fiat the
to religion expressed positive possibilities. Their whole sig-
world came into being, and whose imposed will it
nificance stems from their place in human existence; science
obeys, is the fallacy which has infused tragedy into the
and religion are entirely separate; between them there can be
histories of Christianity and of Mahometanism. (ibid.,
no conflict or relation whatsoever. But he writes in his Trac-
p. 342)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KNOX, JOHN
5211
Whitehead’s own ideas, albeit somewhat obscure, have pro-
Hick, John. Faith and Knowledge. 2d ed. Ithaca, N.Y., 1966.
duced process theology.
Hultkrantz, A˚ke. “The Concept of the Supernatural in Primal Re-
Research has recently been started to try to locate, in the
ligion.” History of Religions 22 (February 1983): 231–253.
brain, a specific area of the mythical function (Eugene G.
Kahn, Charles H. The Art and Thought of Heraclitus. Cambridge,
d’Aquili and Charles D. Laughlin, Jr., “The Neurobiology
1979.
of Myth and Ritual,” in The Spectrum of Ritual, ed. Eugene
Macintosh, Douglas C. The Problem of Religious Knowledge. Lon-
d’Aquili et al., 1979); and the symbolic approach has
don, 1940.
brought forth a new discipline: theolinguistics (J. P. Van
Mitchell, Basil. The Justification of Religious Belief. New York,
Noppen, Theolinguistics, Brussels, 1981).
1973.
In the fervent, adventurous notebooks of a modern
Peacocke, A. R., ed. The Sciences and Theology in the Twentieth
gnostic, Simone Weil, published posthumously under the
Century. London, 1981.
title La connaissance surnaturelle (Paris, 1950), one reads:
Robinson, James M., ed. The Nag Hammadi Library in English.
“Intelligence remains absolutely faithful to itself in recogniz-
San Francisco, 1977.
ing the existence, in the soul, of a faculty superior to itself
Rudolph, Kurt. Gnosis. Translated by Robert M. Wilson. San
and leading thought above itself. This faculty is supernatural
Francisco, 1983.
love” (p. 80). And: “Since evil is the root of mystery, suffer-
ing is the root of knowledge” (p. 43).
Swinburne, Richard. Faith and Reason. Oxford, 1981.
Two recent writers, Terence Penelhum and John Hick,
Zaehner, R. C. Concordant Discord. Oxford, 1970.
have developed the idea of faith as a form of knowledge.
New Sources
“There is,” writes the latter, “in cognition of every kind an
Alston, William. Perceiving God: The Epistemology of Religious Ex-
unresolved mystery” (Hick, 1966, p. 118). “But,” writes
perience. Ithaca, N.Y., 1991.
Basil Mitchell, “there is an important sense of ‘know’ in
Dubuisson, Daniel. The Western Construction of Religion: Myths,
which even the ‘great religious figures’ cannot be said to
Knowledge, and Ideology. Translated by William Sayers. Balti-
know that there is a God (let alone the Christian doctrines)
more, Md., 2003.
so long as it remains a genuine possibility that some non-
Frisina, Warren. The Unity of Knowledge and Action: Toward a
theistic interpretation of their experience might turn out to
Nonrepresentational Theory of Knowledge. Albany, N.Y.,
be true” (Mitchell, 1973, p. 112). However, as Nicholas Lash
2002.
writes: “The possibility of theological discourse constituting
Hayes, Brain. The Concept of the Knowledge of God. Basingstoke,
a mode of rational knowledge could only be excluded if reli-
U.K., 1988.
gious faith could be shown to be in no sense experimental
Marurana, Humberto. The Tree of Knowledge. 1987; reprint Bos-
knowledge of its object” (Lash, in Peacocke, 1981, p. 304).
ton, 1992.
SEE ALSO Epistemology; Esotericism; Faith; Neuroscience
Petitot, Jean, Francisco Varela, Bernard Pachoud, and Jean-
and Religion, article on Neuroepistemology; Philosophy, ar-
Michel Roy, eds. Naturalizing Phenomenology: Issues in Con-
ticle on Philosophy and Religion; Truth.
temporary Phenomenology and Cognitive Science. Writing Sci-
ence series. Stanford, Calif., 2000.
BIBLIOGRAPHY
Turner, James. Language, Religion, Knowledge: Past and Present.
Aron, Raymond. Mémoires: Cinquante ans de réflexion politique.
Notre Dame, Ind., 2003.
Paris, 1983.
Varela, Francisco, Evan Thompson, and Eleanor Rosch. The Em-
Bendix, Reinhard. Max Weber: An Intellectual Portrait. Garden
bodied Mind: Cognitive Science and Human Experience. Cam-
City, N. Y., 1960.
bridge, Mass., 1992.
Biardeau, Madeleine. Théorie de la connaissance et philosophie de
Varela, Francisco, and Jonathan Spear, eds. The View from Within:
la parole dans la brahmanisme classique. Paris, 1964.
First-person Approaches to the Study of Consciousness. Char-
Brunschwicg, Léon. Le progrès de la conscience dans la philosophie
lottesville, Va., 1999.
occidentale (1927). 2d ed. Paris, 1953.
Zimmerman, Michael. “Controlling Ignorance: A Bitter Truth.”
Bugault, Guy. La notion de ‘prajña’ ou de sapience selon les perspec-
Journal of Social Philosophy 33 (fall 2002): 483–491.
tives du ‘Maha¯ya¯na.’ Paris, 1968.
J
Gavalda, Berthe. Les grands textes de la pensée chrétienne. Paris,
ACQUES DUCHESNE-GUILLEMIN (1987)
Revised Bibliography
1973.
Gilson, Étienne. The Unity of Philosophical Experience. New York,
1937.
Gilson, Étienne. La philosophie et la théologie. Paris, 1960. Trans-
KNOX, JOHN (c. 1514–1572), was a Protestant re-
lated by Cécile Gilson as The Philosopher and Theology (New
former of Scotland. Born in Haddington, Knox likely stud-
York, 1962).
ied at Saint Andrews under the nominalist theologian John
Grousset, René. Les philosophies indiennes. 2 vols. Paris, 1931.
Major. He was ordained to the priesthood at the age of twen-
Gruenwald, Ithamar. “Knowledge and Vision.” Israel Oriental
ty-five, held the post of apostolical notary, and served as a
Studies 3 (1973): 63ff.
tutor to the children of gentlemen in East Lothian.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5212
KNOX, JOHN
Knox was a rugged political fighter, but he was also, as
by Parliament because its members did not want the wealth
his biographer Jasper Ridley writes, a person of “profound
of the church expended on Knox’s “devout imaginings.”
and sincere religious sensitivity.” The source of this sensitivi-
ty was the Bible, which he apparently studied with devotion
Knox’s third contribution to the official documents of
early in life. When dying, he asked his wife to “go read where
the church was The Book of Common Order, which Knox and
I cast my first anchor” in the seventeenth chapter of John.
his collaborators had written in Frankfurt and used in Gene-
va. It now became the worship book of the Church of Scot-
Knox, converted to Protestantism by the preaching of
land.
Thomas Gwilliam in Lothian, was confirmed in the Protes-
tant movement by his association with George Wishart.
Knox disavowed speculative theology, but his writings,
After the burning of Wishart, Protestants took the castle at
filling six volumes, were as powerful as his preaching. “The
Saint Andrews and the life of Cardinal Beaton, Scotland’s
First Blast of the Trumpet against the Monstrous Regiment
Catholic leader. Knox, under threat of persecution, moved
of Women” (1558), although dealing with the situation in
from place to place, eventually taking refuge in the castle
Scotland, caused him difficulty with Elizabeth I of England
with his students. Protestant leaders urged him to “take up
when he needed her support. Knox’s History of the Reforma-
the public office and charge of preaching,” a role that would
tion of Religion within the Realm of Scotland is a history of
identify him with Gwilliam, John Rough, and Wishart. He
the man and the cause and a justification of both. Other no-
was reluctant to accept the vocation, as he emphasized in his
table writings include “Letter of Wholesome Counsel” and
History, but having done so, he filled it with remarkable skill
“Treatise on Predestination.”
and became a leading spokesman of the Protestant cause.
Knox was a remarkable human being. Scholars have de-
The castle fell to the French fleet in 1547, and Knox be-
bated whether or not he was a man of courage, perhaps be-
came a galley slave until his release was arranged by the En-
cause of his own misgivings. He took precautions, but he did
glish. For five years (1549–1554) he was active in the Puritan
“march toward the sound of guns.” Scholars have accused
wing of the English Reformation movement. With the acces-
him of demagoguery, but a supporter declared that he was
sion of Mary, Knox left England and was named the minister
able in one hour to do more for his contemporaries than five
of the church of the English exiles in Frankfurt. The exiles
hundred trumpets continually blustering in their ears. He
soon divided over the use of The Book of Common Prayer,
believed that he had been called by God, that through his
whether to revise it or to substitute a new liturgy. As a result
life God’s purposes were being fulfilled, and that the Refor-
of the controversy, Knox left Frankfurt for Geneva, where
mation was God’s cause and must triumph.
he became pastor of the English congregation. Knox’s stay
Knox’s biographer, Jasper Ridley, points to the Church
there was significant for the consolidation of his own theolo-
of Scotland as Knox’s greatest achievement. Catholicism
gy, as he was impressed by Calvin’s achievement in establish-
would probably have been overthrown without Knox, but it
ing the Reformed church in Geneva.
is due to Knox that the Church of Scotland was Calvinist
Knox visited Scotland briefly in the autumn of 1555 to
rather than Anglican, and that after his death it became Pres-
encourage the Protestant leadership. When the religious and
byterian rather than Episcopal. Knox also contributed signif-
political struggle came to a crisis in 1559, Knox left Geneva
icantly to the struggle for human freedom. His emphasis on
to assume a leading role in the Protestant cause. His powerful
the responsibility not only of lower magistrates but of indi-
preaching, political wisdom, and determination contributed
viduals to resist evil rulers, and the dramatic way he expressed
significantly to the Scottish Parliament’s action in 1560 abol-
this idea in his own life, especially in his encounters with
ishing the papal jurisdiction and approving a confession of
Queen Mary, and in his sermons and writings cannot be
faith as a basis for belief in Scotland.
overestimated. His Presbyterian and Puritan followers made
these ideas part of the tradition of public and political life
In addition to his public leadership, Knox had a role in
in the English-speaking world.
three major documents of the Scottish Reformation of 1560.
The Confession of Faith was written in four days by John
B
Knox and five others. It conveys the intensity of the moment
IBLIOGRAPHY
Cheyne, Alec. Review of The Scottish Reformation by Gordon
and the personal quality of the confession of believers who
Donaldson. Scottish Journal of Theology 16 (March 1963):
were putting their lives at risk for their faith. It has been de-
78–88.
scribed as “the warm utterance of a people’s heart.” It states
the Protestant faith in plain language and is more pictorial
McEwen, James S. The Faith of John Knox. London, 1961.
and historical than abstract in style.
Percy, Eustace. John Knox. London, 1937.
The First Book of Discipline was written by Knox in col-
Ridley, Jasper. John Knox. New York, 1968.
laboration with four others. It is notable not only for its re-
Shaw, Duncan, ed. John Knox: A Quartercentenary Reappraisal.
form of the church but also for its vision of universal com-
Edinburgh, 1975.
pulsory education up to the university level and for its
provisions for relief of the poor. The book was never adopted
JOHN H. LEITH (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
KOHANIM
5213
KO
¯ BEN (1173–1232), also known as Myoe Shonin, was
once more retired to his hermitage in the province of Kii.
an important figure in the Kamakura-period revival of Nara
Here he constructed another hut with the aid of a local mili-
Buddhism. This revival consisted of criticism of the exclus-
tary leader and, as previously, he devoted himself to medita-
ivist doctrines of the Pure Land and Nichiren sects and a re-
tion, the recitation of scriptures, and writing.
newed interest in, and devotion to, the historic Buddha,
In the eleventh month of 1206, the retired emperor Go-
S´a¯kyamuni. As a prominent Kegon (Chin., Huayan) mentor,
Toba presented Ko¯ben with the Togano-o monastic complex
Ko¯ben attempted to introduce Tantric elements into Kegon
in the hope that it would long be a center for the revival of
practice, as evidenced by his compilation of Kegon-Tantric
the Kegon tradition. The monastic complex was given the
(gommitsu) rituals and consecrations. He also worked for the
new name of Ko¯zanji, and Ko¯ben soon set to work repairing
revival of traditional Kegon learning, emphasizing the study
the buildings and reviving the tradition. Ko¯ben was asked
of Fazang’s works rather than those of Chengguan, whose
many times to administer the precepts to both the retired
doctrines were transmitted within the Shingon tradition, and
emperor Go-Toba and the Lady Kenreimon’in, his two most
the cultivation of Kegon visualization meditations.
important patrons. After the death of her husband, Emperor
Ko¯ben was born in the village of Yoshiwara, on the Ishi-
Takakura, and her son, the infant emperor Antoku, Lady
gaki estate, in Aritakoori in the province of Kii (present-day
Kenreimon’in became a nun.
Wakayama prefecture). In the fall of 1181, following the
Ko¯ben’s fame came to the attention of the shogun in
death of his parents, the boy was sent to the Jingoji monastic
Kamakura, Ho¯jo¯ Yasutoki, and on numerous occasions he
complex, located on Mount Takao north of Kyoto, where
would visit Ko¯ben at his mountain monastery and receive his
he began his studies under the master Mongaku. Ko¯ben sub-
teachings. Subsequently, Yasutoki left the householder’s life
sequently studied Tantric doctrines (mikkyo¯) and Fazang’s
to become a monk under the guidance of Ko¯ben.
Wuzhiao zhang. At the age of fifteen (sixteen by Asian reck-
After Ko¯ben fell ill and died, at the age of fifty-nine, his
oning), Ko¯ben became a novice and received the full monas-
many disciples continued their master’s work toward the re-
tic precepts (the gusokukai) at the Kaiden’in monastery of the
vival of the Kegon tradition. Modern scholars have attribut-
To¯daiji, in Nara. Following his ordination in Nara, Ko¯ben
ed some forty-two works to Ko¯ben. Included among them
began his study of the Kusharon (Vasubandhu’s
are essays on Kegon practice and doctrine, numerous ritual
Abhidharmako´sabha¯s:ya, a major H¯ınaya¯na Abhidharma
texts, literary works, and Japanese poems (waka), which are
text). At the age of eighteen Ko¯ben received the transmission
preserved in both the Shinzoku kokinshu¯ and the Shin
of the dual man:d:alas of the ju¯hachido¯ tradition from the
shu¯ishu¯.
a¯ca¯rya Ko¯nen. Following this transmission, which centered
around an eighteen-part Tantric sa¯dhana to be undertaken
SEE ALSO Fazang; Huayan; Shingonshu¯.
by new initiates, Ko¯ben began the cultivation of the butsugen
ritual, a ritual centered on a visualization of the eyes of the
Buddha, and his biography records that he experienced many
BIBLIOGRAPHY
miracles due to this practice.
For a chronology of the life of Ko¯ben and a complete list of his
works see the article “Ko¯ben,” in Bukkyo¯ daijiten, edited by
In 1193, Ko¯ben received an imperial order command-
Mochizuki Shinko¯ (Tokyo, 1933–1936), vol. 2,
ing him to work for the restoration of the Kegon tradition;
pp. 1083c–1084c. For a general overview of Kegon doctrine
thereafter, he took up residence as abbot in the Sho¯son’in of
and its Japanese development, see Sakamoto Yukio’s Kegon
the To¯daiji in Nara. Seeing the conflicts that racked the Bud-
kyo¯gaku no kenkyu¯ (Tokyo, 1976), Ishii Kyo¯do¯’s “Gommitsu
no shiso¯ Ko¯ben,” Taisho¯ Daigaku gakuho¯ 3(1928):48–72,
dhist world at this time, Ko¯ben decided to retire from all
traces Ko¯ben’s attempt to establish purely Kegon Tantric rit-
worldly and ecclesiastical concerns. In 1195, Ko¯ben left the
uals, thereby making the Kegon tradition of his day fully
Jingoji monasteries, and building himself a rude hut in the
Tantric. On the orthodoxy of Ko¯ben in the Kegon tradition,
Kii mountains he retired, spending his time in the cultivation
see Kamata Shigeo’s “Nihon Kegon ni okeru seito to itan,”
of sa¯dhana rituals and in meditative visualizations. During
Shiso¯ (November 1973). A popular work on Ko¯ben is
this time he read the bulk of the commentaries and sub-
Tanaka Hisao’s Myo¯e (Tokyo, 1961). Like many other Bud-
commentaries to the Kegongyo¯ (Skt., Avatam:saka Su¯tra). This
dhist monks of his day, Ko¯ben kept a record of his dreams,
task, it is recorded, was also rewarded with many miracles
Yume no ki. For a study of this work, see Yamada Sho¯zen’s
and visions.
“Myoe no yume to Yume no ki,” in Kanazawa Bunko kenkyu¯
(Tokyo, 1970). An English-language summary of Ko¯ben’s
Later, returning to Mount Takao, Ko¯ben began the
criticisms of Ho¯nen’s doctrines is Bando Shojun’s “Myoe’s
teaching of the Kegon doctrines, lecturing on the Kegon tan-
Criticism of Ho¯nen’s Doctrine,” Eastern Buddhist, n.s. 7
genki (Chin., Huayan tanxuan ji), a major Huayan commen-
(May 1974): 37–54.
tary composed by Fazang. It was here that Ko¯ben initiated
LEO M. PRUDEN (1987)
a series of lectures and debates on Kegon doctrine. In 1198
a number of disturbances between monastic factions on
Mount Takao broke out, and Ko¯ben, taking with him the
chief image (honzon) of the monastery and its sacred texts,
KOHANIM SEE LEVITES
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5214
KOHELETH
KOHELETH SEE ECCLESIASTES
revised edition of the 1910 German version); the current edi-
tion (New York, 1968) includes a fine introductory essay by
Joseph L. Blau that combines biographical data with a critical
KOHLER, KAUFMANN
assessment of Kohler’s text. His other scholarly writings can
(1843–1926), Reform
be found in Hebrew Union College and Other Addresses (Cin-
rabbi, scholar, and theologian. Born in Fürth, Bavaria, into
cinnati, 1910), Heaven and Hell in Comparative Religion
a pious Orthodox family of rabbinical ancestry, Kohler en-
(New York, 1923), and two posthumously published books,
tered the Gymnasium in Frankfurt in 1862 and continued
The Origins of the Synagogue and the Church (1929; New
his earlier rabbinic training with Samson Raphael Hirsch,
York, 1973) and Studies, Addresses, and Personal Papers (New
leader of German Neo-Orthodoxy, whose crucial religious
York, 1931). The best retrospective on Kohler, written by an
impact on him Kohler frequently acknowledged. Gradually,
admirer and colleague, is H. G. Enelow’s “Kaufmann Koh-
however, with exposure to modern science and the critical
ler,” American Jewish Year Book 28 (1926–1927): 235–260.
studies of philology, the Bible, history, and comparative reli-
BENNY KRAUT (1987)
gion at the universities of Munich, Berlin, and Erlanger
(where he received his Ph.D. in 1867), his faith in Orthodox
Judaism was shattered.
Attracted to the religious orientation of Abraham Gei-
KO HUNG SEE GE HONG
ger, leader of German Reform Judaism, Kohler embraced
Reform as an outlet for both his profound religious faith and
his scholarly proclivities. When a rabbinical appointment in
KOKUGAKU. The Japanese intellectual movement
Germany was not forthcoming, he moved to the United
known as Kokugaku (Native Learning) includes the Shinto¯
States in 1869 and served congregations in Detroit and Chi-
revival that began in the middle of the Edo period (1603–
cago until, in 1879, he succeeded his father-in-law, David
1867). Inspired by the spirit of nationalism, Kokugaku
Einhorn, in one of the most prestigious Reform temples in
thinkers deplored the lack of scholarship on Japanese history
the country, Beth El in New York City.
and literature and attacked the wholesale adoption of such
During the next decade, through his books and articles,
foreign influences as Confucianism and Buddhism. Accord-
Kohler became recognized as a preeminent advocate of classi-
ing to Kokugaku thinkers, Japanese history can be divided
cal Reform Judaism. Undaunted by controversy, he defend-
into three periods: antiquity, during which Japan’s indige-
ed Reform against critics such as Felix Adler and Alexander
nous, original spirit emerged and was manifest in its purest
Kohut; in the wake of his celebrated polemic with the latter,
form; the Middle Ages, when this spirit became “contami-
Kohler convened the Pittsburgh Rabbinical Conference in
nated” and was suppressed by the introduction of Chinese
November 1885 and steered its eight-point statement of
culture, in particular Confucianism and Buddhism; and the
principles to reflect his own views; these corresponded to and
modern age, when Japan’s ancient, original spirit was revived
articulated most Reformers’ religious self-understanding for
and rediscovered. Although the Kokugaku movement en-
the next two generations. From 1903 to 1921, Kohler served
compassed various fields of study, among them literature
as president of the Reform seminary at Hebrew Union Col-
and philology, this discussion is limited to its concern with
lege in Cincinnati.
religion.
Kohler’s scholarship included works in theology, Semit-
In the Genroku period (1688–1704), which marks the
ics, Hellenistic studies, comparative religion, and intertesta-
rise of the Kokugaku movement, the Buddhist priest Keichu¯
mental literature. These were consistently marked by the ap-
(1640–1701) proposed that the poetic conventions popular
plication of modern scientific analysis to Jewish literary
during the Middle Ages in Japan be abolished so as to allow
sources, an approach reflecting the nineteenth-century
free composition of the Japanese waka poems. Keichu¯ ap-
Wissenschaft des Judentums. He assumed that this historicist
plied philological analysis to the Man’yo¯shu¯, but said only
reassessment of Judaism and its texts uncovered the essence
that Shinto¯ differed from both Confucianism and Buddhism
of Judaism, which he identified with the central beliefs of Re-
and that the kami were beyond the understanding of people.
form Judaism. His scholarship therefore was often an adjunct
Kada Azumamaro (1669–1736), a Shinto¯ priest at Inari
to his religious beliefs.
Shrine in Kyoto, opposed the synthesis of Confucianism and
Recognized as a giant in his day, Kohler now has scant
Shinto¯ in which Confucian terms and concepts—for exam-
influence. His scholarship is generally dated, and his ratio-
ple, the principles of yin and yang and the Five Elements (wu
nalist, anti-Zionist Reform orientation has long since been
xing)—were used to interpret Shinto¯. Although he also advo-
set aside by the mainstream of Reform Judaism. Neverthe-
cated the founding of a college for “Native Learning” to
less, he typified one of its most significant stages and ex-
combat the influence of Confucianism, he did not engage in
pressed its major ideals in a bygone era.
the study of ancient Shinto¯ himself.
B
The men considered the most representative thinkers of
IBLIOGRAPHY
Kohler’s most notable work, well reviewed in its day, is Jewish
the movement—Kamo no Mabuchi (1697–1769) and Mot-
Theology Systematically and Historically Considered (1918; a
oori Norinaga (1730–1801) among the second generation 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
KOKUGAKU
5215
Kokugaku scholars and Hirata Atsutane (1776–1843)
piricism. Accordingly, he asserted that all existence and phe-
among the third generation—were also the most prominent
nomena arise from the self through divine will and that both
of the advocates of Native Learning to focus their attention
the cause and the reason for the occurrence of things cannot
on religious issues. Kamo no Mabuchi founded the school
be fathomed by people—daring to inquire into such causes
of Kogaku (Ancient Learning) Shinto¯, which sought a re-
showed disrespect for the kami. Thus Norinaga sought abso-
awakening of and a return to ancient Shinto¯. That is, he
lute obedience to the kami. He maintained that since the ac-
called for a revival of Shinto¯ as expressed and practiced prior
tivities of the kami recorded in the Kojiki had actually been
to the introduction of Buddhism and Confucianism. His
witnessed by the people of that early era, they should be ac-
main ideas are presented in his Kokuiko¯ (On the spirit of the
cepted as fact and should be studied with the same empiricist
nation).
method as that used for koiho. According to the Mito scholar
Aizawa Yasushi (1781–1863), Norinaga’s concept of the cre-
Motoori Norinaga further clarified and developed An-
ator and sovereign kami was influenced by Christianity.
cient Learning Shinto¯. He established the Kojiki, the earliest
Norinaga did read Christian doctrine, but one can also see
recorded Japanese history, as the scriptural authority for the
in his work an adaptation of the neo-Confucian concept of
movement and wrote a commentary on it, the Kojikiden.
tai chi (Japanese, taikyoku, meaning “ultimate principle” or
Others of his works include Naobi no mitama (Straightening
“great ultimate”).
kami) and Tamaboko hyakushu (One hundred poems on the
way). Hirata Atsutane argued even further the religiosity of
Following the Shinto¯ theories of Norinaga, Atsutane
Ancient Learning Shinto¯ and asserted that Shinto¯ was superi-
continued to develop Kokugaku Shinto¯, giving it a theologi-
or to other religions. His works include Tama no mihashira
cal foundation. Although he showed it to no one, Atsutane’s
(The pillar of the soul), Tamadasuki (The jeweled sash), and
most important work is Honkyo¯ gaihen, which he subtitled
Honkyo¯ gaihen (Supplement to my theory of Shinto¯).
Honkyo¯ jibensaku (Flagellation of my theory of Shinto¯). All
of his theologically important works were written after this.
Whereas they called for an end to the influence of all
Muraoka Tsunetsugu (1884–1946) has verified that this
foreign ideas and for a revival of Shinto¯ in its original form,
work is composed of adaptations or selected translations of
in reality these three men found certain foreign ideas condu-
books on Christian doctrine that had been written by mis-
cive to the advancement of Kokugaku ideology. Both Ma-
sionaries in Chinese during the Ming dynasty (1268–1644).
buchi and Norinaga turned to the philosophy of Laozi and
Atsutane was impressed by such missionaries as Matteo Ricci
Zhuangzi, with Mabuchi borrowing from the former and
(1552–1610), whose works presented arguments in support
Norinaga from the latter. Atsutane, however, made use of the
of Christianity, particularly in the face of Confucian opposi-
teachings of Christianity, a religion that had been proscribed
tion. Atsutane adapted these arguments to elevate Shinto¯
during the Tokugawa era (1600–1868). Their purpose in
over both Confucianism and Buddhism. He reasoned that
doing so was to eradicate the influence of Confucianism and
the three kam—Ame no Minakanushi, Takamimusubi, and
Buddhism and to clarify the identity of Shinto¯ and establish
Kamimusubi—were a “Trinity,” which he identified as Mu-
its supremacy. For example, believing that the teachings of
subi no Okami (great creator kami). He also advanced the
the Buddhists and Confucians were “unnatural,” that is,
notion that the human soul receives final judgment by
products of mere human artifice, Mabuchi used Laozi’s no-
Okuninushi no Mikoto in the netherworld and that one’s
tion of ziran wu-wei (Japanese, shizen mui, “spontaneity and
eternal happiness or hardship was based on one’s deeds dur-
nonactivity”) to reject their interpretations of Shinto¯. He ar-
ing life.
gued that Shinto¯, or the way of life of the ancient Japanese,
was completely in accord with the nature of heaven and earth
Atsutane held that ancestor worship was central to
and thus did not give rise to the artificial systems found in
Shinto¯ practice. Unlike Chinese ancestor worship, which was
China.
limited to consanguineous relationships, Shinto¯ ancestor
worship especially revered the creator and sovereign kami as
Accepting Mabuchi’s basic thesis, Norinaga applied the
the ancestral kami of the entire nation, the head of which was
knowledge gained through his research of the Japanese clas-
the imperial family. Atsutane institutionalized the religious
sics to criticize even more fervently than Mabuchi the pre-
observances celebrating the ancestral kami, the writing of
cepts and doctrines of neo-Confucianism. Norinaga bor-
prayers, and the promotion of Shinto¯ practices.
rowed Zhuangzi’s philosophy of nature (the philosophically
exclusive principle of causality whereby there is no cause for
The legacy of Atsutane’s ideas lay in their political im-
an occurrence other than from the self) to reject the synthesis
plications. In asserting that the imperial system, in which the
of neo-Confucianism and Shinto¯ that had been popular in
emperor (tenno¯) was supreme ruler over all the people, was
the previous century. As a physician, Norinaga refused to ac-
the original form of the Japanese polity, he held that system
cept the complex neo-Confucian methodology that used the
as the purest and most natural structure of government. In
metaphysical theories of yin and yang and the Five Elements
his view the (Tokugawa) shogunate was a later accretion that
to determine the causes of diseases and their cures. He devot-
was not in accordance with Shinto¯ and was thus disrespectful
ed himself to the task of reviving the ancient practices of
of the divine origins of the imperial family. Atsutane’s criti-
medicine (koiho¯) that limited medicine to the sphere of em-
cisms provided a religious foundation for 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
5216
KOMI RELIGION
century political movement that resulted in the Meiji Resto-
KOMI RELIGION. The Komi peoples (the Zyryans
ration of 1868.
and Permians) comprise a group of Finno-Ugric peoples who
Kokugaku was largely responsible for the construction
from time immemorial have lived in northeastern Europe.
of collective identity and “Japaneseness” that occurred dur-
The Zyryans were Christianized at the end of the fourteenth
ing the second half of the Tokugawa period. Later, during
century, the Permians in the second half of the fifteenth cen-
the Meiji period (1868–1912), ideas rooted in the Kokugaku
tury. The study of the traditional Komi culture started only
tradition similarly contributed to those ideological construc-
in the second half of the nineteenth century. Klavdij Alek-
tions that supported the emergent nation-state. These ideas
seevich Popov (1874), Alexandr Vasilevich Krasov (1896),
included the proposition that Japanese monarchs had tradi-
and Kallistrat Faloleevich Zhakov (1901) made attempts to
tionally constituted the heart of the polity—and the polity
reconstruct the ancient religion of the Komi-Zyryans;
construed as extended family—as well as the articulation of
Nikolai Abramovich Rogov (1858, 1860), Nikolai Dobrot-
a privileged place and destiny for Japan and Japanese people
vorsky (1883), Ivan Nikolaevich Smirnov (1891), and Vladi-
within Asia the world beyond. These same ideas of course
mir Mikhailovich Yanovich (1903) made attempts to recon-
also contributed substantially to Japan’s international excess-
struct the Komi-Permian nature religion, separate
es, particularly during the first half of the twentieth century.
manifestations of being in ancient cults (fire, water, and
trees), animistic ideas on spirit masters, dual conception of
Subsequent to Japan’s defeat in the Pacific War, expres-
cosmogenesis, and ideas on the dual function of a soul (soul-
sions of the traditional essentialism became virtually taboo
shadow and soul-breath). The profound study of separate as-
for several decades, and in their place there arose what were
pects of the religious world outlook started at the beginning
generally deemed to be less-offensive expressions of a Japa-
of the twentieth century. Vasilij Petrovich Nalimov, the
nese national character, said to include:
Komi-Zyryan ethnographer, worked productively in this di-
an emphasis on harmony and industriousness;
rection. He analyzed in detail the ideas of the Komi on the
creation of the world, the role of demiurgians-antipodes in
a tradition of group decision making and subordinating
the cosmogenesis and in further world organization, the dual
one’s own interests to those of the group;
ideas on the essence of a soul, the attitude toward the dead,
a distinctive affinity for nature and seasonal change;
the cult of ancestors, and gender interdictions in both the
and an unusually refined aesthetic sense juxtaposed
hunting (men) and the household (women) spheres of activi-
against a distinguished martial tradition.
ty (Nalimov, 1903, 1907, 1908). Uno Holmberg, the Finn-
ish ethnographer, studied the Komi water cult and ideas on
These were inevitably represented as being both natural (and
water spirits (Holmberg, 1913).
hence inescapable) and of great antiquity. It is likewise clear
that these virtues also served the interests of national recon-
Pitirim Alexandrovich Sorokin, a prominent American
struction and economic development.
sociologist, published a number of articles on the Komi be-
liefs on the soul, the cult of ancestors, and trees (Sorokin,
By the 1980s, many of the earlier Kokugaku expressions
1910, 1911, 1917). In the 1920s Alexei Semenovich Sidorov
of distinctiveness and superiority were once again recast
described the religious world outlook of the Komi peoples
under the rubric of Nihonjinron, or “theories of Japanese-
and the cults of fur-bearing animals and trees. In “Sorcery,
ness.” They acquired a genuinely popular character in this
Witchcraft, and Spoiling in the Komis” (1928) he consid-
guise.
ered their ideas on witchcraft and magic based on interesting
SEE ALSO Hirata Atsutane; Kamo no Mabuchi; Motoori
and original material he collected (Sidorov, 1924, 1926,
Norinaga.
1928). In 1937 Sidorov was arrested for nationalism; he was
set free in 1940. After that he did not devote himself to the
BIBLIOGRAPHY
Komi ethnography.
Selected writings of Kokugaku thinkers are in Ryu¯saku Tsunoda,
William Theodore de Bary, and Donald Keene, eds., Sources
Ethnographic studies in the Komi land renewed in the
of Japanese Tradition, vol. 2 (New York, 1958). Three quite
beginning of the 1950s, and the first large scientific work re-
different studies of Kokugaku are Susan L. Burns, Before the
constructing the ancient Komi religion was published in
Nation: Kokugaku and the Imagining of Community in Early
1975. Ljubov Stepanovna Gribova, a Komi ethnographer, in
Modern Japan (Durham, N.C., 2003); Harry D. Harootuni-
her monograph Permian Animal Style: The Problems of Se-
an, Things Seen and Unseen: Discourse and Ideology in Toku-
mantics (1975), suggested a totemic conception of the se-
gawa Nativism (Chicago, 1988); and Peter Nosco, Remem-
mantics of ancient cult casting of the Komi ancestors, which
bering Paradise: Nativism and Nostalgia in Eighteenth-Century
caused a number of serious remarks from other ethno-
Japan (Cambridge, Mass., 1990). See also Muraoka Tsunet-
graphers. Gribova collected interesting and valuable material
sugu’s Studies in Shinto Thought (Tokyo, 1964) and Masao
on the mythology and pagan beliefs of the Komi.
Maruyama’s Studies in the Intellectual History of Tokugawa
Japan (Tokyo, 1974).
Analyses of the Komi calendar and ceremonial rites have
ISHIDA ICHIRO¯ (1987)
shown that they represented syncretism of the Christian, pre-
PETER NOSCO (2005)
Christian Komi, and Russian traditions (Konakov, 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
KOMI RELIGION
5217
The reconstruction of the ideas of the Komi on the sur-
En, the supreme deity, made the first person out of
rounding world, space, and time has shown that, according
ground or clay. The Komi-Zyryans believed En made a man
to ancient beliefs, the world of people is in constant and close
and vivified him with no aid from Omol’, who tried to pro-
interaction with the world of spirits. Especially clear were the
fane En’s creation. Omol’ was partly successful. According
interrelations of Komi hunters with the forest spirits, whereas
to the Permians, Kul’ took part in the creation of a man. En
fishermen associated with the water spirits (Konakov, 1996).
made a body, and Kul’ added some small details. But En vivi-
fied the man. According to the Komi, two demiurgians took
Irina Vasiljevna Ilyina, in her monograph Folk Komi
part in the creation of animals. The Komi-Zyryans thought
Medicine (1998), considered rational as well as irrational
En and Omol’ rivaled over that activity: En created a squirrel
ways of healing, depending on the traditional beliefs regard-
for man to hunt, then Omol’ created a marten to eat squir-
ing the causes for the disease. Komi beliefs on the next world
rels, and then En created a dog to help man hunt the marten.
and its interaction with the earthly world were generalized
En created a cock, a hen, a black grouse, a ptarmigan, a hazel
by Pavel Fedorovich Limerov in Mythology of the Next World
grouse, and a duck. In response, Omol’ created beasts and
(1998). Komi Mythology, a volume of the Encyclopaedia of
birds of prey. The bear had a special status among the ani-
Uralic Mythologies, edited by Anna-Leena Siikala, Vladimir
mals. It was thought to be En’s son who had come down
Napolskikh, and Mihály Hoppál, appeared in Russian in
from the sky to live on the earth. According to the Komi-
1999 and in English in 2003. This volume recorded for the
Permians, En and Kul’ created all the animals together and
first time the data on different aspects of the ancient religious
at the same time. First they made them of parti-color clay,
world outlooks of the Zyryans and Permians surviving in the
then En vivified the animals. Under the influence of Chris-
rites, cults, folklore, and fine arts.
tianity the images of demiurgians among the Komi in many
In the Komi cosmogony two gods-demiurgians—Yon
respects began to resemble the images of God and Satan, es-
and Omol’ to the Zyryans, En and Kul’ to the Permians—
pecially among women, who thought En acted as the creator
participated in the creation of the world. The world before
and Omol’ (Kul’) hampered him.
its creation was represented as a boundless water element,
Few early literary sources on the ancient Komi religion
and the god-creators were represented in their ornithomor-
have survived. According to The Life of Saint Stefan, the Bish-
phous images: En as a swan or a duck, Omol’ (Kul’) as a
op of Perm (1897) by Epiphany the Wise, Komi ancestors
loon. A loon took the earth from the bottom of the deep
had many deities, whose anthropomorphous wooden images
water. The earth grew spontaneously, first to the size of a
stood in the cult sanctuaries. Periodically, sacrifices of valu-
small island, gradually to its present size. In another version,
able furs were made, with Pam, the supreme priest, leading.
two brother ducklings, who were hatched by a mother duck
In response, good luck in hunting and fishing was granted.
or loon, took eggs dropped into the water by the mother
There were also domestic deities whose images were kept in
duck from the bottom of the “sea-ocean.” The body of the
the dwellings. Of the deities of the highest rank, only one
mother duck turned into the earth when the En duckling
is known. In 1501 Simon, a bishop, sent a message to the
broke the eggs taken from the bottom of the water against
Komi-Permians appealing to them not to pray to the idol
it. The earth was covered with forest and grass, and its relief
Voipel and not to sacrifice. In the Permian folklore, Voipel
was created without the help of the demiugrians. En created
is a kind deity who protects people from various misfortunes
stones, which grew and stretched toward the sky until En
and enemies. In the pre-Christian sanctuary, Voipel’s image
stopped their growth. Mountains appeared, and rivers filled
took the central place. The name of this deity is not fixed
the paths made by mammoths.
in the folklore of the Komi-Zyryans. Evidently the images
of ancient Komi deities merged with the images of the Chris-
After the earth was formed, En created the sun and
tian saints. Discoveries of the early twentieth century indi-
Omol’ (Kul’) created the moon. Initially the luminaries were
cate the custom of collective sacrifices on the days of the
placed close together in the center of the sky. They were
saints, especially on Ilya Day.
pulled apart without the participation of the demiurgians
and began their daily routes in the sky. According to the
According to Komi animistic ideas, there existed an ir-
Komi-Zyryan version, this event took place when the Sun
real world of various spirits that in many respects determined
(sister) and the Moon (brother) played hide-and-seek and
the life and well-being of people. In the traditional Komi
lost sight of each other. The Komi-Permians thought this
world outlook, the water masters and especially the forest
took place because a powerful magician wanted to separate
masters dominated in the hierarchy of the lower-ranking dei-
a loving couple whom he had placed on the luminaries. The
ties. En divided the riches of the forests and waters between
creation was finished when En made the sky. En, victorious
people and the spirits. People could obtain their share of
over Omol’ (Kul’) in the struggle for the cosmic height, went
riches only with the agreement of the forest and water mas-
to live in the sky, intending not to interfere in the affairs of
ters. A hierarchy was implied among the forest masters: there
the earth. Omol’ (Kul’) went to live under the ground—in
was senior forest spirit and spirit masters of separate kinds
one version voluntarily, in another version placed there by
of animals, such as squirrels and hares. Vorsa was a common
En. Thus ended the creation of the structure of the cosmos.
name for a forest spirit among the Komi-Zyryans, whereas
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5218
KOMI RELIGION
the Permians used the name Voris’. The ideas of the image
in some other species if its remains were collected and buried
of the forest spirit were diverse: it could be invisible or appear
in some secluded place. It was forbidden to bring a live catch
as a whirlwind, an ordinary man, or a man with some pecu-
to a hunting hut or home. In particular, hunting bear or elk
liar features. A bear was though to be the forest spirit’s living
was strictly regulated, for these animals possessed calendar
embodiment. The forest spirit was the guarantor of hunting
significance: the bear was a symbol of the spring and sum-
morals to be observed by the hunters, and the spirit thus de-
mer, whereas the female elk was a symbol of autumn and
prived the infringers of good luck. The Komi made offerings
winter.
to the forest spirit before the beginning of the hunting sea-
According to folklore data, large birch trees stood in the
son, and they left their first catch for him. The two Komi
main sanctuaries where the important pre-Christian festivi-
peoples had different attitudes toward a forest spirit in a non-
ties took place. The sites of many Komi villages have huge
hunting village environment. Among the Komi-Zyryans, es-
birch, pine, or spruce trees nearby, where it is said the popu-
pecially the women, the spirit’s image was often understood
lation used to gather for some calendar festivities. In the be-
as identical to that of the evil spirit. The Permians’ attitude
ginning of the twentieth century the sacred groves still could
to Voris’ was most respectful, however, giving him wider
be found near some villages. People held special attitudes to-
functions than simply power over the forest. They asked him
ward some trees. They thought willow, alder, rowan, and ju-
to give health and well-being to the people and the cattle,
niper trees could frighten away evil spirits. Birch and fir trees
and he was addressed in epidemic and epizootic cases.
were related to females, and pine and spruce were related to
Vasa was the most widely used name for a water spirit
males. Birch is a symbol of the upper world, pine of the mid-
master among the Komi-Zyryans, whereas the Permians pre-
dle world, and spruce of the lower world. Thus, hunters
ferred the name Vais’. They pictured this spirit as a man, as
making lodging for the night under a tree asked its permis-
a man with a fish tail, or more often as a man with a large
sion. They thought trees not only understood human speech
pike. The water spirit master monitored the observance of
but also communicated with one another.
the hunting morals, and an infringer was deprived of good
Traces, though not strong, of a fire cult are also pre-
luck. Sacrifices, such as bread, butter, and eggs, were made
served. Fire, especially “live” fire obtained from friction, had
to water spirits before the beginning of the fish catch. The
cleansing power. Before meals the hunters performed the rite
loss of people and cattle in waters was understood as the
of feeding the fire by throwing bread crumbs into it. It was
harmful activity of the water spirits.
forbidden to spit or urinate into fire or to trample the fire
Other deities of lower rank inhabited the environment
down with one’s feet. Fire could only be quenched with
where people lived. In the period of rye flowering, a female
water. It was believed that En created the fire.
spirit in the field protected the crops. This spirit deprived
The water cult required a sacrifice to water. Every spring
people of good harvests as punishment for whistling, for
the Komi made presents to rivers and springs as soon as the
linen rinsing, and for touching the flowering crops. This
ice was broken up. To avoid diseases they threw a present
spirit did not receive sacrifices. Spirit masters of dwellings
into the water after drinking it. Newly married couples went
and household constructions lived in the peasant farmsteads.
to the river to wash their hands and faces on the third day
The spirit master living in a barn protected it and crops from
after their weddings, they then threw presents, such as bread,
fire. People left food for this spirit. The bathhouse spirit mas-
cheese, money, and yarn, into the water. When crossing the
ter (Pyvsyansa) was though to be terrible, and one had to ask
river for the first time after the ice had broken up, people
permission before entering the bathhouse. After the third
threw some bread into the water, asking it to protect them
steam, people did not wash in the bath, as it was thought the
in their run. Some springs were considered health-giving.
infringer might be tortured to death. This spirit was offered
Those who came to use its waters threw bread or silver coins
water and baked onion before people washed. The spirit
into it as a present. The invocated (charmed) water was also
master of the house and the cattle shed was considered pri-
believed to be health-giving and was used for healing diseases
mary among the spirit masters of the farmstead, and the
caused by spoiling and the evil eye.
Komi had many names for it. This spirit assured the well-
being of people and cattle. It lived behind a stove or in a cel-
The ancestor cult was closely related to ideas of soul and
lar under the floor, and people left food at the door to the
death. The Komi thought people had two souls. Ort (soul
cellar as a treat.
shadow), a person’s invisible double, accompanied him or
her from birth to death. It became visible only before a per-
Clear traces of animism cults are also preserved. The
son’s death, appearing before the person or his or her rela-
Komi believed animals, birds, and fish understood human
tives, thus informing them of the imminent death. But Ort
speech. According to the rules of the cult of fur animals, it
could also inform of death while remaining invisible by mak-
was forbidden to say disapproving words to any catch. The
ing sounds: firewood hewing predicted a man’s death, while
hunters used various allegories (euphemisms) so as not to
the noise of a spinning wheel predicted a woman’s death.
frighten off a beast. If the catch was valuable, they made a
After a person’s death, Ort stayed on the earth for forty days,
festive meal. The first fish caught was thrown back into the
visiting all the places the dead person used to go when alive.
water. They believed that a killed animal would reincarnate
The spirit then left for the other world. Komi villagers, espe-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KONGO RELIGION
5219
cially women, retained ideas on Ort even in the early twenty-
Popov, K. A. “The Zyryans and the Zyryan Land.” Transactions
first century. Lov (soul breath) was located inside a person’s
of the Society of Natural Science, Anthropology, and Ethnogra-
body. After the person’s death Lov stayed inside the house
phy Lovers 13, book 3, no. 2 (1874): 24–182.
near the body until the fortieth day, the day of the funeral
Rogov, N. A. “Materials for Describing the Permians’ Everyday
repast. Then it also left for the other world.
Life.” Journal of the Ministry of Internal Affairs 4 (1858):
45–126.
The idea of the world of the dead was dual. On the one
hand there were the Christian ideas of paradise and hell. On
Sidorov, Aleksi S. “Traces of Totemic Ideas in the World Outlook
the other hand there existed a belief that the habitation place
of the Zyryans.” Komi Mu 1–2 (1924): 47–50.
of the souls of the dead, not localized concretely, was close
Sidorov, Aleksi S. “Survivals of the Cult of Fur Animals in the
to the world of people, which explained the close interrela-
Komi Hunters.” Komi Mu 5 (1926): 29–33.
tion between the world of the dead and the world of their
Sidorov, Aleksi S. Sorcery, Witchcraft, and Spoiling in the People of
living relatives. These ancient pre-Christian ideas found re-
Komi. Leningrad, 1928.
flection in the traces of the ancestor cult that survived into
Siikala, Anna-Leena, Vladimir Napolskikh, and Mihály Hoppál,
the early twentieth century. Before performing any impor-
eds. Encyclopaedia of Uralic Mythologies, vol.1, The Komi My-
tant work (sowing, reaping), the Komi addressed their “par-
thology. Moscow and Syktyvkar, Russia, 1999; English trans-
ents.” It was believed that the dead constantly took care of
lation by Serge˘ı Belykh, Budapest, 2003.
their living relatives. In turn, the living, to ensure this aid,
Smirnov, I. N. “The Permians.” Transactions of the Kazan Society
had to periodically make the funeral repast, to remember the
of Archaeology, History, and Ethnography 9, no. 2 (1891): 184.
dead with a kind word, and to invite them to wash when
going to a bathhouse. The dead who were offended by insuf-
Sorokin, Pitirim A. “Survivals of Animism in the Zyryans.” Trans-
actions of Arkhangelsk Society on the Study of the Russian North
ficient attention punished their living relatives with bad luck
20 (1910): 24–52.
in household affairs or by making them fall ill. The souls of
the dead forgotten by their relatives and descendants left for
Sorokin, Pitirim A. “The Present Zyryans.” Transactions of Ar-
some other world that did not interact with the world of the
khangelsk Society on the Study of the Russian North 18 (1911):
525–536; 22 (1911): 811–820; 23 (1911): 876–885; 24
living. Few ancient Komi beliefs and cults survive, only some
(1911): 941–949.
superstitions.
Sorokin, Pitirim A. “To the Problem of Primitive Beliefs of the
SEE ALSO Finno-Ugric Religions.
Zyryans.” Transactions of Vologda Society on the Study of the
Northern Land IV (1917): 38–49.
BIBLIOGRAPHY
Yanovich, V. M. “The Permians: Ethnographic Sketch.” Living
Dobrotvorsky, N. “The Permians: Everyday and Ethnographic
Antique 1 (1903): 1–223; 2 (1903): 52–171.
Sketch.” Bulletin of Europe 11, book 3 (1883): 228–264;
Zhakov, Kallistrat F. “Pagan World Outlook of the Zyryans.” Sci-
book 4 (1883): 544–580.
entific Review 3 (1901): 68–84.
Epiphany the Wise. Life of Saint Stefan, the Bishop of Perm. St. Pe-
tersburg, 1897.
NIKOLAI KONAKOV (2005)
Gribova, Liubov S. The Permian Animal Style: Problems of Seman-
tics. Moscow, 1975.
Holmberg, Uno. “Die Wassergottenheiter der finnischugrischen
KONGO RELIGION. The Kikongo-speaking peoples
Volker.” Suomalais-ugnischen seran toimitska 32 (1913).
of the Niger-Congo linguistic group represent a rich and di-
Ilyina, Irina Vasiljevna. Folk Komi Medicine. Syktyvkar, Russia,
verse cultural heritage associated with the ancient kingdom
1995.
of Kongo. By the late twentieth century, they were three to
Konakov, Nikola˘ı D. From Christmas Tide to Christmas Eve: Komi
four million strong and lived in rural and urban areas of the
Traditional Calendar Rites. Syktyvkar, Russia, 1993.
western part of the Democratic Republic of the Congo, the
Konakov, Nikola˘ı D. Traditional World Outlook of the Komis: Sur-
Republic of Congo, Angola (and Cabinda), from 4° to 7°
rounding World, Space, and Time. Syktyvkar, Russia, 1996.
south latitude to 11° to 14° east longitude, as well as in sever-
Krasov, Aleksandr V. The Zyryans and Saint Stefan of Perm. St. Pe-
al New World settings. Since the fourteenth century they
tersburg, Russia, 1896.
have gained their livelihood primarily from the cultivation
Limerov, Pavel Fedorovich. Mythology of the Next World. Sykty-
of various food crops (oil palm, yams, plantains, manioc, and
vkar, Russia, 1998.
so forth), and from hunting, fishing, and livestock tending.
Smithing (of weapons, tools, jewelry, and ritual articles),
Nalimov, V. P. “Some Traits from the Pagan World Outlook of
the Zyryans.” Ethnographic Review 2 (1903): 38–59.
weaving, tanning, sculpting, and carpentry, as well as trading
in the famous Kongo markets, have been important com-
Nalimov, V. P. “The Next World in the Beliefs of the Zyryans.”
mercial skills.
Ethnographic Review 1–2 (1907): 88–101.
Nalimov, V. P. “Zur Frage nach der ursprunglichen Bezichungen
Increasingly from the late fifteenth century on, Kongo
der Gesclehter bei den Syrjanen.” Journal de la Societe/Finno-
peoples were profoundly affected by contacts with European
ougriene 25 (1908): 1–31.
merchants, missionaries, and travelers, especially in connec-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5220
KONGO RELIGION
tion with the great coastal trade, which included (from the
The Portuguese explorer Diogo Ca˜o contacted the king
eighteenth to late nineteenth centuries) massive slave traffic.
at Mbanza Kongo, the capital, in the late fifteenth century,
Hardly had the slave trade ended in the 1860s when the
and later the Portuguese king and merchants entered into
Kongo region became the launching ground for colonial ex-
diplomatic, mercantile, and missionary relations with
ploration and the establishment of the Congo Free State and
Kongo, unleashing significant forces of change. In a succes-
the Belgian Congo. One indicator of the social dislocation
sion struggle between the traditional prince Mpanzu and
and upheaval suffered by Kongo peoples is their gradual de-
Christian prince Afonso in 1510, the victory of the latter
cline in population. From the fifteenth century to the early
brought about the official endorsement of Catholicism,
twentieth century it was reduced by half, despite a high
schools, and the Europeanization of Kongo culture. A more
birthrate. Only in 1930 did this population trend change to
centralized model of government prevailed, with Portuguese
one of growth.
backing. At the same time, but against the king’s wishes, the
Life in Kongo society is characterized by a sense of unity
slave trade began to have serious repercussions in the king-
of all aspects, articulated through numerous complementary
dom. After Afonso’s death in the mid-fifteenth century the
oppositions. An individual is born, and remains, a juridical
kingdom began to disintegrate and, although usually sup-
member of his mother’s lineage and clan, yet the tie to the
ported by Portuguese militia and Catholic missionaries, it
father and the father’s kin is also strong and provides a source
became increasingly subject to extended succession feuds be-
of spiritual identity. An individual’s property relations lie in-
tween contending houses and lineages. During the centuries
herently with the matrilineal estate, yet throughout life a
of the coastal trade, especially the slave era (eighteenth to late
child may enjoy rights to use the father’s property. The col-
nineteenth century), all of the region’s historical kingdoms
lective children of a matrilineage’s men constitute a continu-
gradually lost their control over tax levying, trade, and order-
ing source of political consolidation of such a lineage. Alli-
ly administration. A variety of cults and renewal movements
ances between lineages, often in reciprocal father-to-child
made their appearances.
marriages, reinforce existing bonds and create the basis of the
Crisis cults and movements in Kongo history must be
social fabric.
seen against the background of more long-term, focused,
Kongo religious beliefs and practices derive from these
therapeutic rituals and life-cycle rituals, with which they
pervasive social realities. There are a number of basic Kongo
share the underlying symbolic logic that will be described
religious concepts that have persisted amid the profound vis-
later. To a degree the crisis cults of Kongo history arise from
cissitudes of Kongo history. Among them is the belief in a
the ground of routine rituals. Thus, initiation rites of Kimpa-
supreme being, known as Nzambi Kalunga or Nzambi
si (widespread south of the river) and Kinkhimba (north of
Mpungu Tulendo, who is thought to be omnipotent. Al-
the river), mentioned as early as the seventeenth century, are
though Nzambi Kalunga is the creator and the ultimate
known to have had a periodicity of occurrence that intensi-
source of power, lesser spirits and ancestors mediate between
fied with droughts, political chaos, and rising perception of
humanity and the supreme being. Evil, disorder, and injus-
witchcraft activity. Both types of initiation were promoted
tice are believed to be the result of such base human motives
by chiefs and sought to instruct youth and to legitimate po-
as greed, envy, or maliciousness. As constant sources of life
litical regimes.
and well-being, both the land and the matrilineal ancestors
buried in it form the basis of the preoccupation in Kongo
As chiefdoms and kingdoms suffered loss of legitimacy
thought with fertility and the continuity of the community.
in the trade or because of the decline of central states, new
Patrifilial relations and other alliances formed in the public
insignia and charms of power spread to enhance authority.
sphere bring forth in Kongo religion a concern with the na-
As infertility and population decline became acute, especially
ture of power, its sources, applications, and the consequences
in areas subjected to venereal disease and other epidemics,
of beneficent and malevolent uses of it.
fertility and birthing medicine cults emerged, such as Pfem-
ba, organized by midwives in the western north bank region.
KONGO RELIGIOUS HISTORY. The range of diverse cults,
As the coastal trade increased in intensity and caravans
movements, and beliefs in the religion of the Kikongo-
moved from the coast to inland markets and trading points,
speaking peoples may best be presented in terms of a histori-
challenging local polities and demanding provisions, medi-
cal sketch. By 1500, the period when historical records were
cine cult networks arose to buttress regional market and alli-
first kept, Kongo agrarian communities had been drawn into
ance structures and to protect those who were involved in
numerous kingdoms and large chiefdoms established centu-
the trade from the envy of their subordinates; Lemba, the
ries earlier; on the coast there were the Loango, Kakongo,
great medicine of markets and government, is an important
and Ngoyo kingdoms; inland on the north bank of the
instance of this. Nkita, an ancient medicine of lineage struc-
Congo River, there was Vungu and numerous other chief-
ture, emerged wherever segmentary lineage fragments were
doms; on the south bank, Nsundi and Kongo. In all these
beset by misfortune and sought to restore authority and ties
polities, shrines and insignia of authority represented the
to ancestors.
complementarity of power: the autochthonous spirits of the
land and the awesome, detached, acumen of conquering, alli-
Kongo cultic history may be seen as a veritable tradition
ance building, and conflict judging.
of renewal, either at the local lineage level, the national level,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KONGO RELIGION
5221
or in terms of a specific focus. Often the appeal is for restora-
sage—naming, puberty, marriage, bride price payment,
tion of public morality and order; individualized charms are
death; restoring ancestral ties where lineages have been seg-
commanded to be destroyed, the ancestors’ tombs are re-
mented or where, in urban settings, lineage fragments seek
stored, cemeteries purified, and group authority is renewed.
to return to their roots.
Although often the originators of new cultic forms are un-
known, some exceptional founding individuals are remem-
Dealing with misfortune remains an important issue in
bered and may be identified.
Kongo religion, although the list of common occurrences has
grown from hunting and gardening activities and related ac-
An especially severe and prolonged succession crisis in
cidents (e.g., being gored by a wild boar, falling from a palm
the Kongo kingdom in the eighteenth century brought to the
tree) to include accidents and misfortunes of industrial soci-
fore a Kongo Joan of Arc, the prophetess Kimpa Vita, or
ety (e.g., automobile crashes and factory accidents). The old
Dona Béatrice, to reconcile the contending factions and re-
desires for influence, love, justice, and success have remained
store authority to the capital. Her syncretic doctrine of na-
current, along with the need to explain failures in these areas.
tional salvation combined royalist ideals of restoration of the
Misfortunes, and the desire for good fortune, are dealt with
capital with the call for fertility and the appeal to Christian
in the perspectives of historical Kongo divining, medium-
love, subsumed under the banner of Saint Anthony, for
ship, protective magic, and healing. The axioms of this
whom the prophetess’s followers were named Antonines.
worldview, apparently quite persistent over centuries, explain
Kimpa Vita’s work was cut short when she was charged with
the fate of humans in terms of the priority of the invisible
heresy by the Capuchin missionary Bernardo da Gallo, who
spirit world over the visible material world or the tendency
supported one of the other political factions; after her execu-
of the former to regularly break in upon the latter. Normal
tion the Antonine movement continued for several decades.
events in the order of things and relationships created by
Renewal movements became increasingly common, and bet-
Nzambi require no particular piety or devotion to continue.
ter documented, during the Free State era (1875–1908) as
By contrast, abnormal or unusual events are considered to
colonial labor recruitment, epidemic diseases, population de-
be caused by humans who, willfully or inadvertently, affect
cline, and renewed missionary efforts to defame traditional
others’ destinies (mostly for the worse) by spiritual or direct
beliefs subjected the Kongo peoples to a loss of values and
means. The Kongo word often translated as witchcraft or
the disintegration of leaders’ authority. By 1920 Kongo
sorcery is kindoki, from loka (to use charged words toward
chiefs were generally ineffective; their judicial techniques
others). The power of words in interpersonal discourse is
were bypassed by the colonial authorities or banned. Espe-
greatly respected. Human ties, frequently polluted and mud-
cially important in the context of Kongo religious leaders is
dled with ill will, malicious intentions, and envy, or the
the twentieth-century Kongo prophet Simon Kimbangu,
threat of becoming so, must regularly be renewed with gift
whose widely influential teachings eventually gave rise to the
exchanges, purification rites, and harmonious discourse.
largest independent church in Africa.
When ordinary people cannot cope with their misfor-
Mission Christianity, implanted during the Free State
tunes and conflicts, they turn to the nganga (specialized
and subsequent colonial era by British, Swedish, and Ameri-
priests and doctors). The nganga are diviners, religious spe-
can Protestant groups and by Belgian, French, and Portu-
cialists skilled in manipulating spirits, humans, and symbols;
guese Catholics has given rise to many congregations and
agents of power who inaugurate offices of authority; and
conferences, as well as to schools, hospitals, seminaries, and
healers who deal with sicknesses of mind and body. They use
other specialized institutions. Furthermore, it has brought
esoteric codes relating the visible realm of plants and sub-
about the far-reaching Christianization of the Kongo popu-
stances and apply them to the invisible realm of emotions,
lace. However, paradoxically, most Kongo Christians still
society, and the beyond. These mediatory roles of the nganga
subscribe to the fundamental tenets of the Kongo religion
(as well as those of chiefs, prophets, and other powerful peo-
and worldview.
ple) require legitimation from the white otherworld (mpem-
KONGO BELIEFS AND PRACTICES TODAY. In the twentieth
ba), the realm of ancestors and spirits. As a natural cosmolo-
century large numbers of Kongo people migrated to the
gy mpemba is most often associated with water, the realm of
urban centers of Brazzaville, Kinshasa, Matadi, Pointe Noire,
nature, and with ancestor spirits. Land, the abode of mun-
Luanda, and lesser towns, yet reverence for lineage ancestors
dane human powers, is associated with black, the realm of
and offerings made to them continue to be integrally tied to
defective, partial, and evil forces. The sky is a third realm,
the maintenance of lineage land estates and to the guardian-
not associated with any color; it is the abode of other spiritual
ship of the matrilineal kin unit. Many of the eighteenth- and
forces. Redness, often used to describe the ambiguous or
nineteenth-century initiatory and curing rites have been
transitional areas of life, may be tied to power, or to the sun
abandoned, yet many dimensions of life continue to be sa-
and other astral bodies, and it expresses the cycles and
cralized. For example, religious beliefs continue to revolve
rhythms of natural and human life. This cosmology of natu-
around providing assurance for women’s reproductive capac-
ral realms and color qualities may be associated with the
ity and male fertility; guaranteeing the legitimacy of authori-
more explicit human ideology of matrilineal and patrilateral
ty roles at lineage and clan levels; presiding over rites of pas-
kinship, in a ritual grammar that amplifies the complementa-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5222
KONG SPRUL BLO GROS MTHA’ YAS (KONGTRUL LODRO TAYE)
ry dependencies of mother and child, father and child, sib-
KONG SPRUL BLO GROS MTHA’ YAS
lings and spouses. At the most abstract level, the white may
(KONGTRUL LODRO TAYE) (1813–1899).
be contrasted to the world and used as a metaphor of renew-
Kong sprul was the founder of an extraordinary movement
al, postulating the ever-ready tendency of mpemba to pervade
emphasizing the internal harmony of the various spiritual
the human world, to replace, renew, and purify it.
traditions of Tibet. The essential outlook of the nonsectarian
or Rime approach in Tibetan Buddhism is respect for all ap-
Kongo religion is more complex and profound than any
proaches to realization. But followers of this approach believe
single doctrine or congregation represented within it. It is a
equally in the necessity of personal practice, initiations, deity
set of perspectives about life, of symbolic traditions and roles
yoga, and guru devotion derived from one of the other tradi-
that have formed over centuries of human experience at the
tions.
mouth of the Congo River. This experience includes the ad-
versities of the slave trade, massive depopulation, epidemics,
Kong sprul, his friend the Sa skya (Sakya) master ’Jam
colonialism, and droughts, as well as the challenges of Chris-
dbyang Mkhyen brtse’i dbang po (Jamyang Kyentse Wang-
tianization and independence. Kongo religion is at the heart
po, 1820–1892), and the visionary revealer of concealed
of one of the great historic, yet living, human civilizations.
teachings Chogyur Lingpa (1829–1870) together changed
the spiritual landscape in eastern Tibet and eventually
S
brought forth a renaissance of Tibetan culture, education,
EE ALSO Kimbangu, Simon.
and spiritual practice. Their friends included teachers from
all the competing religious traditions of the Tibetan lands.
BIBLIOGRAPHY
They met often to exchange teachings and profoundly influ-
The English reader may begin a study of Kongo religion with John
enced each other.
M. Janzen and Wyatt MacGaffey’s An Anthology of Kongo Re-
Buddhism and other written religious traditions came
ligion: Primary Texts from Lower Zaire, “Publications in An-
thropology, University of Kansas,” no. 5 (Lawrence, Kans.,
into Tibet from India, China, and central Asia over centu-
1974), an introduction to several facets of the subject as seen
ries, beginning in the seventh century. During the Royal Dy-
in fifty-two translated texts. Wyatt MacGaffey’s Religion and
nastic period (seventh to ninth centuries) Buddhism and
Society in Central Africa: The BaKongo of Lower Zaire (Chica-
Bon struggled for supremacy, each of their claims supported
go, 1986), is a major synthesis of all aspects of historical and
by different factions at court. Buddhist monastic practices
current Kongo religion. Kongo religion as reflected in mor-
were gradually standardized, and methods and terminology
tuary art is depicted in Robert Farris Thompson’s The Four
for translation into Tibetan were decreed. But Tibet was
Moments of the Sun: Kongo Art in Two Worlds (Washington,
then and remains largely local, and the local weather makers
D.C., 1981). The double entendre of Thompson’s title, re-
and ritual specialists provided religious needs for the vast ma-
fering to the dichotomies of visible-invisible and Africa-New
jority of the population. These followed a bewildering variety
World in Kongo belief and ceremonial space, is derived from
one of the clearest renderings of Kongo cosmology, A. Fu-
of practice forms, some of which had little to do with the
kiau kia Bunseki-Lumanisa’s N’kongo ye Nza / Cosmogonie
Buddhism and Bon of the court circles.
Kongo (Kinshasa, Congo, 1969).
With the collapse of the central dynasty and the breakup
of a national political authority, family-based religious busi-
Classics in Kongo culture, including religion, are Jan van Wing’s
Études baKongo (Brussels, 1959), especially part 2 on religion
nesses became the rule. Members of these families began to
and magic, and Karl Edward Laman’s The Kongo, 4 vols.,
travel in quest of special teachings, which were passed to fam-
“Studia Ethnographica Upsaliensia,” nos. 4, 8, 12, and 16
ily members and favored students within protected transmis-
(Uppsala, 1953–1968). Specialized studies include, on
sions. There were great rivalries for patronage from local
Kongo messianism, Effraim Andersson’s Messianic Popular
princes and nomadic headmen.
Movements in the Lower Congo (Uppsala, 1958); on witch-
The roots of eclecticism and tolerance are sunk as deep
craft and consecrated medicines, Tulu kia Mpansu Buakasa’s
L’impensé du discours: “Kinodoki” et “nkisi” en pays kongo du
into the soil of the Tibetan tradition as those of sectarianism
Zaïre (Kinshasa, Congo, 1973); on Christian missions in
and bigotry. Early masters of the Tibetan systems of practice
Kongo, Effraim Andersson’s Churches at the Grass Roots: A
sought teachings and methods of spiritual transformation
Study in Congo-Brazzaville (London, 1968); and on historic
from a variety of sources. There was a continuing and vital
healing cults, John M. Janzen’s Lemba, 1650–1930: A Drum
sustenance between the religious philosophy of the greater
of Affliction in Africa and the New World (New York, 1981).
tradition and the practice of village wizards.
New Sources
Kong sprul was born in Rong rgyab (Rongyab), a re-
Bockie, Simon. Death and the Invisible Powers: The World of Kongo
mote area in Kham. His father was a lay village priest of the
Belief. Bloomington, Ind., 1993.
Bon tradition. Kong sprul was a remarkable student and
mastered in a short time the writing and all of the books
Friedman, Kajsa Ekholm. Catastrophe and Creation: The Transfor-
available in his area. Kham was filled with turbulence and
mation of an African Culture. Philadelphia, 1991.
war during these years. Eventually the young Kong sprul’s
JOHN M. JANZEN (1987)
skills as a scholar and secretary came to the attention of a
Revised Bibliography
Rnying ma (Nyingma) monastery in Kham.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KONG SPRUL BLO GROS MTHA’ YAS (KONGTRUL LODRO TAYE)
5223
These were times of tremendous sectarian conflict be-
to be translated into Tibetan in the eighth century. The
tween followers of Bon and the Buddhist traditions as well
highest fundamental outlook of this tradition is Rdzogs chen
as within the Buddhist traditions in all of eastern Tibet. The
(Dzogchen) or the Great Perfection. In the eighteenth centu-
young Kong sprul moved to Dpal spungs (Palpung), where
ry ’Jigs med gling pa (Jigme Lingpa, 1729/1730–1798) pro-
he became a valued scribe and scholar. In order to prevent
duced the cycle of revelations known as the Longchen Nying-
him from being taken by the Sde dge (Derge) authorities into
tig after receiving profound visions of Longchen Rabjampa.
the service of the court, he was recognized as an incarnation
The Early Translation school has maintained its strength be-
of a former monk at Palpung from Kong po (Kongpo) far
cause of ongoing revelation.
to the west. This meant that he could not be inducted by
The second of the systems, the Bka’ gdams (Kadam) pa,
the prince, and he became and remained a monk of Palpung.
flourishes strongly in the early twenty-first century in its off-
During his long career at Palpung, Kong sprul penned
shoot, the Dge lugs (Geluk) pa, founded by Je Tsong kha
over ninety volumes. The first of his five great treasuries is
pa (1357–1419). This school became the paramount sect of
Kagyu ngak dzo (Treasury of Tantric empowerments of the
Tibet under the Dalai Lama. The basic teachings of the Bka’
Mar pa Bka’ brgyud [Kagyu] school). The second is Damn-
gdams pa and Dge lugs pa are mental training (lojong), the
gag dzo (Treasury of practice instructions). The third and
graduated path, and careful observance of monastic disci-
longest of the five, Rinchen ter dzo, is an anthology of all of
pline. The Bka’ gdams pa approach has profoundly influ-
the hidden teachings that had appeared in Tibet. The fourth
enced all of the other systems of Tibet.
is the Treasury of Extensive Teachings, Gyachen ka dzo,
The third system is centered around the teachings of the
which comprises Kong sprul’s own writings. The fifth, the
Path and Its Fruition (Lamdre) derived from the Vajra
three-volume Sheja dzo (Treasury of the knowable), is
Verses. The empowerments of the Lamdre system are derived
the shortest and is an encyclopedic work. The essence of the
from the Hevajra Tantra. These teachings became widely
Rime movement is expressed in Damngag dzo, which en-
spread through the efforts of Sa chen Kun dga’ snying po
shrines the empowerments and instructions that had been
(Sachen Kunga Nyingpo, 1092–1158), the first of the five
transmitted by all of the Buddhist lineages that had come
great patriarchs of the Sa skya school. The teachings remain
into Tibet.
strong in the early twenty-first century among the followers
The emphasis is shifted from colors of hats and sect
of the Sa skya tradition.
names to a broad system of eight lineages of practice. Each
The Mar pa Bka’ brgyud school begins in Tibet with
of the eight lineages were passed on by masters who taught
the great translator Mar pa Chos kyi blo gros (Marpa Chokyi
special insights into methods of spiritual transformation.
Lotro, 1002/1012–1097). The Mar pa Bka’ brgyud school
Four of these persist in Tibet in the early twenty-first century
subsequently split into a multitude of kindred traditions fol-
as the four Buddhist orders. The other four at the time of
lowing the maha¯mudra¯ outlook, realized through the prac-
Kong sprul had almost died out as active functioning sects;
tice of the Six Yogas of Na¯ropa. The empowerments for the
they survived only as transmissions of word and a few em-
Mar pa Bka’ brgyud are the Chakrasamvara and Vajravarahi.
powerments. Kong sprul and Mkhyen brtse gathered togeth-
er these rare word transmissions from all over Tibet. Kong
All of the above four traditions survive as separate sects
sprul included them in his eightfold architecture, and the
or schools to the early twenty-first century. The other four
teaching transmissions were spread throughout the land and
were absorbed into the four major schools and did not enjoy
became revived and revitalized.
a separate sectarian presence after the seventeenth century.
Of course no mortal can attempt to practice all of the
The Shang pa Bka’ brgyud school has experienced a
eight systems in one lifetime. The followers of the Rime
great revival because of the teachings of Kong sprul and
movement emphasize that what is important is the develop-
Khenpo Kalu (1905–1989). The teachings passed from
ment of an attitude of respect for all systems and philosophi-
Niguma, the female counterpart of Na¯ropa (1016–1100),
cal outlooks while maintaining a firm commitment to a per-
and another d:a¯kin¯ı, Sukhasiddhi, to Khyung po Rnal ’byor
sonal practice. Many great masters of the Indo-Tibetan
(Khyungpo Naljor) (978/990–1127). The primary sources
tradition taught the moral dangers of denigrating proponents
are a set of Vajra Verses, the outlook of maha¯mudra¯, and the
of any practice, even the adherents of the Hindu and Jain
practice of the Six Doctrines of Niguma. The teachings were
traditions. What is important is the commitments to one’s
amplified by the long-lived builder of bridges, Thang stong
own spiritual master and to the practice that the teacher has
rgyal po (Thangtong Gyalpo) (1361–1485), and Jo nang Rje
enjoined.
btsun Ta¯ ra¯ na¯ tha (Jonang Jetsun Ta¯ra¯na¯tha) (1575–1634).
These precepts are widely practiced in the Bka’ brgyud in the
THE EIGHT SYSTEMS. The first of the systems is the Early
early twenty-first century.
Translation school or the Rnying ma. These teachings con-
sist of the practice of the three yogas: maha¯yoga, anuyoga, and
The sixth system is the Zhi byed (Zhije) school with its
atiyoga. The master who systematized these teachings and
auxiliary system known as Gcod (Cho).The Zhi byed, or
their philosophy was Klong chen Rab ’byams pa (Longchen
Quelling of Suffering, came to Tibet with the eleventh-
Rabjampa) ((1308–1364), although the teachings first began
century Pha Dam pa sangs rgyas (Pha Dampa Sangye,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KONKO
¯ KYO¯
5224
d. 1105/1117). The Gcod, or Severance, teachings come
Zhenga wrote annotated commentaries to each of these. The
from a great female disciple of Pha Dam pa, Ma gcig lab
annotations simply attempted to explain the grammatical
sgron (Machig Labdron, c. 1055–1149). These practices
meaning of the great Indian authors and eschewed sectarian
have spread through almost all of the other traditions of
polemic and debate. Their purpose was simply to lead the
Tibet.
student into the understanding of the difficult phraseology
of the Indic originals. While the great Dge lugs monasteries
Vajra Yoga, the seventh system, exists in two flavors, the
of Tibet and their affiliates continued to use the time-
Zhwa lu (Zhalu) and the Jonang, both of which at one time
honored syllabi (yigcha) presented for debate, the students at
had separate identities. The focus is upon the Ka¯lacakra
Rdzong gsar and affiliates focused on mastering the basic
(Wheel of time) Tantra and the methods enshrined in the
texts. Even here there were attempts to rewrite the yigcha of
Six Branches of Union. The Jonang school survives as a sect
the great Dge lugs monastic colleges.
in ’Dzam thang (Dzamthang) and a number of affiliated
monasteries in Sichuan Province. The Zhwa lu sect has large-
Finally, teachers who had been inspired by the ideals in
ly merged with the Dge lugs tradition.
the air began to write more simply and produce works in-
tended to improve the spiritual lives of ordinary laypeople,
The final and last of the eight systems is no longer extant
villagers, and nomads. Dpal sprul (Patrul Rinpoche) (1808–
except as empowerments and textual transmissions among
1887) and nomad teachers like Rig ’dzin Gar dbang (Rigdzin
the Bka’ brgyud. These were received by O rgyan pa (Or-
Garwang) (1858–1930) began to pen simple literature in-
gyenpa) from enlightened women in Swat in the borderlands
tended for common people, which included exhortations to
where India, Pakistan, and central Asia meet.
give up hunting and adultery and to practice the ideals of the
The followers of the Rime movement began to question
simple Buddhist life. There are few Tibetan Buddhist teach-
the banning of books of sects regarded as heretical. Many of
ers living in the early twenty-first century who have not been
these had been banned beginning as early as the fifteenth
influenced by the ideals of the Rime movement.
century. Zhwa lu Ri sbug Blo gsal bstan skyong (Shalu Ribug
Losal Tenkyong) (b. 1804) was ultimately successful in per-
BIBLIOGRAPHY
suading the Tashilhunpo authorities to permit the opening
Barron, Richard (Chökyi Nyima), trans. and ed. The Autobiogra-
of the Dga’ ldan Phun tshogs gling (Ganden Phuntso Ling)
phy of Jamgön Kongtrul: A Gem of Many Colors. Ithaca, N.Y.,
2003.
and Byang Ngam ring (Jang Ngamring) printeries in Gtsang
(Tsang). The writings of Jo nang masters, including Dol po
Smith, E. Gene. Among Tibetan Texts: History and Literature of the
pa Shes rab rgyal mtshan (Dolpopa Sherab Gyaltsen) (1292–
Himalayan Plateau. Boston, 2001.
1361) and Jo nang Rje btsun Ta ra¯ na tha¯ (Jonang Jetsun
E. GENE SMITH (2005)
Tara¯natha¯) (1575–1634), were again permitted to be printed
and distributed. The blocks for many of the banned works
of great Sa skya masters, such as (Go rams pa) Gorampa
(1429–1489), and Karma Bka’ brgyud thinkers like the
KONKO
¯ KYO¯ is a modern Japanese religion founded in
eighth Karma pa Mi bskyod rdo rje (Mikyo Dorje, 1507–
1859. In 1984 it boasted some 469,153 members. The
1554) were recarved onto blocks at the great Rime centers
founder of Konko¯kyo¯, known by the honorary title Konko¯
of Sde dge Dgon chen (Derge Gonchen) and Palpung.
Daijin (1814–1883), was born Kandori Genshichi to a peas-
ant family in O
¯ tani village, Bitchu¯ province (present-day
Under the influence of Mkhyen brtse and Kong sprul
Okayama prefecture). Adopted at the age of twelve, he be-
a resurgence of interest in histories took place. Many new re-
came head of the Kawate (later renamed Akazawa) family at
ligious histories were written and distributed throughout
twenty-three and took the name Akazawa Bunji. Under his
Tibet. Important figures in this movement included Zhwa
direction, his family began to cultivate cotton in addition to
lu Ri sbug, Dga’ ldan The bo Ye shes bstan pa rgya mtsho
the traditional rice crop, thereby raising their living standard
(Ganden Thewo Yeshe Tenpa Gyatso) (b. nineteenth centu-
above the norm of the local cultivating class. However, while
ry), Brag dgon Zhabs drung (Dragon Shabdrung) (1801–
Akazawa’s diligence and initiative brought material benefit,
1866), and Mkhyen brtse himself. This new historiography
he also experienced profound grief. Four of his children died
was infected with the ideals of the Rime.
of sickness, and in 1855 he himself became very ill.
RELIGIOUS EDUCATION. Religious education was another
As a young man, Akazawa was deeply religious and par-
area in which the teachers of the Rime tradition had a great
ticipated in the multifaceted religious life of rural Japan.
impact. Mkhyen brtse and his teaching school at Rdzong
While his village was principally affiliated with the Tendai
gsar (Dzongsar) served as a model for new forms of religious
school of Buddhism, it was also deeply influenced by the cult
education. The Rdzong gsar syllabus, created by Mkhan po
of sacred mountains, Shugendo¯. Shugendo¯ ascetics (yama-
Gzhan dga’ (Khenpo Zhenga) or Gzhan phan chos kyi snang
bushi) were prominent in village religion as healers, an activi-
ba (Zhenpen Chokyi Nangwa) (1871–1927), focused on a
ty from which they derived significant income. In addition,
return to the Indian ´sastra tradition and the memorization
priests of local Shinto¯ shrines sponsored pilgrimages to the
of thirteen basic verse texts (gzhung chen [zhungchen]).
Ise Grand Shrines. Akazawa assisted traveling Ise priests
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KONKO
¯ KYO¯
5225
(oshi) in distributing Ise talismans and almanacs in the vil-
religious life is to awaken to God’s eternal love and to realize
lage. He also joined village confraternities (ko¯) in pilgrimage
that everyone is endowed with life and sustained by Tenchi
to a circuit of eighty-eight temples on Shikoku island. He
Kane no Kami and that all things in the universe derive from
scrupulously observed horoscopic and geomantic prescrip-
him. Because all people are believed to be the children of
tions in planning any significant activity, such as travel or
God, human equality is a fundamental tenet. Faith and spiri-
construction.
tual strength, rather than healing rites or medication, are the
TEACHING AND SCRIPTURE. Akazawa’s illness of 1855 was
keys to physical health. Konko¯ Daijin denied fatalistic ideas
diagnosed as resulting from an offense against Konjin, who,
of horoscopy and geomancy and derided food taboos and
according to local folk notions, was a malevolent deity ruling
pollution notions regarding women. The record of Konko¯
the northeast. It was believed that to offend Konjin was to
Daijin’s shirase and toritsugi, as well as accounts of the lives
precipitate his wrath in the form of possession or sickness.
and conversions of early followers, are collected in
Akazawa’s cure, thought to have been realized through ear-
Konko¯kyo¯’s scripture, Konko¯kyo¯ Kyo¯ten.
nest prayers to Konjin, marked the beginning of a complete
RELATION TO SHINTO¯. Konko¯kyo¯’s relation to Shinto¯ is a
reorientation of his life, culminating in a new understanding
complex and much debated issue among the ministry.
of humanity’s relation to the deity Konjin and in the found-
Konko¯ Daijin’s certification by the Shirakawa was acquired
ing of Konko¯kyo¯. Akazawa began to serve Konjin in 1858
more in order to protect the group than as an expression of
and devoted increasing amounts of time to religion. Follow-
its faith. Between 1870 and 1884, during the Meiji govern-
ers came to seek his advice and to have him mediate (torit-
ment’s campaign to promote Shinto¯ (called the taikyo¯ senpu
sugu) Konjin’s will to them. He received instructions (shirase)
undo¯), Konko¯ Daijin’s son Hagio became a kyo¯do¯shoku
from the deity about agriculture, construction, sickness, and
(“national evangelist”) and his main disciple, Sato¯ Norio, be-
a host of other matters. From Konjin, Akazawa received a se-
came a vigorous activist for the movement. It was Sato¯ who
ries of honorary titles marking his spiritual progress, and the
was most influential in aligning the group’s doctrine with
deity revealed a corresponding set of titles of his own.
State Shinto¯. In spite of the direct and repeated protests of
Through Akazawa’s spiritual development and earnest prayer
Konko¯ Daijin, who denied that Konko¯kyo¯ was a variety of
the deity gradually manifested its true nature and desire for
Shinto¯ and refused to meet with local Shinto¯ officials, Sato¯
humanity’s salvation.
and other early leaders sought, and eventually gained, recog-
nition for Konko¯kyo¯ as one of the thirteen sects of Shinto¯.
While Akazawa originally conceived of Konjin as an evil
The group accepted this designation, no doubt partially
being, he realized that the deity did not willfully cause suffer-
owing to their fear of suppression.
ing, and that the being he originally knew as Konjin was in
fact the one, true God of the universe (Tenchi Kane no
Since the early 1980s, however, the group has rejected
Kami), the source of all being. Akazawa’s final title, Ikigami
Shinto¯ rites and vestments, and many ministers repent the
Konko¯ Daijin, reflects the concept that humanity and deity
part Konko¯kyo¯ played in prewar Shinto¯. They see Shinto¯ as
are originally united and indivisible.
having contributed to militarism and nationalism, traits they
In 1859 Akazawa, now called Konko¯ Daijin, gave up ag-
wholeheartedly reject. Yet a change of such magnitude, re-
riculture to devote himself fully to the service of Tenchi Kane
quiring a rejection of much of the group’s history, is difficult
no Kami (Great Living Deity Konko¯); Konko¯kyo¯ dates its
for many to accept, even when carried out in the name of
founding from that event. Two years later, Konko¯ Daijin
a return to the true spirit of the founder’s teaching. At pres-
began to record his consultations with followers, most of
ent, the group is in the midst of a true religious revolution,
whom came from Okayama and Hiroshima. As the number
and the outcome seems sure to bring in a new order.
of believers increased, the group encountered suppression
and persecution from domain officials and yamabushi. Many
SEE ALSO New Religious Movements, article on New Reli-
followers believed they were healed by Konko¯ Daijin’s medi-
gious Movements in Japan; Shugendo¯.
ation (toritsugi), but as such healings detracted from the ya-
mabushi’s prayer healings, and hence from their income,
BIBLIOGRAPHY
Konko¯ Daijin incurred considerable enmity from these pow-
Articles of high scholarly merit often appear in Konko¯kyo¯gaku
erful religious practitioners. In order to continue toritsugi
(Konko¯-machi), a journal published by Konko¯kyo¯. In addi-
and avert further persecution, Konko¯ Daijin took a license
tion to this basic source, the following works may be profit-
from the Shirakawa house of Shinto¯. Although this gave the
ably consulted.
organization limited recognition as a variety of Shinto¯,
Holtom, D. C. “Konko¯ Kyo¯—A Modern Japanese Monotheism.”
Tenchi Kane no Kami was not an authorized Shinto¯ deity,
Journal of Religion 13 (July 1933): 279–300. General de-
nor did toritsugi bear any relation to the usual practices of
scription and discussion of the group in terms of mono-
the Shinto¯ priesthood.
theism.
Konko¯kyo¯’s central doctrine is rooted in the concept of
Konko¯ Churches of America. Konko¯ Daijin: A Biography. San
reciprocity between humanity and God. Both are said to be
Francisco, 1981. A shortened translation of the official biog-
fulfilled through humanity’s self-cultivation. The task of the
raphy of the founder.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5226
KOOK, AVRAHAM YITSH:AQ
Konko¯kyo¯ kyo¯ten. Konko¯-machi, 1983. A revised version of the sa-
philosophical thought and his bold and novel interpretation
cred scriptures of the group plus much valuable information
of the meaning of Judaism, on the other, as well as the per-
on the founder’s life and those of early disciples.
sonal and original nature of his thought required the creation
The Sacred Scriptures of Konko¯kyo¯. Konko¯-machi, 1973. An
of a new mystical language.
abridged version of sacred texts.
Rabbi Kook’s thought is based on a mystical intuition
Schneider, Delwin B. Konko¯kyo¯, a Japanese Religion: A Study in the
and on a radically monistic perception. He viewed reality as
Continuities of Native Faiths. Tokyo¯, 1962. The only book-
an absolute unity whose source is the divine infinity and is
length study in a Western language, the book concentrates
expressed in all dimensions of existence: in the cosmic, natu-
on the theology of the group.
ral, and physical dimension, in the historical-political, and
HELEN HARDACRE (1987)
in the cultural dimension. Kook viewed all reality as a revela-
tion or manifestation of the divine, leading to his tolerant
and pluralistic outlook, which sees all cultures, each world-
KOOK, AVRAHAM YITSH:AQ.
view, and every ideology as partial expressions of the divine
Rabbi Avraham
truth. Despite Kook’s basic assumption that no single philo-
Yitsh:aq Kook (1865–1935) was the first Ashkenazi chief
sophical or qabbalistic theory can contain the multiple di-
rabbi of the Land of Israel in the modern era, a religious
mensions of existence and that therefore each theory is par-
thinker and halakhic authority, and one of the prominent
tial and relative, he nonetheless usually formulated his ideas
leaders of the New (Jewish) Settlement at the beginning of
within a Neoplatonist mystical framework, using concepts
the twentieth century. Rabbi Kook was born in Grieva, Lat-
borrowed sometimes from the Qabbalah and sometimes
via. His father was of Lithuanian Jewish descent, and his
from idealistic European philosophy of the nineteenth cen-
mother came from a Lubavitcher Hasidic family. Kook was
tury. He saw the Qabbalah not simply as an ancient tradition
the spiritual and halakhic authority who laid the foundations
but also as a discipline of free thought and creativity, which
for a religious Zionism that did not settle for the political
springs from the depths of a person’s spirit and deciphers the
pragmatism of the Mizrah:i (the religious Zionist movement)
secrets of the Torah.
or that of Theodor Herzl, the founder of the Zionist move-
ment. Kook sought to view Zionism as a process of redemp-
Kook’s contemplative writings were, for the most part,
tion, of repentance, and of an overall Jewish renaissance. He
not written in a systematic fashion; his writing was automatic
was a man of complexity whose persona unified opposing
and spontaneous, and in general he did not later edit and ar-
spiritual worlds: the Lithuanian Torah scholarship with the
range these writings in book form. His student and friend,
Hasidic spiritual experience, a commitment to halakha and
Rabbi David Cohen (HaNazir), who edited a large portion
Jewish tradition with a modern worldview and Western cul-
of his works, arranged them in the book Lights of Holiness,
ture and philosophy, a tendency toward spirituality and mys-
according to the major topics of philosophical inquiry: epis-
ticism with full involvement in the practical matters of rab-
temology, ontology, and anthropology (including ethics and
binic and public leadership.
morality). His nationalistic thought is mostly found in sever-
At a very early age, Kook was appointed rabbi of Zaumel
al essays collected in the book Lights, which was edited by
and later of Boisk. In 1904 he made a pilgrimage to the Land
his son, Rabbi Tsvi Yehudah Kook.
of Israel and was appointed chief rabbi of Jaffa and the sur-
REPENTANCE. Several of Rabbi Kook’s main and most fun-
rounding towns. World War I broke out while he was at-
damental ideas were formed in an original fashion. In Kook’s
tending a conference of the Agudath Israel movement in
thought, repentance is not merely a psychological process
Germany, and he was forced to spend the war years (1914–
that takes place in the consciousness of the individual but in-
1918) in Switzerland and England. When he was finally able
stead a cosmic process taking place in all dimensions of exis-
to return, he moved to Jerusalem to serve as chief rabbi and
tence, which has sought to return to its source from the mo-
was elected the first Ashkenazi chief rabbi of the Land of Isra-
ment of creation. This cosmic process is apparent in the
el when the chief rabbinate was established in 1921. Rabbi
movement found in nature, history, and culture toward
Kook became an outstanding rabbinic leader, one who
higher, superior levels of existence. Thus all progress made
played an active role in many controversies but won the re-
in the history of the Jewish people and the entire world, in
spect of diverse groups, from the devoutly observant mem-
the natural sciences, medicine, and technology, are under-
bers of the Old Settlement to the atheist pioneers of the New
stood as manifestations of the process of redemption. In this
Settlement and the leaders of the second emigration.
context, sin is also understood as a metaphysical concept that
Rabbi Kook’s extensive writings traverse a wide range
signifies the failure to reach the original goal of creation and
of literary styles and forms. He wrote contemplative compo-
a deviation from creation’s proper state of wholeness. The
sitions, halakhic books, ideological articles and essays, com-
redemption of the world is therefore a metaphysical
mentary to the Talmud, poetry, and many letters. His lan-
necessity.
guage and style reflect the complex nature of his spiritual
FREEDOM. The idea of freedom and the striving for freedom
world. The unique synthesis found in his writings between
were characteristic of the spirit of the nineteenth century in
mystical concepts and qabbalistic ideas, on the one hand, and
Europe. However, the idea of freedom in Rabbi Kook’s writ-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KOOK, AVRAHAM YITSH:AQ
5227
ings is not limited to the realm of political thought; it exists
were captured, all the dreams, the ideas, and the great proph-
also as a metaphysical principle, as a trait and a basic drive
ecy of the redemption of the people of Israel returning to
of humans, and as a lofty religious ideal. The concept of free-
their biblical homeland surfaced and came to life in the real
dom is understood foremost as a cosmic dialectical process
world. Youth movements, many religious educational insti-
of self-realization.
tutions, yeshivas, and high schools educated their students
in light of his teachings. Students of the yeshivas and move-
HOLINESS. The idea of holiness, according to Rabbi Kook,
ments influenced by his thought established new settlements
expresses the immanence of the divine in the world and is
in Judea and Samaria; those groups even established a politi-
described as a current flowing forth invisibly from the source
cal-ideological movement, Gush Emunim, in the aftermath
of existence and spreading throughout all dimensions of exis-
of the Yom Kippur War in 1973. Of course these movements
tence: in space, in time, and in humanity. From this perspec-
and trends express only one particular dimension of Rabbi
tive, there is no essential difference between the sanctity of
Kook’s thought and his multifaceted writings.
the Land of Israel and that of other places. The difference
is only that in the Land of Israel the hidden holiness bursts
Thus Gush Emunim’s claim to be the true continuation
forth and is revealed like a wellspring. The same is true in
of Rabbi Kook’s legacy put it at the center of a controversy
terms of time, since the holiness that flows forth in secret
that was both political and ideological in nature. Supporters
each day reveals itself on the Sabbath day, and so it is in the
of this claim emphasize the movement’s devotion to the idea
other dimensions of existence. One of the distinguishing
of settling in the entire Land of Israel as an integral part of
characteristics of humanity is the ability to recognize holiness
the complete redemption of the people of Israel. Opponents
and to have religious aspirations. The capacity for religiosity
emphasize the fact that this settlement comes against the will
is common to all people, and in the people of Israel this ca-
of the Arab residents, sometimes takes away their lands, and
pacity is also realized in their collective spiritual creation.
prevents a peace treaty between Israel and the Palestinians.
Seemingly Rabbi Kook’s thought is the source of both per-
Kook’s approach to the Zionist movement was based
spectives.
both on his “historiosophical” religious and metaphysical
worldview and on his personal experiences of direct contact
Unquestionably the love of the Land of Israel, settle-
with the pioneers of the second emigration. In his eyes, Zion-
ment as part of the process of redemption, and the establish-
ism was an opportunity for an overall Jewish renaissance, and
ment of the state of Israel were essential elements in Rabbi
he yearned to witness a far-reaching renewal not only of the
Kook’s vision. At the same time, sensitivity toward the digni-
Hebrew language and the Jewish settlement in Israel but also
ty and will of the Arabs was also part of his approach (as evi-
of Jewish literature, Torah scholarship, and the creative arts
denced by his testimony before the British governor of Jeru-
as well as an expansion of the meaning of the Torah itself.
salem after Arab rioters attacked Jews at prayer at the
All of these changes, he believed, would bring about the es-
Western Wall).
tablishment of the state of Israel in the Land of Israel, an
Any attempt to estimate what Rabbi Kook’s political
ideal state that would actualize in all dimensions of its exis-
position about the Israeli-Palestinian conflict of the late-
tence the noble ideals of Judaism and thus reveal the king-
twentieth century and early-twenty-first century would have
ship of God in the world. He valued the Zionist movement
been is nothing more than speculation. His perspective and
as a practical-political instrument whose function was to real-
worldview were wide and complex to such an extent that
ize this vision. He also admired and loved the pioneers, in
many can find support in them for their contradictory posi-
whom he saw unadulterated idealism and innate moral val-
tions; this does not mean that their views should be seen as
ues. However, he also voiced harsh criticism of both wings
necessary conclusions or realizations of his thought.
of the Zionist movement, the religious and the secular, for
their narrow understanding of their role. Rabbi Kook was ac-
Kook’s successors established communities and residen-
tively involved in the Zionist public life, and the British
tial neighborhoods with the characteristics of closed, separate
Mandate related to him as one of the representatives of the
societies. At the same time, in particular over the last two
Zionist leadership.
decades of the twentieth century, some of these groups have
displayed a trend of openness toward and involvement in all
Rabbi Kook’s impact on the development of ideologi-
the realms of activity and production of the general society:
cal-political and spiritual-religious trends was greater after his
in academia, in the economy, in the army, in culture, and
death than during his lifetime. He was very highly respected
in the arts. Furthermore the spiritual-mystical trends devel-
and revered by most sectors of Jewish society, despite the fact
oping in the climate of the New Age and postmodernism in
that his opinions were controversial. At the same time, he did
Israel also have roots in the mystical thought of Rabbi Kook,
not have many students and did not succeed in creating a
and its magnetism grows, especially among the religious
mass movement. The yeshiva he established in Jerusalem and
youth.
led for many years, Merkaz HaRav, did not, after his death,
make an impact on wider circles. However, Rabbi Kook’s
BIBLIOGRAPHY
ideas permeated religious Zionist society, and after the Six
Goldman, Eliezer. “Rav Kook’s Relation to European Thought.”
Day War in 1967, during which territories under Arab rule
In The World of Rav Kook’s Thought, edited by Benjamin Ish
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5228
KORAN
Shalom and Shalom Rosenberg, translated from the Hebrew
and was similarly disparaged by Christian missionaries and
by Yovel Orot, pp. 115–122. New York, 1991.
Japanese colonists in the early twentieth century. Today, mu-
Ish-Shalom, Benjamin. Rav Avraham Itzhak HaCohen Kook: Be-
dangs are primarily women from reduced economic and so-
tween Rationalism and Mysticism. New York, 1993.
cial circumstances. They are held in low esteem by the gener-
Ish-Shalom, Benjamin. “Tolerance and Its Theoretical Basis in the
al population, but their services are nevertheless sought out
Teaching of Rav Kook.” In Abraham Isaac Kook and Jewish
by people of all classes who struggle with inexplicable illness
Spirituality, edited by L. Kaplan and D. Shatz,
or misfortune.
pp. 178–204. New York, 1995.
Shamanism’s persistence as a Korean religious practice
Ross, Tamar. “Rav Kook’s Concept of the Divine” (in Hebrew;
can be attributed to the basic nature of its ritual objectives—
two-part series). Daat No. 8 (Winter 1982): 109–128, No.
the bringing of good fortune and the warding off of ill via
9 (Summer 1982): 39–70.
the manipulation of spirits—and its tremendous adaptability
Schwartz, Dov. Challenge and Crisis in Rav Kook’s Circle (in He-
to cultural change, particularly to the introduction of other
brew). Tel Aviv, 2001.
religious systems. Its pantheon of gods, its mythology, and
BENJAMIN ISH-SHALOM (2005)
its rituals have been augmented throughout the centuries by
the rise of more organized religious traditions passed on by
China: Buddhism, Confucianism, and to a lesser extent,
Daoism. One might reverse this picture, however, to also ob-
KORAN SEE QURDA¯N
serve that the success of these foreign traditions—particularly
Buddhism—was a function of their ability to accommodate
the primary practice of shamanism. The success of Christian-
KORE SEE DEMETER AND PERSEPHONE;
ity in Korea beginning in the late nineteenth century can be
ELEUSINIAN MYSTERIES
described in the same manner.
SHAMANISM AND STATE FORMATION. The history of the Ko-
rean peninsula can be traced back to about 4000 BCE, with
the Neolithic peoples. They lived by hunting, fishing, and
KOREAN RELIGION. The earliest religious practice
gathering and began the shift to agriculture in the third mil-
of the peoples of the Korean peninsula is a form of Siberian
lennium BCE. The basic social unit consisted of the clan, or
shamanism, or musok in Korean. Neolithic archaeological ex-
consanguineous social groupings that occupied distinct terri-
cavations on the peninsula have produced pottery with geo-
torial regions, and they differentiated among themselves
metric designs identical to those found in regions of Siberia,
through totemic practices. As the population increased,
Manchuria, and Mongolia, suggesting that Koreans of the
tribes were created through the merger of clans, primarily
Neolithic period (beginning around 4000 BCE) can be traced
through marriage.
back to the same ethnic stock. The label shamanism as the
native religion of Korea has encountered some definitional
The metallurgic technology of the Bronze Age spread
problems, however. Mircea Eliade supplied the essential defi-
down through the Korean peninsula between the first mil-
nition of shamanism as the technique of ecstasy, or the sepa-
lennium and 600 BCE and was brought by the Tungus, a sep-
ration of the soul from the body to journey to heaven or to
arate racial stock originating in central and southeastern Si-
the underworld. Modern Korean shamans do not undergo
beria. The merger of the two peoples led to an increase in
such flights of the soul. Instead, they become possessed by
political stratification, as the superior weapons of the Tungus
spirits, who “descend” into the shaman and speak through
led to the domination of the Neolithic inhabitants. Bronze
her. Ethnographic data contravenes the definitional prob-
implements, such as the mandolin-shaped dagger and the
lem, however, by attesting to the inherent diversity of sha-
knobbed mirror, were emblems of this new authority. The
manic practice even within central Asia itself. In central and
construction of dolmen tombs in this era also testifies to
eastern Siberia, for example, the possession séance predomi-
the ability of new leaders to command vast labor sources.
nates, as in contemporary Korea, whereas the soul flight is
During this era, distinct states evolved from tribal
more typical to the western and northern regions.
leagues and established themselves throughout the peninsula
Although musok is the most native and persistent form
and present-day eastern and southern Manchuria. They in-
of religious practice in Korea, surviving into the contempo-
clude the Puyo˘, in the region of the Sungari River (present
rary era, its position in Korean society experienced a sharp
day Manchuria); the Koguryo˘, just to the south, in the region
reversal between the ancient era and the advent of Chinese
of the Yalu River; the Okcho˘ and Tong-ye, in the central
cultural influence upon the Korean peninsula. In the earliest
peninsular region between the Taedong and Han Rivers; and
period, shamans (mudang, from the Mongolian/Tungus uta-
the three Han tribes—Mahan, Pyo˘nhan, and Chinhan—
gan) were males closely aligned to ruling powers, and sha-
south of the Han River in the southern tip of the peninsula.
manism was integral to the establishment of sacred kingship.
The strongest and most evolved “state,” however, was that
During the unified Silla, Koryo˘, and Choso˘n dynasties,
of ancient Choso˘n, in the northwestern region of the penin-
musok was regarded by ruling elites as a form of superstition
sula closest to China. The chieftan of this tribal confedera-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KOREAN RELIGION
5229
tion adopted the title of wang, or king, emulating the north-
With three thousand spirits, the son descended onto Mount
ern Chinese state of Yan during the decline of the Zhou
T’aebaek via the path of a sandalwood tree, under which a
dynasty. The dates of ancient Choso˘n largely parallel the
sacred altar was established. The realm was called the Sacred
Warring States period of China (403–221 BCE).
City, and the son was known as the Sacred King (ch’o˘nwang).
With the ministers of wind, rain, and cloud, the king ruled
During this era in which political organization became
the people.
more complex, shamanism manifested itself as an intimate
aspect of state formation. Shamans were males who possessed
At that time a tiger and a bear petitioned the king to
political as well as ritual power. With the development of he-
be made human. The king gave them mugwort and garlic
reditary rulership, the exercise of power maintained its reli-
as their food and instructed them to live in a cave for one
gious dimension by expanding the animistic belief system of
hundred days. The tiger failed to follow these instructions,
shamanism into ancestor worship and a belief in divine
but the bear succeeded, and it was rewarded by being trans-
kingship.
formed into a woman. The king married the Bear Woman,
and she gave birth to a son named Tan’gun. Tan’gun estab-
Shamanistic belief fundamentally entails the idea that
lished the nation of Choso˘n and ruled for fifteen hundred
all natural objects—mountains, rivers, trees, the sun, as well
years, until King Hu of Zhou (China) enfeoffed the nation
as human beings—are animated by a soul, or spirit. These
to Kija. Tan’gun departed for some time but then returned
spirits are divided between those that bring good fortune and
to Choso˘n and became the Mountain God.
those that bring ill. Human ancestors can be benign or trou-
blesome, depending on whether or not they have been prop-
The myth of Tan’gun is a synthesis of political and sha-
erly dispatched into the spirit world. In all cases, spirits are
manic narratives. The story explains the divine origins of the
forces that can be propitiated and controlled through the
founder of ancient Choso˘n. In addition, the story moves be-
technology of ritual. In the southern regions, “heavenly
yond mythic time into historical time, which is signified by
princes” (ch’o˘n’gun) engaged in ceremonial dance and chant-
reference to the Chinese state of Zhou. The historical aspect
ing to do their work. Chinese historical sources also attest to
of the narrative accounts for the ultimate displacement of the
ancient Korean tribal festivals uniformly associated with
Tan’gun dynastic line. The mythical portion of the narrative
points in the agricultural calendar such as the sowing and
is replete with shamanistic symbolism. Tan’gun appears to
harvest seasons. These celebrations entailed sacrifices to
be cognate to the Mongolian tengri and other central Asian
heaven on mountaintops or sacred groves. The use of drums
terms for heaven. The descent of the heavenly king Hwanin,
and bells at these festivals is characteristic of Siberian sha-
his son, and the three thousand spirits into the human world
manic practice. The drum, in particular, was an important
evokes the primary aspect of shamanic practice, which is the
instrument in creating the ecstatic trance that enabled Siberi-
descent of spirits. Mount T’aebaek, the sandalwood tree, and
an shamans to journey to heaven. Besides mountaintops, sa-
the sacred altar signify cosmic axes through which spirits de-
cred groves marked off by a bell and drum signified the pres-
scend and attest to the shamanic practice of sacrifices on
ence of spirits and functioned as ritual sites.
mountaintops and sacred groves. The three ministers of
wind, rain, and cloud are nature spirits that shamans propiti-
The belief in heaven, and a ruler of heaven (hananim
ate for the purpose of bringing good fortune, particularly by
or hanu˘nim), was the by-product of nature worship, particu-
making rain.
larly that of the sun, and was the basis for narratives about
divine kings who descended from the upper realm. A legend
The tiger and the bear, particularly the latter, function
from the state of Koguryo˘, for example, attests that its found-
as totem spirits in Siberia. The marriage of the king with the
er, Chumong, was conceived by the rays of the sun and final-
Bear Woman indicates the alliance of the solar clan with the
ly born of an egg. Each foundation myth of the ancient states
bear clan in the creation of the dynastic line. The connection
establishes the principle of sacred kingship by tracing the rul-
between political power and shamanic power is clearly de-
ing clan to a progenitor who is of heavenly origin. One of
noted by the successful transformation of the bear into a
the most complex, and certainly the most historically signifi-
woman: the conversion suggests the shaman’s initiation,
cant, of these foundation myths is the story of Tan’gun, who
which is enacted as a rite of death and rebirth signified by
is the progenitor of the state of ancient Choso˘n. Through an
the eating of special foods and submersion into the womb
analysis of this myth, one can discern the relationship be-
of a cave.
tween shamanism and kingship in the early period of Korean
Besides the ingredients of the Tan’gun myth itself, the
history, as well as the evolution of this relationship into the
preservation and use of the myth has maintained the connec-
political phenomenon of national identity in more recent
tion between shamanism and the state. The Tan’gun myth
eras.
was recorded in the thirteenth century by the Buddhist
The myth of Tan’gun. It is recorded that in ancient
monk Iryon (1206–1289), who compiled the miscellany of
times, the king of heaven (Hwanin) had a son who wished
legends and folklore known as the Samguk yusa. This unoffi-
to descend into the world of men. The king descended onto
cial compilation is one of the earliest sources available on Ko-
the three great mountains, and finally chose Mount T’aebaek
rean history and culture. Part of its title, samguk, refers to the
(presently in North Korea) as the site of his son’s domain.
Three Kingdoms period, when the states of Koguryo˘, Paek-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5230
KOREAN RELIGION
che, and Silla emerged in the fourth century as the most
south, and Silla in the southeast. In 475, the forces of
powerful states on the peninsula. The era endured until the
Koguryo˘ sacked the Paekche capital, forcing the latter king-
late seventh century, when victorious Silla emerged as the
dom into an alliance with Silla, its eastern neighbor. Silla in
first unified Korean state. The Samguk yusa, however, does
turn seized most of Paekche’s territory in the Han River Val-
not confine itself to the period of the Three Kingdoms. It
ley, as well as tribal territories along the Naktong River. By
begins with the founding myths of the earliest states, such
the seventh century, Silla was ready to challenge Koguryo˘.
as ancient Choso˘n, and proceeds through the united Silla up
The Chinese unification under Tang rule (618–907) provid-
until its fall to the Koryo˘ dynasty in 935.
ed Silla the needed ally to thwart its northern rival, which
posed a threat to China’s own northeastern boundary. By the
A centrally important fact about the Samguk yusa is that
end of the 660s, both Paekche and Koguryo˘ collapsed under
Iryon compiled it during the Mongol rule of Korea, which
combined Tang-Silla attack. Silla then drove off the Tang
commenced with the invasions of 1231 and 1254 and which
forces from the Korean peninsula, finally establishing its
solidified with the formal proclamation of the Mongol Yuan
northern border at present-day P’yo˘ngyang.
dynasty in 1271. The political and cultural humiliations that
Koreans endured under Yuan rule yielded a literary bounty
The pivotal role of China in the dynastic union of Korea
of prose tales, anecdotes, and poetry that aimed to preserve
under Silla rule was only one result of the opening of the Ko-
and enhance a sense of native identity. Not only do these
rean peninsula to relations with the Chinese. From the
sources appear in Samguk yusa, but the compilation of the
fourth century on, Korea states were increasingly drawn into
Samguk yusa itself was the result of this cultural preservation-
the Chinese cultural sphere, primarily through the adoption
ist impulse. The myth of Tan’gun, in particular, emerged
of the Chinese written language, Chinese Confucian texts,
into broad social consciousness and functioned as the foun-
and with that, Chinese statecraft. Buddhism was introduced
dation myth of all of Korea. This conceit solidified most
during this period as well, and regular pilgrimages by Korean
completely during yet another period of foreign rule—the
monks to China, as well as to India, elevated Korea into a
Japanese colonial era of the twentieth century (1910–1945).
new epoch of transregionalism. In the sixth century, Korean
After independence, the new Republic of Korea adopted a
monks from Paekche carried Buddhist texts to Japan, the
calendar based on the purported year of Tan’gun’s ascension
most famous being Hyeja, who served as tutor to the crown
to rule, in 2333 BCE. This calendrical system remained offi-
prince Sho¯toku Taishi (574?–622?). Paekche monks served
cial until 1961, when it was abolished by the military regime
as the primary transmitters of Chinese Buddhism and Chi-
of Park Chung Hee.
nese culture to Japan. Along with Buddhist scriptures and
Buddhist art, Korean artisans were sent to aid in the con-
The survival of Tan’gun mythology into the modern pe-
struction of Buddhist temples. In return, Japanese monks
riod can also be credited to actual musok practices. From the
traveled to Paekche for study.
beginnings of the Choso˘n dynasty (1392–1910), Tan’gun
shamanism was expressed most directly in the reascension of
THE IMPACT OF BUDDHISM. Buddhism was formally recog-
Tan’gun as a shamanic spirit. The precedent for this is given
nized by Koguryo˘ in 372; by Paekche in 384; and Silla in
in the original myth, where it is recounted that after Kija
529. These dates parallel the timing of each respective king-
took over the rule of ancient Choso˘n, Tan’gun became the
dom’s establishment of formal contacts with China. In this
Mountain God. In actual practice, however, Tan’gun be-
respect, not only was Buddhism a cultural import but, more
came the most prominent member of a “holy trinity”
importantly, it functioned as a vehicle of political relations.
(samso˘ng) that includes his father, the Sacred King, and his
The Samguk yusa relates that the Chinese missionary monk
grandfather, the Heavenly King. Tan’gun is to this day an
Sundo arrived in Koguryo˘ during the reign of King Sosurim
important member of the shamanic pantheon and is pictured
(r. 371–384), bearing scriptures and religious images. Sundo
as an old man of a decidedly Daoist flavor, mounted on a
was sent by King Fujian of the Former Qin (351–394), who
tiger. In October sacrifices are offered to Tan’gun on moun-
had defeated the Former Yan—an enemy of Koguryo˘.
taintops, the most significant one being Mount Mani on
Hence, Sundo was an envoy-missionary who came to cement
Kanghwa Island. Interestingly, the “holy trinity” is augment-
political relations between the two states. The ambassadorial
ed by five historical kings and fifteen culture heroes in the
nature of the visit is indicated by the fact that King Sosurim
Mani shrine. All of these individuals, dating from the earliest
made the extravagant gesture of meeting Sundo at the city
period of Korean history up to the twentieth century, are rec-
gate.
ognized as culture heroes. The shamans who deify them and
The political import of Buddhism in Koguryo˘ is aug-
petition them for national security and prosperity carry on
mented by the fact that Chinese Buddhism had already set
one of the oldest functions of shamanism—that of protecting
the precedent for close relations between kings and Buddhist
the state.
clergy, in the belief that the magical powers of Buddhism
SHAMANISM IN TRANSITION. The period of the Three King-
were capable of protecting the state. State interest and royal
doms, briefly mentioned above, was characterized by inner
patronage explain the rapid establishment of Buddhist tem-
struggles for political domination and union of the peninsu-
ples and the intense evangelization of the population. The
la, particularly by Koguryo˘ in the north, Paekche in the
large numbers of Korean monks who traveled to China 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
KOREAN RELIGION
5231
study and to Japan as missionaries during this early period
choice had direct, negative consequences for the continuing
was yet another facet of state patronage.
practice of musok. From its close association with kingship,
still symbolically visible in the royal regalia of Silla kings,
The transmission of Buddhism into Paekche came at
musok became the province of peasants who augmented their
the hands of the Serindian monk Mu˘lu˘nanda, who arrived
profession with fortune-telling and sorcery. To be sure, Bud-
via the Chinese state of Eastern Jin (317–420). It is similarly
dhism stretched its ideology in order to accommodate the
related that the Paekche king greeted the monk at the city
native Korean spirit world, and musok in turn incorporated
gate. In Paekche, too, Buddhism was established initially as
Buddhas and bodhisattvas into its pantheon. Beyond this,
a royal cult. The arrival of the first Buddhist monks in Silla
however, Buddhism ultimately trumped musok because of its
(from Koguryo˘), on the other hand, was met with suspicion
political support and because of the plasticity and sophistica-
and persecution on the part of the ruling elites—perhaps in
tion of the Buddhist belief system.
part because of their origins from a rival state. When a monk
cured King Nulchi’s (r. 417–458) daughter of an illness,
These latter qualities are particularly visible in Bud-
however, the royalty was converted. This story suggests that
dhism’s dissemination into the larger populace. The practice
the success of Buddhism in Korea hinged on its ability to rep-
of mortuary rites provides the best illustration. The afore-
licate key functions of shamanism. The curing of illness is
mentioned P’algwanhoe, from its early sixth-century origins,
the central element here, and the establishment of Buddhism
functioned as a feast for the dead, particularly for the spirits
as a state religion replicates the close ties between kingship
of men fallen in battle. From the early Koryo˘ period, the fes-
and shamanism in the pre-Buddhist period.
tival of Manghon-il (Day of the Dead) was celebrated on the
Throughout the unified Silla (668–935) and Koryo˘
fifteenth day of the seventh lunar month, and it had the same
(918–1392) dynasties, Buddhism maintained its status as a
function of propitiating the spirits of the dead. This festival,
state religion, and in this capacity it displaced the function
however, was quite explicitly enveloped in a Buddhist scrip-
and prestige of the mudang. As a direct result, the mudang’s
tural and ritual web, and it demonstrates the deftness with
social and political standing became decidedly ambiguous.
which the pervasive concern with ancestral spirits was inte-
The dynastic records of Koryo˘ describe the presence of mu-
grated into the Buddhist worldview.
dangs (who appear to have been primarily female) in the pal-
Manghon-il derives from the Chinese “ghost festival,”
ace and the fact that some court ladies and officials deferred
which emerged during the Tang dynasty. The festival got its
to them. On the other hand, the records also detail the perse-
charter myth from a popular tale about Mulien, a disciple
cution of mudangs by other officials and royal proclamations
of the Buddha, who journeys to the lowest of Buddhist hells
against “licentious” musok festivals within the city walls. The
in order to rescue his mother. The tale fuses the Buddhist
levying of taxes on mudang also suggests that the court
cosmology of rebirth and the Chinese value of filial piety, tes-
sought to discourage people from taking up the shamanic
tifying to the manner in which the ghost festival allayed the
calling. The records paint a picture in which most individu-
charge that Buddhist monasticism was antifamily. The festi-
als still adhered to the traditional cosmology of spirits and
val celebrated the emergence of the monastic community
believed in the efficacy of the mudang, but in which the rise
from its rainy season meditative retreat. By making dona-
of an official and elite ideology led to the repression of musok
tions of food, clothing, and other necessities to the monastic
as superstitious and morally corruptive.
community at this time (which also coincided with the har-
On the other hand, it is interesting to note that in over-
vest season), the laity reaped the benefit of the heightened
taking the role of state protector, Buddhism took on the very
ascetic and religious power of the monks, which translated
same ritual tasks so central to musok. The P’algwanhoe, a cer-
into significant karmic merit. This merit in turn was dedicat-
emony first performed in 572, was a state-sponsored Bud-
ed to the lay ancestors for the purpose of ensuring their favor-
dhist festival that ostensibly encouraged lay people to adhere
able rebirth.
to the eight ascetic precepts (p’algwan) of the monk. The
The Chinese ghost festival was a significant community
most significant aspect of the ceremony, however, was the
celebration that operated with the financial assistance and
prayers for the state, which consisted of spirit propitiation
ritual participation of the emperor. The Chinese Buddhist
as well as supplication of the Buddha. The Heavenly spirit,
canon acquired two su¯tras (Yulanpen and Offering Bowls to
mountain spirits, river spirits, and Dragon Spirit were regu-
Repay Kindness) that narrate how the historical Buddha him-
larly recognized in the annual festivals of the Koryo˘ era. The
self founded the ghost festival and that emphasize the key
other significant aspect of these festivals was their gaiety,
role of monks as intermediaries between ancestors and des-
being an occasion for singing, dancing, and feasting. Follow-
cendents. The festival and the texts demonstrate how Bud-
ing musok custom, entertainment was considered integral to
dhism was able to mythically and ritually co-opt the native
the task of pleasing the spirits and sending them on their
Chinese worship of ancestors. Transmitted to Korea, which
way.
also received the tale of Mulien, the Buddhist belief in re-
It might very well be claimed that the P’algwanhoe is
birth finessed the more fundamental fear of malicious spirits
simply a case of native shamanic practice in Buddhist garb,
and the need to properly dispatch them from the world of
but the more significant point is that the garb of official
the living. The P’algwanhoe reflects the idea that those 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
5232
KOREAN RELIGION
die violently or unexpectedly come back as disgruntled spirits
vigorously suppressed Buddhism but turned to it at the end
who harass the living through illness and misfortune. Aside
of his life, going so far as to build a temple within the palace
from the annual festivals, Buddhist monks were steadily em-
precincts. King Sejo (r. 1455–1468), who ruthlessly assumed
ployed to offer su¯tra readings at private funerals—a practice
the throne by murdering his nephew, the boy-king Tanjong,
that continues into the present day. The ability of Buddhism
also turned to Buddhism in the course of his reign.
to usurp the function of spirit propitiation was a key element
in the spread of Buddhism among the masses.
Choso˘n dynastic history is replete with royalty who not
only embraced Buddhist piety but who also shaved their
The mortuary rituals of musok may have remained com-
heads and put on Buddhist robes in the final chapter of their
petitive with Buddhist ones, but its cosmological beliefs were
checkered lives. These tendencies were shared by the minis-
simple in contrast to the great metaphysical and doctrinal
ters and officials, who were also vulnerable to swings in polit-
systems of Buddhism. During the united Silla, the rise of
ical fortune. The evidence of this appears in literary works
Buddhist doctrinal schools and renowned monks such as
that gave voice to personal feelings. The longing for nature
Wo˘nhyo (617–686) and U
˘ isang (625–702) established a
and retirement from political life was a persistent Buddhist-
learned religious tradition that was kept vibrant by frequent
Daoist theme in literati poetry, for example. Kim Sisu˘p
travel within an international community that included not
(1435–1493), Ho˘ Kyun (1569–1618), and Kim Manjung
only China and Japan but also India and Central Asia. Par-
(1637–1692) are some of the better known literati whose
ticularly in its missionary travels to Japan, Korean monks
lives and works of fiction testify to Buddhism’s continuing
acted the role of conduits of culture from the West. The full
centrality to the way Koreans understood the world. Bud-
emergence of Korea into the international scene bred an elite
dhism’s cultural presence straddled the social hierarchy,
culture and learned community that grew increasingly un-
reaching down to the peasants. Pure Land Buddhism and the
kind in its view of the native tradition of musok.
cult of Amida (Sanskrit: Amita¯bha) promised rebirth in the
THE CHOSO˘N ERA (1392–1910). When the military gener-
Western Paradise to all, and the compassion of Bodhisattva
al Yi So˘nggye (1335–1408) betrayed his Koryo˘ king to estab-
Kwanu˘m (Sanskrit, Avalokite´svara) promised intercession in
lish the Choso˘n dynasty (as King Taejo, r. 1392–1398), he
a variety of life’s difficulties.
chose Confucianism as the new state ideology. Buddhism
curried the favor of kings throughout the previous Koryo˘ pe-
If the fortunes of Buddhism officially waned during the
riod, but by the end of this era, the cultural and religious vi-
Choso˘n, the fate of musok was consistently dire, with its rites
tality of Buddhism had dissipated from privilege and came
routinely referred to as u˘msa, or “obscene.” Like Buddhism,
to pose an enormous financial burden on the state. Taejo
however, these ritual technologies maintained a secure place
looked, as in previous eras, to China for a model of state, but
on all levels of Korean society, and the tradition of musok
this time to Confucianism, paralleling China’s own ideologi-
formed the most basic substratum of folk religion. The
cal shift. Integral to the new state was a system of learned
musok rite, known as Kut (Tungus, kutu), means “happiness”
Confucian scholars who functioned as ministers and advisors
and “good fortune,” and it was performed for private indi-
to the king. Hence the official learning of the land became
viduals and families, as well as for the community. The basic
Confucian, although Buddhist learning and piety was never
categories of Kut, which continue to the present day, were
fully abandoned by the aristocracy (and royalty). Buddhist
mortuary rites for ancestors, healing rites, and good-luck rites
monasteries, however, were banished beyond the capitol to
that invoked heavenly and natural spirits, as well as village
remote mountains, and monks were reduced to the status of
tutelary gods. Significantly, mudang maintained their pres-
pariahs. In a sense, monks joined the ranks of mudang, and
ence even in the Choso˘n palaces, where special buildings
the intermingling of Buddhism and shamanism at the popu-
were prepared for them. The mudang who had access to these
lar level allowed Confucians to dismiss both as “super-
residences were known as kongmu, or “national shamans.”
stition.”
From the Confucian perspective, the most offensive as-
Official ideology, however, tends to paint a picture far
pect of Kut was perhaps its liminoid qualities, in which unin-
simpler than the richness and ironies of actual life. Choso˘n
hibited dancing and singing induced frenzied trance in the
kings and queens lived by the Confucian institutions that
mudang and the abandonment of decorum by everyone else
maintained the state—such as the Confucian education sys-
present. This is the reason behind the designation u˘msa, or
tem that supplied the court with its scholar-officials. These
obscene rites. The strict rules of relation between parents and
same kings and queens, however, routinely turned to Bud-
children, mothers-in-law and daughters in-law, and village
dhism in their private lives, particularly when vicissitudes in
hierarchies were temporarily suspended for cathartic celebra-
the exercise of power brought home the Buddhist message
tions in which spirits and humans enjoyed themselves and
that all worldly gains are ultimately empty. Taejo himself be-
entertained each other into a renewed harmony. Unlike
stowed the title of “Royal Preceptor” (wangsa) on the Bud-
Confucian ancestral rites, in which social order and familial
dhist monk Muhak (1327–1405), who functioned as his
obligations are sanctified, musok rites were dramatic, impro-
confidante and spiritual advisor. King Sejong (r. 1418–
visational affairs in which personal feelings and grievances are
1450), considered to be the most illustrious of Choso˘n kings,
aired by humans and spirits alike.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KOREAN RELIGION
5233
The significant difference between the Confucian con-
who is rewarded in the end. The prominence of female pro-
cept of ancestors and the human spirits propitiated by Kut
tagonists certainly reflects the preponderance of female mu-
bears elaboration here. The basic purpose of Confucian an-
dangs, who are also lowborn and socially disadvantaged. The
cestor worship is to define and revere the family line, which
plight of such women in these tales, however, came to repre-
is traced through the male side. The continuity of the clan
sent all of those who suffer from social inequity, includ-
is maintained through marriage and the birth of legitimate
ing, at times, the entire peoples of Korea under foreign domi-
male offspring. Firstborn sons carry out the ancestral rites,
nation.
which pay homage to agnatic ancestors who have bequeathed
P’ansori performances are given by a single storyteller,
property to the descendents. This selective definition of an-
the kwangdae, who narrates and acts out the characters.
cestors not only excludes collateral family members, such as
Much like the mudang, who summons a pantheon of spirits
second-born sons, daughters, secondary wives, and concu-
for the assembled participants, the kwangdae enlivens the
bines, but also eliminates anyone who has died a violent or
tale’s dramatis personae for an audience. A good performing
unnatural death. Musok, on the other hand, is attentive to
voice is a requisite for both mudang and kwangdae, both of
these very ancestors who have reason to be restless and trou-
whom are accompanied by the all-important drum. The
blesome to the living. In addition to those who die before
kwangdae’s only prop is a fan, which can stand for any object,
their time, there are others whose lives are “incomplete,”
and it is a standard implement (among many others) of sha-
such as females who never marry and mothers who fail to
manic Kut. The most compelling aspect of p’ansori perfor-
bear legitimate heirs. In addition, there are those who are dis-
mance is the kwangdae’s ability to improvise upon a standard
gruntled simply because they are ignored by their descen-
oral text and to customize it in interaction with the audience.
dents. It is these “polluted” ancestors to which musok at-
The livelihood of the mudang, too, rests upon her ability to
tends, not with the formality and decorum of Confucian
negotiate the Kut and bring her clients and spirits into a com-
rites but with complete abandon to interpersonal drama.
munication that is satisfying and therapeutic.
The inherent drama of the Kut, with its tradition of
THE MODERN PERIOD. Korea’s modern era begins in the
music, song, and dance, is not limited to family affairs. Sha-
late nineteenth century, when Japan, followed by the United
man songs (muga), particularly in the southern region of
States, the United Kingdom, and Germany, broke down the
Korea, took on the form of epic recitations that recount cre-
barriers of the “hermit kingdom” by insisting upon trade
ation myths and the stories of heavenly gods. The function
treaties. This enforced internationalization showed up the
of the recitation was to summon the spirits to the Kut. From
internal weaknesses of Korean society, particularly of its rul-
a purely cultural perspective, muga has become the repository
ers, and the outcome was loss of self-rule to the Japanese be-
of folk literature that exhibits popular Buddhist and Confu-
tween 1910 and 1945. Even after liberation from colonial
cian worldviews as well as shamanic beliefs. In the “Ballad
rule, Korea’s dependency on foreign powers led to the north-
of the Abandoned Princess” (Pari kongju muga), for example,
south division of the country under Soviet and U.S. patron-
a filial daughter travels to the underworld in order to fetch
age, respectively. On June 25, 1950, the communist north
medicine for her parents, in a tale quite reminiscent of the
launched an attack on South Korea, creating the civil conflict
story of Mulien. The saga is populated by bodhisattvas, as
that concluded three years later with the north-south division
well as the Buddha himself, and the plot is driven by the law
firmly reinforced.
of karmic retribution. The princess’s parents fall ill due to
their sin of abandoning their daughter, but the princess’s
The transmission of Christianity. The opening of
Confucian piety drives her to save her parents, nonetheless.
Korea to the West also meant the advent of Christianity. Je-
She is rewarded with deification, and her sons become the
suit missions in China in the seventeenth century led to a
Ten Kings of the underworld. This muga is recited during
modest infiltration of Catholicism into Korea. Although
mortuary Kuts to assist the dead safely through the under-
missionary attempts to gain entry into Korea largely failed,
world.
Jesuit tracts on Christian doctrine found their way in. In the
eighteenth century, these pamphlets drew the interest of po-
A cultural legacy of muga is a form of oral performance
litically disenfranchised aristocrats. Members of the namin
and storytelling called p’ansori that formed in the early eigh-
(“southern”) faction, in particular, formed themselves into
teenth century. P’ansori is secular entertainment that arose
a church after Yi Su˘nghun (1756–1801) received baptism
among the lower classes but that grew popular across all le-
from a priest in Beijing and returned to Korea to evangelize.
vels of society. Its limited repertoire of stories derives in part
Throughout the nineteenth century, however, the Korean
from muga. The tale of Simcho˘ng, in which a filial daughter
court suppressed Catholicism, in part due to fear of the
saves her blind father by sacrificing herself to the Dragon
namin, in part because of the importation of the rites contro-
King, survives both as a p’ansori tale and muga recitation.
versy from China. The major reason, however, was the asso-
The most popular of p’ansori tales—that of Chunhyang—
ciation of Catholicism with the aggression of Western pow-
also expresses the prototypical elements of the oppressed or
ers against Korea. During this period, Catholicism lost its
socially disadvantaged female who preserves her familial de-
foothold within the aristocracy and shifted largely to petty
votion (in this case, to her husband) despite severe trial, and
bureaucrats and peasants, whose persecution made them par-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5234
KOREAN RELIGION
ticularly receptive to a theology of suffering as represented
ond Vatican Council (1962–1965), other factors appear to
by the Passion of Christ. The Catholic population numbered
be at play. Protestantism was from the beginning compara-
around fifteen thousand in 1857 but was cut nearly in half
tively more open to native Korean culture, hence encourag-
by the Great Persecutions from 1866 to 1871, in which eight
ing deeper implantation. It translated the Bible into the Ko-
thousand Catholics were executed.
rean han’gul script, whereas Catholicism favored Chinese
translations. It chose the native Korean musok term hanu˘nim
The story is quite different for the Protestant evangeliza-
for God, whereas Catholicism favored the Sino-Korean
tion of Korea, which began even while Catholics were suffer-
ch’o˘nju, which imports a set of Chinese meanings. The explo-
ing martyrdom. The seminal event was the arrival in Man-
sion of evangelical Protestantism since the 1960s is notable
churia of the Scottish Presbyterian missionary John Ross
for its emphasis on faith healing, with its obvious parallel to
(1842–1915) in 1874. From there Ross succeeded in pub-
musok practice.
lishing a Korean translation of the New Testament, as well
as a dictionary and grammar of the Korean language. Hence,
Like Buddhism, Christianity swept into Korea with a
even before the arrival of official missionaries to Korea, a
wholly new and sophisticated complex of beliefs, rituals, and
Protestant Korean community existed in Manchuria, and the
institutions. The dramatic ascendance of a new religion in
circulation of the Bible and native evangelization had begun
Korea seems to rely upon a combination of such innate com-
in Korea itself. Before the end of the century, an array of
plexity, which inspires conversion and adherence, on the one
Presbyterian, Methodist, and Anglican missionaries from
hand, and an ability to adopt or equal key paradigmatic func-
Europe and America established themselves. When the
tions of Korean religiosity, on the other. The history and
American Presbyterian Dr. Horace Allen saved the life of
evolution of the syncretic religion known as Ch’o˘ndogyo
Prince Min in the wake of a palace coup in 1884, Western
(“Heavenly Way Teaching”) offers an interesting counterex-
medicine and Protestant missions received sanction from the
ample. Ch’o˘ndogyo initially began as the Tonghak (“Eastern
Korean king and queen. Dr. Allen’s petition to establish a
Learning”) movement led by Ch’oe Che’u (1824–1864),
Western medical institution—the Kwanghye-wo˘n—was
who was executed for being a Catholic. Tonghak was actually
readily granted and opened the following year.
a mixture of Christian, Buddhist, and Daoist elements with
The social and altruistic outreach of Protestant missions
a strong nationalist overlay. Its primarily characteristics,
was a significant factor in their missionary success. In addi-
however, are a belief in a supreme heavenly ruler and the
tion to hospitals, Protestants established the first modern
practice of healing. In spite of these central religious ele-
schools in Korea, creating the foundation for the contempo-
ments, the numbers of followers have dramatically declined
rary educational infrastructure, in which forty universities
in the course of the twentieth century. This suggests that
and nearly three hundred schools are of Christian prove-
Ch’o˘ndogyo is fated to be an epoch-specific movement that
nance. By the first decade of the twentieth century, semi-
could not long survive the death of its charismatic founder
naries were opened to train native clergy, and the first genera-
nor compete against the doctrinal and infrastructural sophis-
tion of Korean ministers was ordained prior to the Japanese
tication of Christianity.
annexation in 1910, when the Protestant population had al-
The survival of musok. The advent of Christianity in
ready reached 1 percent of the country. Protestant Christian-
Korea, as with the arrival of Buddhism in an earlier age, has
ity was the welcome harbinger of progress and new learning,
not spelled the demise of native shamanism. To be sure, the
and the Korean court and aristocracy looked increasingly to
modern age produced new adversaries of musok—Christians,
the West for aid and even personal protection.
Japanese colonialists, and communists alike vilified the per-
The phenomenal success of Protestantism made Chris-
sisting tradition as an ancient superstition in need of eradica-
tianity respectable overall, and by the turn of the century, the
tion. On the other hand, foreign aggression toward Korea,
fortunes of Catholicism had also improved. By 1880 the per-
as well as the north-south national division, spurred both
secution of Catholics had tapered off significantly, and by
scholarly and popular interest in musok as the survival of a
1900 there were ten native Korean priests. After surviving the
united folk (minjung) culture. As a result, in the twentieth
suppressions of the Japanese colonial government and the
century Korean and Western scholars devoted serious atten-
persecutions by the communist north, Korean Christianity
tion to musok and mudangs, providing detailed ethnographic
in the Republic of Korea entered a period of uninhibited
accounts of contemporary practice.
growth in the 1960s. The gap in Protestant and Catholic suc-
A notable feature thereof is the existence of two distinct
cess maintained itself, however. According to the 1995 na-
kinds of Korean shamans, the charismatic kangsinmu, who
tional census, self-identifying Catholics numbered almost
predominates in the northern and central parts of Korea (but
three million, whereas Protestant adherents reached nine
who can be found throughout the peninsula), and the hered-
million, representing 20 percent of the population.
itary sesu˘mmu, who are found in the southern Cho˘lla and
The extraordinary growth of Protestantism in the twen-
Kyo˘ngsang provinces. These latter mudang are also known
tieth century can be attributed initially to the goodwill gener-
as tan’gol mudang, named for the regional districts (tan’gols)
ated by its philanthropic and social activism. But with the
over which they preside, and they can be distinguished from
parity of the Catholic Church in these respects since the Sec-
the simbang of Cheju Island (located off the southern coast
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KOREAN RELIGION
5235
of Korea), which forms a distinct shamanic region. Both
dang will perform divination to determine the cause of the
tan’gol and simbang mudangs are sesu˘mmu who inherit the
misfortune and the necessary extent of the remedy. Most
authority to preside at shamanic rituals, but quite distinctive-
often, possession by troublesome spirits who have been ne-
ly, they do not experience the descent of spirits into their bo-
glected or ill-treated are the culprits. These ancestral spirits
dies. Their primary role is to entertain the gods with songs
or gods are placated by prayer and ritual offerings and then
and dances, but they do not interact directly with the spirits.
driven out, often through a sacrificial scapegoat such as an
animal or a doll.
True to the dynamic of institutional charisma, the he-
reditary shamans inherit their spiritual authority and main-
A full scale Kut is performed in the event of grave and
tain it through their ritual expertise. Shamanism in this in-
prolonged disease, assuming the adequate financial resources
stance is a family profession, and the personal history of the
of the sponsoring family. Its central element consists of the
shaman is not at issue, nor is her ability to be possessed by
descent of the spirit into the mudang. The identity of the
the gods. Personal contact with the gods, and their inherent
spirit is determined through divination, and the possessed
power, are in fact of secondary importance relative to the
mudang proceeds to talk, cajole, complain, cry, dance and
power of the ritual itself. As an institutionalized form of
otherwise interact with the assembled participants. The spir-
musok, hereditary shamanism functions as a cultural perfor-
it’s presence through the mudang’s body allows family mem-
mance that is as artistic as it is religious. The evolution of
bers to address departed relatives, often on matters of unre-
p’ansori from the mythic recitations of sesu˘mmu demon-
solved grief or misfortune—the deceased’s suicide or
strates how musok has expanded into a broader cultural tradi-
untimely death, for example. The outpouring of tears, re-
tion.
sentments, and feelings address not only past history and suf-
fering but ongoing conflicts between living family members
Kangsinmu, on the other hand, keeps alive the tradition
and/or neighbors.
of spirit possession that is at the center of shamanic practice.
Rather than inheriting their role, these mudangs typically ex-
Musok still has its image problems, particularly among
hibit symptoms of “spiritual sickness” that can last for years
the educated adherents of Confucianism, Buddhism, and
until they are initiated as mudangs through an exorcism Kut.
Christianity. The press toward modernization in South
The illness is believed to be caused by spirit possession, and
Korea since the 1960s, moreover, condemned shamanism as
the subject’s descent into physical and mental illness can only
irrational and regressive. It is interesting to note, however,
be cured by a shamanic ritual in which she identifies the god
that at the end of the twentieth century, barely half of the
inhabiting her body. From there on, the subject apprentices
population self-identified with the three aforementioned
herself to a senior mudang in a spiritual mother/daughter re-
“great traditions.” Although musok was not classified as a reli-
lationship until she becomes a fully initiated shaman. If the
gion with which to self-identify, its persistence is evident in
subject gives up this function as a mudang for a prolonged
its rehabilitation as native minjung culture. Since the 1980s
period of time, the spiritual illness returns.
South Korea’s emergence as a global economic power has ex-
pressed itself through the state’s rapid westernization, on the
The overwhelming majority of kangsinmu are female.
one hand, and through the self-conscious formation of a
The female-to-male ratio of mudangs is estimated to be be-
unique national identity, on the other. Hence, while private
tween 80 to 20 and 70 to 30. The term mudang is now re-
Kuts have been banned for being too noisy in urban areas
served for female shamans, generally, and male shamans are
such as Seoul, public performances routinely sponsored by
known as paksu. Although the ritual authority of sesu˘mmu
cultural centers and universities have taken their place. Ac-
is passed down through the male line, women also play the
cordingly, even Koreans who do not partake of Kut in a reli-
dominant role (except on Cheju Island), marrying into sha-
gious vein nevertheless affirm it as an important cultural per-
man families and apprenticing with the mother-in-law, who
formance.
passes on her ritual expertise. The son/husband learns how
to sing and play instruments for the purpose of assisting in
For their part, mudangs quite consciously embrace the
the mother’s/wife’s rites.
role of preservers of Korean culture and identity. The alliance
between musok and Korean nationalism took on an explicit
The gender disparity has led observers to note that
political dimension with the formation in 1971 of the Kore-
musok is a religious and cultural realm that empowers
an Spirit Worshippers’ Association for the Victory over
women, particularly of the lower class. The informal, impro-
Communism. The anticommunist sentiments of mudangs
visational, and intuitive qualities of shamanic rituals (partic-
can be traced back to their persecution under the North Ko-
ularly of the kangsin variety) also suggest a female domain
rean regime. This experience has spawned fear for their fate
in contrast to the formal and male-centered rituals of Confu-
in the event of a North Korean takeover of the South. The
cianism, Buddhism, and Christianity.
response has been to enhance the traditional role of the mu-
Kut is most often sponsored by a family or village in the
dang as a protector of the state. The modern musok pantheon
event of misfortune—typically diseases but also natural disas-
includes not only Tan’gun as the progenitor of the Korean
ters, accidents, and deaths. Before a full-scale Kut, which can
peoples but also military heroes who have defended Korea’s
last up to three days, is determined to be necessary, the mu-
sovereignty in the past. Kuts often include a portion known
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5236
KOREAN RELIGION
as the “state Kut” in which the mudang prays for the welfare
Syncretism of Buddhism and Shamanism in Korea (Seoul,
of the Republic of Korea and its president.
2002) consists primarily of separate discussions of the history
of these two traditions but offers useful considerations of
In the meantime, musok’s presence finds inroads even
contemporary syncretic practices. Her full translation of
into the newest of the great traditions—Protestant Christian-
three popular muga, or shamanic epic songs, is of particular
ity—in the form of minjung theology. Like liberation theolo-
value, but the analysis is limited to literary and structural in-
gies around the world, minjung theology speaks directly to
terpretation. A study of the historical evolution of the oral
the suffering of the ethnic and national community, caused
storytelling tradition of p’ansori from the synthesis of Bud-
by centuries of political and social misrule, both foreign and
dhist narrative elements and shamanic performance has yet
domestic. In underscoring the people, or minjung, as the pri-
to be written. Both the Hogarth titles and the Kim title are
mary theological entity, this indigenized Christianity parlays
published in the Korean Studies Series of Jimoondang Pub-
biblical narratives of emancipation and salvation into the
lishing Company of Seoul. These monographs consist to a
story of the Korean people. In defining the people, minjung
large degree of the personal reportage of the authors, who are
cultural insiders and who are aligned with the contemporary
theology looks in particular to cultural performances such as
native view that musok embodies an enduring cultural
musok, as well as to other folk traditions, as its locus.
tradition.
CONCLUSION. The history of religions in Korea is character-
Ethnographic studies of mudangs, particularly in terms of their ex-
ized by both innovation and conservatism. As a small penin-
perience as women, have been the norm of scholarship based
sular state subject to the presence and influence of much
in the West. Standard titles include Youngsook Kim Har-
mightier nations, Korea has embraced a steady flow of reli-
vey’s Six Korean Women: The Socialization of Shamans (St.
gious innovation in the forms of Buddhism, Confucianism,
Paul, Minn., 1979), which analyzes the life histories of kang-
and Christianity. These new traditions have been adopted
sinmu; and Laurel Kendall’s Shamans, Housewives, and Other
with a sense of ownership that at times sees itself as the most
Restless Spirits (Honolulu, 1985), which frames mudang rites
faithful bearer of the originally foreign religion. In this re-
and beliefs in relation to the social realities of Korean
spect, one can note the relative absence of xenophobic rheto-
women. Kendall followed up this work with The Life and
Times of a Korean Shaman: Of Tales and the Telling of Tales
ric against these adoptive traditions, in contrast to the history
(Honolulu, 1988). Roger L. Janelli and Dawnhee Yim Janelli
of, say, Buddhism in China and Japan.
detail the structures of Korean family, kinship, and class in
It is this same faithfulness that has preserved and perpet-
relation to ancestor rites in Ancestor Worship and Korean Soci-
uated the native shamanistic religion of musok throughout
ety (Stanford, Calif., 1982).
the periods of religious innovation. Although it has been vili-
A number of articles deal with the rise of folklorism in South
fied since the establishment of Buddhism, mudangs have pro-
Korea since the 1960s and the way musok, and peasant cul-
vided a fundamental technology for dealing with the basic
ture generally, have become the idealized foci of an anti-
predicaments of illness and misfortune—predicaments that
foreign minjung ideology. Kim Kwang-ok’s “Rituals of Resis-
visit the privileged and the educated as well as the poor.
tance: The Manipulation of Shamanism in Contemporary
While lacking in doctrinal and metaphysical sophistication,
Korea,” in Asian Visions of Authority, edited by Charles F.
Keyes, Laurel Kendall, and Helen Hardacre (Honolulu,
musok conveys a therapeutic, interpersonal, performative,
1994), looks at how Kut rituals have been adapted by univer-
and communal value that accounts for its longevity and per-
sity students into dramas of political protest against the state
vasiveness.
in the 1970s and 1980s; and Chungmoo Choi’s “Hegemony
and Shamanism: The State, the Elite, and Shamans in Con-
BIBLIOGRAPHY
temporary Korea,” in Religion and Society in Contemporary
The most general introduction to Korean religions is offered by
Korea, edited by Lewis R. Lancaster and Richard K. Payne
James Huntley Grayson’s Korea—A Religious History, 2d ed.
(Berkeley, Calif., 1997) traces the emergence of a culture in-
(New York, 2002). Its attention to Korean shamanism is rel-
dustry in which media, scholarship, and political conflict
atively brief compared to other religions, but it nevertheless
drive the rise of superstar shamans who function as culture
offers a comprehensive survey of Korean religious history.
specialists and performers.
Grayson’s Early Buddhism and Christianity in Korea (Leiden,
Two articles on Christianity in the previously mentioned volume,
Netherlands, 1985) considers more closely the factors that
Religion and Society in Contemporary Korea, are worthy of
led to the implantation of these religions in Korea, and his
mention. Kwang-ok Kim’s “Ritual Forms and Religious Ex-
Myths and Legends from Korea (London, 2001) deals with na-
periences: Protestant Christians in Contemporary Korean
tive Korean materials, such as the Tan’gun myth.
Political Context” links the explosion of evangelical Protes-
English-language scholarship on Korean shamanism by Korean
tantism in the 1970s and 1980s with its political conserva-
scholars has proliferated in the past few decades. Mono-
tism and its alliance with the government, and looks also at
graphs worthy of mention begin with Kim Tae-kon’s Korean
its indigenous, including shamanistic, elements. Donald
Shamanism—Muism (Seoul, 1998), which focuses on con-
Clark’s “History and Religion in Modern Korea: The Case
temporary rituals, beliefs, and social organization. Hyun-key
of Protestant Christianity” looks particularly at the develop-
Kim Hogarth’s Korean Shamanism and Cultural Nationalism
ment and beliefs of minjung theology and the question of its
(Seoul, 1999) consists of the same general introductory ma-
relation to shamanism. A native voice that clearly affirms the
terials but includes a useful discussion of the Tan’gun myth
relationship can be found in theologian David Kwang-sun
in relation to Korean national identity (chapter 6). Hogarth’s
Suh’s Theology, Ideology, and Culture (Hong Kong, 1983), 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
KORESH, DAVID
5237
which he invokes the hybrid category of the “Christian
He was born Vernon Howell on August 17, 1959, in
mudang.”
Houston, Texas, to Bonnie Clark, a fifteen-year-old unwed
FRANCISCA CHO (2005)
mother. (It was not until he was thirty-one years old, in Au-
gust 1990, that he legally changed his name to David Koresh
based on his own messianic claims.) Howell’s grandmother,
KORESH, DAVID.
Earline Clark, assisted in his upbringing during his early
On Sunday morning, February
years. His mother married Roy Haldeman in 1964.
28, 1993, David Koresh (1959–1993), the messianic leader
of the small band of approximately 130 followers known as
Howell grew up in various east Texas towns and eventu-
the Branch Davidians, dramatically captured headline atten-
ally dropped out of high school in the tenth grade. He
tion throughout the United States. The Bureau of Alcohol,
worked as a carpenter and took various other odd jobs. As
Tobacco, and Firearms (ATF) had staged an armed raid on
early as junior high school, he showed an avid interest in
Mount Carmel, the Branch Davidians’ communal residence
three things: playing the electric guitar, working on old cars,
outside Waco, Texas. The rambling wood-frame building
and studying the Bible. He had an uncanny ability to memo-
was home to forty-one men, forty-six women, and forty-
rize, and as a teenager could quote hundreds of chapters of
three children under age eighteen, all fiercely loyal to their
the Bible with word-for-word exactitude.
leader.
KORESH’S SPIRITUAL DEVELOPMENT. When Howell was
The ATF arrived at the property in an eighty-vehicle
twenty years old he was baptized into his mother’s Seventh-
convoy including two cattle car trailers loaded with seventy-
day Adventist Church in Tyler, Texas. He avidly accepted
six heavily armed agents, while three helicopters circled over-
the basic doctrines of the Adventist denomination, including
head. A fierce gun-battle followed, lasting for several hours
its belief that the nineteenth-century founder of the move-
and leaving four ATF agents killed and twenty wounded.
ment, Ellen G. White (1827–1915), was a divinely inspired
Koresh and four of his followers were also wounded and six
prophetess of the last days.
others were fatally shot. Who shot first remains in dispute.
Although Howell amazed all who heard him with his
The ATF had a warrant authorizing it to search for im-
knowledge of the Bible, he was a vocal and controversial fig-
properly registered firearms. Koresh, claiming that the stock-
ure and began to develop certain apocalyptic views consid-
pile of weapons the Branch Davidians collected were all le-
ered heretical by his church, causing his membership to be
gally acquired and were for self-defense in case the
revoked. He was convinced that the “living voice of prophe-
government did try to interfere with its activities, said that
cy” had surely not ceased when Sister White died in 1915.
he had nothing to hide and that when the agents charged the
He maintained that the Seventh-day Adventist Church had
building with guns blazing he and his followers had acted in
become complacent, lethargic, and worldly, having lost the
self-defense. The ATF maintained that its attempt to serve
original apocalyptic fervor generated in 1844 by the preach-
the warrant was met with a hail of bullets. Koresh and his
ing of William Miller (1782–1849).
followers refused to exit the building and surrender.
KORESH AND THE BRANCH DAVIDIANS. In 1981 Howell vis-
With federal agents dead the Federal Bureau of Investi-
ited, and subsequently joined, the Branch Davidian commu-
gation (FBI) was immediately called in and took over what
nity headquartered on the Mount Carmel property ten miles
became a fifty-one-day stand-off that attracted worldwide
outside Waco, Texas. At the time, the group was led by Lois
media attention. Although Koresh agreed to send out a se-
Roden, a former Seventh-day Adventist in her late sixties,
lected group of thirty-five, mostly elderly folk and children,
who claimed to represent a continuation of the prophetic in-
eighty-three Branch Davidians remained through the entire
spiration that had once resided with White. The origins of
period. (Six Branch Davidians were off the property at the
the group trace back to 1934 when Seventh-day Adventist
time of the raid.)
Victor Houteff (1885–1955), a Bulgarian immigrant to the
United States, broke with the parent body to form his own
The stand-off ended on April 19, 1993, when the FBI
movement that he called the Davidian Seventh-day Advent-
attempted to force Koresh and his followers to surrender by
ists. He was convinced of his own prophetic gifts and saw
an assault with tanks equipped to disassemble the building
as his divinely appointed mission the gathering of a final
while inserting a military-grade tear-gas inside. After several
remnant group of God’s faithful (144,000 taken from Reve-
hours, and not a single surrender, a fire mysteriously broke
lation 7) before the imminent second coming of Christ. Lois
out and the entire place quickly went up in flames. How the
and her husband, Ben Roden, had assumed leadership of the
fire began, and who might have been responsible, remains
group in the early 1960s and the name Branch Davidian
unresolved. At the end of the day, Koresh and seventy-three
took hold. The Branch Davidians emphasized four main be-
of his followers were dead, including twenty-one children.
liefs in contrast to the parent body:
Only nine followers managed to escape the fire.
K
1. A living succession of contemporary prophets following
ORESH’S EARLY YEARS. Before this tragic confrontation
with U.S. federal authorities David Koresh was virtually un-
White.
known outside his tiny band of followers, the bulk of whom
2. The calling together of a remnant group of God’s faith-
were living with him in Texas.
ful and obedient followers.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5238
KORESH, DAVID
3. The imminent return of Christ and his literal worldwide
wives and sire children who were destined to rule with him
reign in Jerusalem.
in Jerusalem as King of the Earth. While Jesus would main-
tain his heavenly rule at the right hand of God, Koresh inter-
4. The observance of the biblical Jewish festivals such as
preted the second coming of Christ as the coming of a second
Passover, Pentecost, and the Feast of Tabernacles.
Christ. Like Jesus, he, too, would be slain by his enemies,
Howell’s fervor, dedication, and particularly his vast knowl-
but would be resurrected thereafter to establish the Kingdom
edge of the Bible served him well. It became obvious to all
of God on Earth. Those faithful Branch Davidians who re-
that he was becoming Lois Roden’s anointed successor, de-
mained with him to the end would have places of honor in
spite the opposition of her son, George. The two traveled to
the new world government.
Israel together in 1983, and rumors of a sexual relationship,
KORESH’S FINAL YEARS. In 1989 Koresh dissolved all mar-
and even a nonlegal “wedding,” were rampant. (Ben Roden
riages among the Branch Davidian members and instituted
died in 1978, three years before Howell’s arrival.) In 1984
a policy of celibacy for the group. He promised each person
George Roden and Howell got into a gunfight when Roden
that he or she would find his or her true soul mate when the
claimed he could raise a deceased member of the group from
Kingdom of God arrived. He took several of the women,
the dead and Howell was trying to take a photograph of the
some underage, and others previously married, as his own
corpse to show to the sherriff’s department. By this time Ho-
wives and fathered twelve of the children who died in the
well was claiming to have received the Seventh Angel’s Mes-
fire. Koresh claimed these special children were the firstborn
sage mentioned in Revelation 10:7, thus joining the ranks of
of the new millennial generation, uncontaminated by the
seven inspired end-time prophets that included, as Koresh
corruptions of society. (Although Koresh and his followers
counted them, Miller, White, Houteff, his wife Florence,
had been previously investigated for allegations of child
and Ben and Lois Roden.
abuse the Texas authorities had found no substance to the
charges.)
THE COMING OF A SECOND CHRIST. In 1984 Howell legally
married Rachel Jones, the fourteen-year-old daughter of
Koresh prided himself as a Texan and a legal gun owner
longtime Branch Davidian Perry Jones and Mary Jones. By
exercising his constitutional rights. The group was adamant
this time he had become the dominant influence in the
that the stockpile of weapons they collected were all legally
group and several of the leading members had accepted his
acquired and were for self-defense in case the government
claim to be the herald of the final prophetic message before
did try to interfere with their activities. Koresh had prepared
Christ’s return. In 1985 Howell and now-pregnant Rachel
his followers for a final confrontation with the forces of Bab-
visited Israel where he, like Jesus of old, hoped to confound
ylon, as he called them. However, he expected that to happen
the rabbis in Jerusalem with his prophetic message.
in 1995, and in Jerusalem, not in Texas. The irony in the
whole Waco tragedy is that the FBI unwittingly delivered
It was there he had his greatest and most defining reli-
to Koresh and the Branch Davidians a kind of preemptive
gious experience. He claimed that he was taken up to heaven,
apocalypse—but in a place and at a time that they never an-
that he was shown and taught all the prophetic mysteries of
ticipated.
the Bible, and that he was given the ability to open the book
“sealed with seven seals” mentioned in Revelation 6. Implicit
SEE ALSO New Religious Movements, articles on New Reli-
in this claim was the idea that Howell had become a kind
gious Movements and Millennialism, New Religious Move-
of second Christ or Messiah figure, in that he, as the chosen
ments and Violence, and Scriptures of New Religious
“Lamb,” was the only one in Heaven or on Earth empowered
Movements; White, Ellen Gould.
to open the Seven Seals. He subsequently took the name
Koresh, the Hebrew name for the Persian king Cyrus, who
BIBLIOGRAPHY
Lewis, James R., ed. From the Ashes: Making Sense of Waco. Lan-
is actually called a “messiah” in Isaiah 45:1. Just as the an-
ham, Md., 1994. An edited collection of essays dealing with
cient Cyrus conquered the Babylonian empire, Koresh saw
various aspects of the Waco events.
himself as a kind of spiritual counterpart who would van-
Moore, Carol. The Davidian Massacre: Disturbing Questions about
quish the forces of the “Babylonian” governments of the
Waco Which Must Be Answered. Franklin, Tenn., 1995. A
world. The first name David signified his spiritual link with
sharply polemical indictment of the Federal mishandling of
the messianic line of King David of ancient Israel.
all aspects of the Waco situation.
David Koresh never claimed to be Jesus Christ, though
Reavis, Dick J. The Ashes of Waco: An Investigation. New York,
1995. A balanced account, but mostly critical of the govern-
he did claim that as a kind of second or final messiah, he had
ment, by a seasoned reporter who spent months investigating
received the same level of inspiration that Jesus had received
after the tragedy.
at his own baptism. He referred to this as the “Christ-spirit.”
Tabor, James D., and Eugene V. Gallagher. Why Waco?: Cults and
He pointed to messianic texts such as Psalm 40 and 45 that
the Battle for Religious Freedom in America. Berkeley, Calif.,
he was convinced predicted the coming of a final “sinful”
1995. A full account that not only covers Waco and the the-
messiah who would appear at the end of the age. Not only
ology of Koresh and his followers but also explores the more
would this figure have the normal weaknesses and “sins” of
general issue of when and how groups get the label of “cult”
any ordinary human being, but he would marry multiple
in our 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
KOTLER, AHARON
5239
Thibodeau, David, and Leon Whiteson. A Place Called Waco: A
BIBLIOGRAPHY
Survivor’s Story. New York, 1999. One of the only full ac-
A complete bibliography on Kosmas would include more than
counts from a member of the group who lived through the
two thousand items. The best work on him and his times is
siege and survived the fire.
Markos A. Gkiokas’s Ho Kosmas Aitolos kai h¯e epoch¯e tou
(Athens, 1972). The most complete account of his teachings
Wessinger, Catherine. How the Millennium Comes Violently: From
in English is my own book Father Kosmas, the Apostle of the
Jonestown to Heaven’s Gate. New York, 2000. Contains a
Poor (Brookline, Mass., 1977).
chapter on “Waco” that offers a wider interpretation related
to millennial visions and the issue of violence.
NOMIKOS MICHAEL VAPORIS (1987)
Wright, Stuart A., ed. Armageddon in Waco: Critical Perspectives
on the Branch Davidian Conflict. Chicago, 1995. An excellent
collection of academic essays dealing with all aspects of Waco
KOTLER, AHARON (1892–1962), was a rabbi and
and the matter of “cults” in our society.
prominent educator in eastern Europe and the United States.
J
A child prodigy, Kotler was sent as a youth to study in the
AMES D. TABOR (2005)
famous musar-yeshivah of Slobodka (near modern-day Kau-
nas, Lithuania), which emphasized Talmudic studies as well
as ethics and self-improvement. After his marriage to the
KOSMAS AITOLOS (1714–1779), also known as Fa-
daughter of Isser Zalman Meltzer, the head of the yeshivah
ther Kosmas, was a Christian saint, priest, monk, popular
in Slutsk, White Russia, Kotler moved to Slutsk and began
preacher, and educator. Kosmas was born in Aitolia, Greece,
to teach in the yeshivah. In the wake of World War I he
and received his elementary education in his home province.
moved the yeshivah from the Soviet-controlled area to Kletzk
After spending some time as a teacher, he entered the theo-
in Poland. There he became one of the best-known figures
logical academy on Mount Athos then headed by Eugerios
in Polish rabbinical circles. He was the youngest member of
Voulgares, one of the eminent Greek educators of the eigh-
the Council of Scholars and Sages of Agudat YisraDel.
teenth century. Shortly afterward, Kosmas became a member
In 1935 Kotler visited the United States, where he dis-
of the monastery of Philotheou (one of the twenty monaste-
cussed the need for an American yeshivah that would be de-
ries of Mount Athos), where he later was ordained a priest.
signed not for the training of rabbis and religious profession-
Within a year, Kosmas felt called to leave the monastery
als but for the study of Torah for its own sake. The
and become an itinerant preacher. With the permission of
discussions came to naught and he returned to Poland.
the patriarch of Constantinople, Serapheim II (r. 1761–
Following the German occupation of Poland, Kotler
1763), Kosmas began his preaching ministry, which lasted
immigrated in 1941 to the United States, where he was to
until his death by hanging in 1779 at the hands of the Otto-
have his most lasting influence. He was driven by the con-
man authorities, who accused him of, among other things,
cern that with the destruction of the yeshivot in eastern Eu-
being a Russian spy.
rope, new centers of Torah study would have to be estab-
What alarmed the Ottoman authorities was the great
lished in America. Despite widespread doubt that the
popularity enjoyed by Kosmas. His honesty and direct man-
atmosphere of intense Torah study that had prevailed in east-
ner of preaching in the language of the people, his reputation
ern Europe could be re-created in the United States, Kotler
for sanctity, his frequent visits to remote villages and ham-
persevered and in 1943 established the Beit Midrash Gevo-
lets, and his total disregard for material possessions caused
hah in Lakewood, New Jersey. The school was designed for
hundreds, sometimes thousands, of men and women to fol-
students of post-high-school age, and its curriculum was
low him while he traveled from village to village.
made up solely of religious studies with no admixture of sec-
ular studies. The school grew rapidly and by the 1980s had
Kosmas preached a gospel of love and concern for the
more than eight hundred students. Active in the Jewish day-
fair and just treatment of women and children. In addition,
school movement as well, Kotler also helped to intensify Jew-
he laid great stress on education, founding ten secondary
ish education on the primary level. One result of his influ-
schools and over two hundred elementary schools. Often he
ence was a decrease of cooperation between Orthodox and
secured both teachers and funds for these schools. He be-
non-Orthodox Jewish groups, for he was strongly opposed
lieved that an educated laity would be able to rise to a higher
to the participation of Orthodox bodies in associations that
standard of moral and ethical living and thus be better pre-
included Reform or Conservative rabbis.
pared to resist the temptation, due to discrimination as well
as social and economic pressures, to convert to Islam. Kos-
BIBLIOGRAPHY
mas can truly be credited with effecting enormous changes
There is no full-scale biography of Aharon Kotler. An interesting
in education and in the moral behavior of the people of west-
and highly complimentary study of the Beit Midrash Gevo-
ern Greece and southern Albania.
hah, which deals, of course, with Kotler, is Sidney Ruben
Lewitter’s “A School for Scholars” (Ph. D. diss., Rutgers
Honored as a saint in his lifetime, Kosmas remains one
University, 1981). Much relevant material can also be found
of the most popular saints of the Greek Orthodox church.
in William B. Helmreich’s The World of the Yeshiva (New
He has been given the sobriquet “teacher of the nation.”
York, 1982).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5240
KOU QIANZHI
New Sources
families, and the extragovernmental levies of grain or silk
Finkelman, Yoel. “Haredi Isolation in Changing Environments:
(zumi) to support them, which tended to create subgovern-
A Case Study in Yeshiva Immigration.” Modern Judaism 22
mental enclaves within the state. The code was also directed
(2002): 61–82.
against the sexual ritual known as the “union of vital forces”
SHAUL STAMPFER (1987)
(heqi), which was seen as a threat to public morals. It is for
Revised Bibliography
these reasons that when in 424 Kou Qianzhi arrived in the
Northern Wei capital of Pingcheng (in Shanxi), he was ea-
gerly welcomed by such diverse constituencies as the non-
KOU QIANZHI (373–448), Celestial Master (tianshi)
Chinese Tuoba rulers and the Confucian-oriented minister
at the Northern (Tuoba) Wei court between the years 425
Cui Hao (381–450). It was Cui Hao who sponsored Kou’s
and 448, an office that marked a unique era of Daoist ascen-
induction into the Northern Wei administrative hierarchy
dancy in Chinese political history. A member of a tradition-
as Celestial Master in 425.
ally Daoist gentry family of Fengyi (Shaanxi), Kou at an early
In his alliance with Kou Qianzhi, Cui Hao had his own
age developed an intense interest in such occult sciences as
agenda. He was the scion of an old Chinese gentry family
astrology, alchemy, and knowledge of transcendental herbs.
that looked forward to the restoration of a unified Han rule
At about the age of thirty (c. 403) he went into reclusion on
over the fragmented non-Chinese kingdoms of the north and
the western sacred peak of Mount Hua (Shaanxi) with his
the weakened Chinese exilic regimes of the south. Cui uti-
master the Daoist adept Chenggong Xing (d. 412?), a stu-
lized Kou’s essentially conservative Yunzhong yinsong as a
dent of the Buddhist monk and mathematician Shi Tanying
spiritual base from which he could promote his own goals.
(d. before 418), who had been a colleague of the great Cen-
He saw to it that the Yunzhong yinsong was promulgated to
tral Asian translator Kumarajiva while the latter was in
every corner of the Tuoba Empire, which at its peak included
Chang’an (modern Xi’an) between 402 and 413. After a
nearly all of China north of the Yangtze River and by 439
brief sojourn on Mount Hua the two traveled to the central
appeared ready to incorporate the south as well. He also took
sacred peak, Mount Song (in Henan). Chenggong died after
advantage of the confidence placed in him by Emperor
seven years, and Kou continued his cultivation of Daoist arts
Taiwu (r. 424–452) to institute some reforms of his own.
alone on the mountain. In 415 he was rewarded with a visita-
These culminated in the devastating purge of the Buddhist
tion from the deified Laozi (Taishang Laojun), who delivered
clergy and the proscription of the Buddhist religion and con-
to him a document labeled Yunzhong yinsong xinke zhi jie
fiscation of its monasteries between the years 444 and 446.
(Articles of a new code to be chanted to Yün-chung musical
Kou Qianzhi has been accused of instigating the attacks in
notation), which corresponds to the Laojun yinsong jiejing of
the present Daoist canon (Harvard-Yenching Index No.
an attempt to eliminate a rival faith, but this is unlikely, al-
784). At the same time the god revealed to him certain secret
though his acquiescence is probable. His own master,
breathing and calisthenic techniques, and soon he began to
Chenggong Xing, had studied with Buddhist teachers and
attract disciples. Eight years later, in 423, when he was fifty,
had inculcated in his disciple a high regard for the foreign
he was visited again by a divine being, this one a Li Puwen,
faith. Kou seems to have acquiesced in Cui Hao’s purges pri-
who identified himself as Laozi’s great-great grandson (xuan-
marily because they were also aimed at local heterodox cults
sun). Li Puwen presented Kou with a second document, Lutu
(yinsi). It was these pockets of popular religion where blood
zhenjing (The true scripture of talismanic designs). It has not
sacrifices and other unacceptable forms of worship were still
survived, but was probably similar to other collections of tal-
practiced which Kou, as head of an established Daoist ortho-
ismanic designs (fantastic characters) that can be found in
doxy, could not tolerate.
the canon.
Kou Qianzhi’s term as Celestial Master is sometimes
The Yunzhong yinsong appears to have been influenced
compared to a theocracy because of the unique establishment
indirectly by translations of the Buddhist Vinaya that had re-
of religion in the Northern Wei state, in which the Celestial
cently appeared in China. It set forth rules for the selection
Master as pontifex maximus mediated between the celestial
and ceremonial roles of religious officers and the conduct of
divinities and the earthly ruler. The climax of Kou’s career
ceremonies, confessionals, and charitable feasts (chuhui), and
was the inauguration of the reign period “Perfect Ruler of
laid down principles for moral behavior among the “chosen
Grand Peace” (Taiping Zhenjun), which lasted from 440 to
people” (zhongmin), that is, among the adherents of the Ce-
451. The title was unmistakably Daoist, recalling the ideal
lestial Masters Sect (Tianshi Dao). The code seems to have
of universal peace proclaimed by the Yellow Turban leader
been directed specifically at reforming certain practices that
Zhang Jue in 184. His movement, known as the Way of
had emerged since the founding of the sect by Zhang Daol-
Grand Peace (Taiping Dao), was presumably based in turn
ing in the late second century and that were now felt to pose
on teachings found in the Scripture of Grand Peace (Taiping
a threat to civic order in the Northern Wei state. These in-
jing). In a magnificent public ceremony conducted on a
cluded the apocalyptic expectation of messianic deliverers
newly constructed Daoist platform (tan) south of the capital,
(who often turned out to be fomenters of rebellion), the he-
on New Year’s Day of the year 442 Kou Qianzhi, splendidly
reditary transmission of religious offices within particular
arrayed in Daoist robes, personally presented to Emperor
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KRAEMER, HENDRIK
5241
Taiwu certain sacred talismans (fulu) in recognition of the
and of how he viewed religio-historical data “in the light of
emperor’s sage virtue as “Perfect Ruler.” The ceremony insti-
Christ, the ‘kritikos’ of all things,” four publications deserve
tuted a tradition of Daoist investiture that was continued by
special attention. The earliest of these is the article “Geloof
the Tuoba states well into the next century. The “theocracy,”
en Mystiek” (Faith and Mysticism), which appeared in the
however, ended with Kou’s death in 448. Four years later
missionary journal Zendingstijdschrift “De Opwekker” 79
Taiwu was murdered by a palace eunuch. His successor,
(Bandeong, Netherlands Indies, 1934). Next is Kraemer’s in-
Wencheng (r. 452–465), was an ardent Buddhist and in an
augural address in Leiden, De Wortelen van het Syncretisme
orgy of penitential restitution reestablished Buddhism as the
(The Roots of Syncretism; 1937). Third is the study “Vor-
state religion. Under him began the construction of the mon-
men van Godsdienstcrisis” (Forms of Crisis of Religion),
umental cave-temples of Yungang that have come down to
originally published in Mededelingen der Koninklijke Neder-
the present day.
landse Akademie van Wetenschappen, Afdeling Letterkunde,
n.s. 22 (1959): 103–134, and later reissued as a booklet (Ni-
SEE ALSO Daoism, overview article, article on the Daoist
jkerk, n.d.); it is based on four lectures given in 1959 on the
Religious Community.
place of the history of religions in the faculty of theology. Fi-
nally, of particular interest are Kraemer’s remarks on W.
BIBLIOGRAPHY
The primary source for Kou Qianzhi is the “Monograph on Bud-
Brede Kristensen (who was his predecessor at Leiden) in the
dhism and Daoism” (Shi Lao zhi) in fascicle 114 of the Wei
introduction to Kristensen’s The Meaning of Religion, edited
shu (Beijing, 1974), pp. 3048–3055. The Daoist portion has
by John B. Carman (1960).
been translated by James R. Ware in “The Wei Shu and the
Sui Shu on Taoism,” Journal of the American Oriental Society
Without ever abandoning his earlier thesis of a disconti-
53 (1933): 215–250. The most complete study of this text
nuity between the biblical revelation and all forms of reli-
is found in Tsukamoto Zenryu¯’s Gisho Shakuro¯shi no kenkyu¯
gion—most radically expressed in his 1938 study for the
(Kyoto, 1961), pp. 313–356. An annotated text of the “Arti-
Tambaram conference—Kraemer tried later, in his own
cles of a New Code” attributed to Kou Qianzhi may be
words, “to improve upon” that view of “the non-Christian
found in Yang Liansheng’s “Laojun yinsong jiejing jiaoshi,”
religions [as] . . . great human achievements” by paying
Bulletin of the Institute of History and Philology, Academia
careful attention to “the religious consciousness as the place
Sinica 28 (1956): 17–53. Two secondary studies are my own
of dialectic encounter with God” (Religion and the Christian
“K’ou Ch’en-chih and the Taoist Theocracy at the Northern
Faith, p. 8). He affirmed religiosity as a fundamental aspect
Wei Court, 425–451,” in Facets of Taoism, edited by Holmes
of human structure and as manifesting the permanence,
Welch and Anna Seidel (New Haven, 1979), and Anna Sei-
del’s “The Image of the Perfect Ruler in Early Taoist Messia-
amid various forms of religious crisis, of the sensus divinitatis
nism: Lao-tzu and Li Hung,” History of Religions 9 (1969–
and semen religionis “whatever the content of the ‘divinitas’
1970): 216–247.
and whatever the quality of the ‘semen’” (“Vormen van God-
sdienstcrisis,” p. 134). As the notion of “communication,”
RICHARD B. MATHER (1987)
including communications between people of different tradi-
tions, became a key concern for Kraemer in the later years,
he stressed the need for participants in an interfaith dialogue
KRAEMER, HENDRIK (1888–1965), was a Dutch
to “be open to new insights through the instrumentality of
historian of religions. Kraemer spent his professional career
contact with one another,” and he called for “a real openness
mainly in three significantly different settings: working with
to truth wherever it may be found” (World Cultures and
the Dutch Bible Society in Indonesia (1921–1935), serving
World Religions, pp. 356–365).
as professor of the history and phenomenology of religions
at the University of Leiden (1937–1947), and functioning
From 1938 onward the debate on Kraemer has focused
as the first director of the Ecumenical Institute Chateau de
on his theological views, and relatively little attention has
Bossy in Switzerland (1948–1955). His guest lectureships in-
been given to the question of the extent to which his theolog-
cluded, among many others, a stay at Union Theological
ical perspectives and the categories derived from them influ-
Seminary in New York (1956–1957), and the Olaus Petri
enced his description and analysis of world religions.
Lectures at the University of Uppsala (February 1955).
Beginning with the Second International Missionary
BIBLIOGRAPHY
Conference held in Tambaram, India (December 1938),
Kraemer’s extensive studies of Islam include his doctoral disserta-
Kraemer played a major role in the ecumenical theological
tion, Een Javaansche Primbon uit de estiende eeuw (Leiden,
discussions on the relations between Christian faith and
1921); “Eenige grepen uit de moderne Apologie van de
other religions. His works The Christian Message in a Non-
Islam,” Tijdschrift voor Indische Tall-, Land- en Volkenkunde
Christian World (1938), Religion and the Christian Faith
75 (1935): 1–35, 165–217; and Een nieuw geluid op het ge-
(1956), and World Cultures and World Religions: The Coming
bied der Koranexegese (Amsterdam, 1962). Kraemer discussed
Christian-Muslim relations in “L’Islam, une religion, un
Dialogue (1960) explore this theme.
mode de vie: L’Islam, une culture; Points de confrontation
Among the less well known titles that are important for
entre l’Islam et le Christianisme,” Revue de l’évangélisation 41
an assessment of Kraemer’s work as a historian of religions
(1959): 2–38; “Die grundsätzlichen Schwierigkeiten in der
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5242
KRAMRISCH, STELLA
Begegnung von Christentum und Islam,” in Neue Begegnung
She was throughout her work intellectually curious, alive to
von Kirche und Islam, edited by Walter Holsten (Stuttgart,
contemporary art but unfazed by intellectual fashions. One
1960), pp. 15–27; and “Islamic Culture and Missionary Ad-
of her late essays was written for an exhibition of the artist
equacy,” Muslim World 50 (1960): 244–251.
Francesco Clemente.
For a bibliography of Kraemer’s works, see Carl F. Hallencreutz’s
One of Kramrisch’s first experiences in India was to visit
Kraemer towards Tambaram (Lund, 1965), pp. 309–317. A
the great cave-temple dedicated to S´iva on the island of Ele-
comprehensive list of biographies and works of appreciation
can be found in Jacques Waardenburg’s Classical Approaches
phanta in Bombay’s harbor. Her long meditation on that
to the Study of Religion, vol. 2, Bibliography (The Hague,
deity led to an authoritative essay, “The Image of Mahdeva¯
1974), pp. 133–135.
in the Cave-Temple on Elephanta Island,” published in the
Archaeological Survey of India’s Ancient India in 1946; to
New Sources
her exemplary catalog and exhibition for the Philadelphia
Perry, T. S. “The Significance of Hendrik Kraemer for Evangelical
Theology of Religions.” Didaskalia 9, no 2 (1998): 37–59.
Museum of Art, Manifestations of Shiva (1981); and to her
definitive personal study, The Presence of S´iva, in 1981.
Perry, T. S. Radical Difference: A Defence of Hendrik Kraemer’s
Kramrisch’s final reformulation, “The Great Cave Temple
Theology of Religions. Waterloo, Ont., 2001.
of S´iva in Elephanta: Levels of Meaning and Their Form,”
WILLEM A. BIJLEFELD (1987)
appeared in 1984 in the proceedings of an international sym-
Revised Bibliography
posium held at the University of Pennsylvania in association
with her S´iva exhibition.
Kramrisch’s lifetime meditations on S´iva and the pro-
KRAMRISCH, STELLA (1896–1993), was an art
cesses and stages of his manifestation were personal, rich, and
historian and educator who specialized in the arts and cul-
fruitful. She saw his quintessential form at Elephanta finally
tures of South Asia. Born in 1896 in Moravia (then Austrian
as that of the eternal S´iva (S´ad’iva¯) and drew parallels be-
crown land, later a part of Czechoslovakia), Kramrisch
tween his three stages of emergence and the concept of a “tri-
worked steadily through a long century of intellectual fer-
ple body” for the Buddha. Her long exposure to India’s
ment. She died in Philadelphia in 1993. Trained in part as
myths and texts forms a rich mosaic in her later scholarship,
a dancer, she brought firm visual skills to her analysis of
impressionistic and literary in its presentation but deeply lay-
India’s artistic legacies and strong European standards to her
ered and felt (her students nicknamed The Presence of S´iva
insights into India’s intellectual and ritual worlds. Many
the “Stella Pur n:a¯”).
myths mask her personal history; her work was always the
Kramrisch’s early art-historical work in India moved her
legacy she wished observed. She introduced European art-
gradually from an ideological position brought from Europe
historical methods to many of her students in India, and her
to one recognizing India’s praxis. She responded deeply to
take on indigenous understandings of India’s art to many
first-century BCE Buddhist sculptures from Bharhut and to
students in the West. Her early labors were based on field-
the aesthetic merits of art in the Gupta period (c. fifth centu-
work and work with pundits on texts, and her interests
ry CE). She matched texts to techniques to study Ajanta’s
ranged widely—from temple architecture and iconography
Buddhist painting, explored medieval Kerala in South India,
to folk and textile arts—with a powerful commitment to all
and finally focused her prodigious efforts on the Indian tem-
of the material cultures of South Asia.
ple. Combining close knowledge of monuments with a study
Kramrisch was trained in Vienna and London—and by
of available texts, Kramrisch attempted to restore knowledge
long living in India—with older mentors such as Joseph Str-
of indigenous meanings to the Indian temple and its forms.
zygowski and Rudolf Steiner and, as prewar peers, such
Articles appeared over many years in U
¯ pam and the Journal
scholarly companions as Ananda Coomaraswamy, Alain
of the Indian Society of Oriental Art, both of which she edited
Daniélou, Louis Renou, and Heinrich Zimmer. She traveled
in Calcutta; then finally, written in sight of the Himalayas,
first to India in 1921, presenting herself at Rabindranath Ta-
her essential two-volume study The Hindu Temple was pub-
gore’s Vishva-Bharati University at Shantiniketan, where she
lished by Calcutta University in 1946. Both essential and es-
lectured until she was appointed at the University of Calcutta
sentializing, Kramrisch’s volumes returned the temple’s ar-
the next year.
chitecture from a century of archaeological caretakers to its
meaning as a manifest form of divinity. What they do not
Kramrisch moved from Calcutta to Philadelphia in
do is approach issues of daily and changing ritual. The histo-
1950, invited by the Sanskritist W. Norman Brown to teach
ry of Hindu architecture became instead “an exchange of
in the newly formed Department of South Asia Regional
forms within a community of symbols” (Kramrisch, 1946,
Studies at the University of Pennsylvania. She served as cura-
p. 220). Without Kramrisch’s emphasis on the temple’s sym-
tor of Indian art at the Philadelphia Museum of Art from
bolic scaffolding, however, religious and architectural studies
1954 to 1979 and as emeritus curator until her death. Fol-
in South Asia might never have met.
lowing her retirement from the University of Pennsylvania
in 1969, she continued to train graduate students at the In-
Following publication of The Hindu Temple and
stitute of Fine Arts in New York for another two decades.
throughout her many years in Philadelphia, Kramrisch 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
KRISHNAMURTI, JIDDU
5243
bined curatorial entrepreneurship of a high order—
Meister, Michael W. “Display as Structure and Revelation: On
organizing groundbreaking exhibitions, including The Art of
Seeing the Shiva Exhibition.” Studies in Visual Communica-
Nepal (1964) and Unknown India: Ritual Art in Tribe and
tion 7, no. 4 (1981): 84–89. This review is a tentative explo-
Village (1968) as well as The Manifestations of S´iva
ration of Kramrisch’s intuitive understandings of art and
(1981)—with continuing text-based scholarship that in-
display.
creasingly sought for the origins of symbolism in Vedic liter-
Meister, Michael W., ed. Discourses on S´iva. Philadelphia, 1984.
ature. The essays “Linga,” “Eka-Vratya,” and “The Indian
These are proceedings of an international symposium on reli-
Great Goddess” were in part preparation for her major study
gious imagery held in conjunction with Kramrisch’s Mani-
festations of Shiva exhibition in Philadelphia.
The Presence of S´iva (1981), but in part they also document
Kramrisch’s retreat from her early encounters with praxis in
Miller, Barbara Stoller, ed. Exploring India’s Sacred Art. Philadel-
India at a time when a new generation of scholarship had
phia, 1983. This well-edited selection of a lifetime of Kram-
begun to delineate “temple Hinduism” through much differ-
risch’s widely disbursed essays has a biographical introduc-
tion by Miller and a bibliography of Kramrisch’s writings by
ent means. The fabric of her perceptions, however, contin-
Joseph M. Dye III.
ued to inform her deep engagement with the objects of India
under her care, her sensuous and impassioned response to
Percy, Ann, and Raymond Foye, with essays by Stella Kramrisch
and Ettore Sottsass. Francesco Clemente: Three Worlds. Phila-
which remains a great part of her lasting legacy. That she was
delphia, 1990. Kramrisch throughout her life engaged with
able to restore a religious dimension to an art and architec-
living artists. Clemente’s interactions with Kramrisch and
ture largely subsumed by orientalist agendas, and to do so
India are particularly fascinating.
in the name of indigenous knowledge, had roots in early-
twentieth-century thinking but flowered in India, fed by her
MICHAEL W. MEISTER (2005)
living experiences as well as her scholarship. Her methodolo-
gies were as layered, personal, and reimagined, as are reli-
gious and aesthetic experiences themselves.
KRATOPHANY SEE POWER
BIBLIOGRAPHY
Kramrisch, Stella. Indian Sculpture. Calcutta, 1933. This is an in-
comparable attempt to bring a European-trained vision to re-
KRISHNA SEE KR:S:N:A
create indigenous categories for India’s sculpture. Where
Kramrisch is led by her eyes, not by European theories, her
observations still can seem revelatory.
KRISHNAMURTI, JIDDU (1895–1986), an Indi-
Kramrisch, Stella. The Hindu Temple. Calcutta, 1946. This is
an spiritual leader, attained fame through his presentation of
Kramrisch’s definitive achievement. Initially planned as an
a unique version of Indian philosophy and mysticism in a
introduction to an album of photographs by Raymond Bur-
charismatic, even mesmerizing style of lecturing that attract-
nier, these volumes have become a monument of twentieth-
century scholarship.
ed large audiences around the world. Although Krishnamurti
taught a philosophy that seemed to border on atheism, it is
Kramrisch, Stella. The Art of Nepal. New York, 1964. By means
clear in his authorized biography that throughout his life he
of this Asia Society exhibition, Kramrisch first introduced
was subject to a profound spiritual purgation. This purgation
New York to the important art of this previously closed Hi-
came to be called “the Process” and suggested to those who
malayan kingdom.
witnessed it that his “higher self” departed from his body and
Kramrisch, Stella. Unknown India: Ritual Art in Tribe and Village.
entered into what appeared to be a transcendent state of con-
Philadelphia, 1968. Kramrisch used her major exhibitions in
sciousness. This state was accompanied at times by severe
the United States to break new ground, here introducing the
pain in his head and back. The suffering accompanying this
art world (and in part India too) to “subaltern” artistic tradi-
tions she valued as much as India’s courtly cultures.
experience occurred only under certain circumstances and
did not impede his teaching work. In fact, it was understood
Kramrisch, Stella. “The Indian Great Goddess.” History of Reli-
to contribute to the exalted state in which Krishnamurti
gions 14 (1975): 235–265. This essay, a major example of
knew the oneness with all life and the unconditioned free-
Kramrisch’s later scholarship, combines an understanding of
dom that he tried—through his continual lecturing and the
the importance of India’s essentialized “great” goddess and
of her myriad and multiple sources.
books, tape recordings, and videotapes published by his
organization—to convey to thousands of persons under his
Kramrisch, Stella. Manifestations of Shiva. Philadelphia, 1981.
influence.
Kramrisch worked on this major exhibition for more than a
decade to summarize her involvement with and knowledge
Krishnamurti was born in Madanapalle, a small town
of the great god S´iva.
in what is now the state of Andhra Pradesh, north of Chen-
Kramrisch, Stella. The Presence of S´iva. Princeton, N.J., 1981. It
nai (Madras). He was of brahman caste. His mother, San-
is difficult to say whether this volume, in which Kramrisch
jeevama, died when Krishnamurti was ten years old. His fa-
reprocesses all her knowledge of S´iva’s myth, is a supplement
ther, Narianiah, cared for Krishnamurti and his brothers
to the exhibition above or the other way around.
until he retired from government service and was granted
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5244
KRISHNAMURTI, JIDDU
permission to move to the estate of the Theosophical Society,
ings he referred to himself in a way that implied he was
located at Adyar, just outside Chennai. This move occurred
speaking as the World Teacher. (Krishnamurti’s brother,
in January 1909, when Annie Besant was the international
Nityananda, died of tuberculosis in Ojai, California, on No-
president of the Theosophical Society. Her close collaborator
vember 13, 1925; Krishnamurti’s struggle with the ensuing
was Charles W. Leadbeater, whose clairvoyant powers, he
sorrow was formative of his judgment about the “bondages
claimed, enabled him to recognize Krishnamurti’s potential
of the mind.”) However, the articulation of his own special
for spiritual greatness when he observed the boy’s aura as he
teachings alienated him from the inner circle of the leader-
was playing on the beach at the seaside edge of the Theo-
ship of the Theosophical Society, including Besant, Leadbe-
sophical Society estate.
ater, George Arundale, and C. Jinarajadasa, each of whom
Leadbeater and Besant taught that the Lord Maitreya,
claimed to have received communications from the masters
the World Teacher, would become incarnate in this age in
consisting of instructions for the Theosophical Society that
a manner similar to the way S´ri Kr:s:n:a (the Hindu deity) and
were contrary to Krishnamurti’s increasingly independent
Jesus had appeared in the world in earlier eras. They taught
course. In 1926 Krishnamurti dissolved the Order of the
that the Lord Maitreya was a master residing in the Himala-
Star, built up by Annie Besant, an organization of about thir-
yas in a place described by Leadbeater in a metaphorical and
ty thousand members expecting the World Teacher. Besant’s
symbolic manner. The Lord Maitreya occupied the office of
death in 1933 ended Krishnamurti’s ties to the Theosophical
the Christ or the bodhisattva in the occult hierarchy of mas-
Society. Krishnamurti was repudiated for some time by lead-
ters. Leadbeater and Besant expected that a portion of the
ing officials of the Theosophical Society. However, Jinaraja-
consciousness of the Lord Maitreya would occupy an appro-
dasa’s successors to the presidency of the Theosophical Soci-
priate vehicle to present a teaching that would raise humani-
ety, Nilakanta Sri Ram and Radha Burnier, sought cordial
ty’s awareness of unity and lead to a “new civilization.” Kr-
relations with Krishnamurti.
ishnamurti was a likely candidate to become the vehicle for
There was no apparent single turning point in the devel-
such a manifestation, but it remained for him to be trained
opment of Krishnamurti away from and beyond the confines
and tested before he could actually take on such a role.
of the role created for him in the Theosophical Society by
Krishnamurti and his brother Nityananda, usually
his early mentors Leadbeater and Besant. It is undoubtedly
called Nitya, were understood to have been “put on proba-
true that Leadbeater had a dominating and charismatic per-
tion” (i.e., rigorously tested and prepared for spiritual leader-
sonality in his own right. Krishnamurti was the center of an
ship) by a master in the occult hierarchy named Kuthumi on
extensive circle of young people who faithfully followed
August 1, 1909, when Krishnamurti was fourteen years old.
Leadbeater in the work of the Co-Masonic Order and the
From that time onward Krishnamurti was nurtured and fi-
Liberal Catholic Church and other subsidiary organizations,
nancially supported by a circle of upper-class English and
including the Order of the Star, that provided—and mostly
American men and women and was under the scrutiny of
continue to provide—a total way of life for members of the
the larger group of Theosophists who saw him at public
Theosophical Society. Krishnamurti had been appointed a
gatherings.
further pivotal figure in the formation of one of these groups,
Krishnamurti and Nitya left India in 1911 for their first
the Bharata Samaj, which offers a reformed Hindu ritual,
visit to England. After their return to India, Krishnamurti’s
based on Vedic mantras and traditional ceremonies, for
father allowed Krishnamurti and Nitya to be taken back to
Hindu members and others in the Theosophical Society.
England for education by Besant, signing a document to that
Under Leadbeater’s direction, Krishnamurti had performed
effect in 1912. By the end of 1912 Narianiah had filed suit
the first public rite of the Bharata Samaj, in effect as its first
against Besant to regain custody, charging that Leadbeater
priest. (Priesthood of women is also allowed in the Bharata
and Krishnamurti were involved in a sexual relationship. In
Samaj.) One can suppose that Krishnamurti’s own internal
1914, after a judgment against her in the Indian courts, Bes-
spiritual dynamic had finally profoundly rejected the com-
ant won an appeal to the Privy Council in London. Both she
plex system of organizations and rituals increasingly promot-
and Leadbeater were exonerated from the charges brought
ed by Besant, Leadbeater, and other leaders of the Theosoph-
by Narianiah. Krishnamurti and Nitya remained in England
ical Society, as they believed, under the guidance of the
during this period and were prepared by a tutor for university
masters. There is no other apparent explanation than a mat-
studies. However, Krishnamurti was not able to pass the en-
ter of temperament on Krishnamurti’s part to reject these de-
trance examinations and never obtained a university degree,
velopments.
although he studied for many years privately and learned En-
Ever afterward, Krishnamurti continued to express the
glish, French, and some Sanskrit.
emergence of his spirituality from a type of experience be-
From about 1920 on, Krishnamurti’s extraordinary gifts
yond all physical and particularly mental forms. It was the
as a public lecturer and his independent viewpoint on the
offering of that ultimate abstraction from all the inherited
spiritual quest became evident. He spoke more and more fre-
limitations of the million-year-old human brain (that he
quently at gatherings of the Theosophical Society in India,
liked to refer to in evolutionary terms) that was the cause he
the Netherlands, and North America. At some of these meet-
promoted tirelessly until his death in his ninetieth year. 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
KRISHNAMURTI, JIDDU
5245
his most committed followers, it was this radical insight that
water, a mountain stream which has never been
drew them to try to grasp his teachings. To others in the
touched by human mind or hand. (Jayakar, 1986,
Theosophical Society and elsewhere, his teaching was incom-
pp. 392–393)
prehensible. In his later years Krishnamurti sometimes made
From 1968 to 1986 Krishnamurti was involved in an in-
comparisons between what the Buddha had taught and what
creasingly bitter dispute with D. Rajagopal, Rosalind Rajago-
he taught, and he also accepted such comparisons. But that
pal (D. Rajagopal’s divorced wife), and other officials and
seemed to be as far as he would go in defining his status.
workers in the company called Krishnamurti Writings, Inc.,
Pupul Jayakar records the context of these extensive discus-
and in other organizations controlled by D. Rajagopal. Raja-
sions and dialogues in Krishnamurti: A Biography (1986).
gopal had been an associate of Krishnamurti’s from the early
Krishnamurti’s work as an independent teacher eventu-
days of their connection with the Theosophical Society.
ally combined two approaches. First, he traveled around the
As the World Teacher—however it was understood—
world on a schedule of lectures. In India he spoke often in
Krishnamurti for many years did not take an active role in
Chennai and Bombay, and occasionally in Delhi and Bana-
the management of the groups that gathered monetary con-
ras. He lectured at Saanen in Switzerland, Brockwood Park
tributions and gifts of properties and undertook to publish
in England, and New York City and Ojai, California, in the
his many books. Rajagopal was in charge of most of these
United States. Second, he founded several schools in the
enterprises to the extent that he even allocated pocket money
United States, Canada, Europe, and India, where students
to Krishnamurti for expenses while traveling.
through high school age are instructed in ways to reduce ag-
When the disputes finally erupted openly, from Krish-
gression and to aid in acquiring Krishnamurti’s universal in-
namurti’s point of view, Rajagopal appeared to have mis-
sight. In his later life he participated in various dialogues
managed the work for his personal gain. Krishnamurti insti-
with groups or individuals from the scientific community on
tuted legal proceedings in California, England, and India to
the possible connection between his teachings and contem-
recover money, property, and even publication rights to his
porary theories of, for example, physics. One of the last
own books. Rajagopal countersued, and approximately four
books he published, The Ending of Time (1985), was cowrit-
major legal proceedings with various settlements developed.
ten with David Bohm, a professor of theoretical physics at
Krishnamurti severed all ties with Rajagopal’s organizations.
Birkbeck College, University of London.
In their place he established the Krishnamurti Foundation,
which in the early twenty-first century is his designated orga-
Scattered throughout the Krishnamurti writings and in
nization to disseminate his teachings.
the various transcripts of discussions and dialogues are re-
ports of the unusual psychic experiences of Krishnamurti
It is important to note and even study the issues that
when he was in touch with the source, beyond language or
were raised in the conflict between Krishnamurti and Raja-
thought or the vacillations of the emotions, that convinced
gopal, because they are representative of the difficulties faced
him of the correctness of what he taught. The following pas-
by the successors of a spiritual teacher who try to preserve
sage from Jayakar’s biography was given in a dialogue in Jan-
both the integrity of the teaching and some kind of organiza-
uary 1980 in Bombay and speaks of the certitude Krishna-
tion that will guarantee the survival of the teacher’s charisma
murti had that he was in touch with that which is beyond
for future generations. Various strategies are in operation,
all limitations. The reader must judge whether Krishnamurti
but the most viable seems to be the appointment of someone,
has succeeded in this and other similar statements in portray-
or of a group of individuals, who can embody and transmit
ing the underlying reality or “emptiness” upon which he
the charisma. The twelve apostles of Jesus Christ are exem-
tried to construct the language to propose his doctrine of an
plary of this formula. Krishnamurti did not choose that route
absolute freedom for himself and humanity as a whole. It is
of succession and transmission. He seemed to believe that
on such a judgment that claims made about Krishnamurti
under a kind of corporate banner of his own devising—the
as a World Teacher should be based.
Krishnamurti Foundation—his work can continue. The the-
oretical basis for the analysis of these issues in one of the
Recently, when I was in Rishi Valley [the location of his
Hindu systems is in Charles S. J. White’s article “Structure
school in southern India], a peculiar thing happened.
and the History of Religions: Some Bhakti Examples”
For several nights, one actually touched the source of
(1978).
the energy of all things. It was an extraordinary feeling,
not from the mind or brain, but from the source itself.
S
And that has been going on, in Madras and here. It is
EE ALSO Besant, Annie; Theosophical Society.
as though one was totally isolated—if one can so use
that word without a sense of withdrawal. There was a
BIBLIOGRAPHY
sense of nothing existing except “that.” That source or
Mary Lutyens’s biographies, Krishnamurti: The Years of Awaken-
feeling was a state in which the mind, the brain, was no
ing (New York, 1975) and Krishnamurti: The Years of Fulfil-
longer in operation—only that source was in opera-
ment (New York, 1983), were, according to Lutyens, read by
tion. . . . So I am extremely careful to see that that
Krishnamurti prior to their publication, and their factual
thing remains pure. The word pure means clear, un-
contents and interpretations were approved by him. Emily
spotted, not corrupted. It is like pure water, distilled
Lutyens, Candles in the Sun (London, 1957) (Mary Lutyens’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
5246
KRISTENSEN, W. BREDE
mother) recounts her relationship with Krishnamurti during
gy. After a year, however, he switched to the study of lan-
the time she and others took charge of his welfare in adoles-
guages, which he later continued in Leiden and Paris. In ad-
cence and early manhood. The bond between them was one
dition to Latin, Greek, and Hebrew, he studied ancient
of the closest in Krishnamurti’s life.
Egyptian, Assyrian, Sanskrit, and Avestan. He did his disser-
Krishnamurti’s own Krishnamurti’s Notebook (New York, 1976)
tation research in the British Museum in London on Egyp-
contains firsthand descriptions of “the Process.” Alcyone [J.
tian ideas of the afterlife and then returned to Kristiania to
Krishnamurti], At the Feet of the Master (Wheaton, Ill.,
study and lecture on the ancient Zoroastrian text, the Avesta.
2001), has run to more than forty editions since it was first
In 1901 he was appointed to the chair of his teacher C. P.
published in 1910. It recounts teachings from the Master
Tiele (1830–1902) at the University of Leiden, where he re-
Kuthumi that Krishnamurti received during astral projection
while asleep and under the guidance of Leadbeater. For an
mained professor until his retirement in 1937; he lived in
analysis of the esoteric side of Krishnamurti’s life experience,
Leiden until his death in 1953. After World War II he re-
as against the often-repeated claims that Krishnamurti com-
turned briefly to Norway to give a course of introductory lec-
pletely rejected occultism and religion in general, see Aryel
tures on history of religions (posthumously published both
Sanat [Miguel de Sanabria], The Inner Life of Krishnamurti:
in Norwegian as Religionshistorisk studium, 1954, and in a
Private Passion and Perennial Wisdom (Wheaton, Ill., 1999).
Dutch translation by Mevrouw Kristensen). Much of Kris-
Radha Rajagopal Sloss, Lives in the Shadow with J. Krishnamurti
tensen’s scholarly work consisted of papers dealing in some
(Reading, Mass., 1991), by D. Rajagopal’s daughter, re-
detail with various specific aspects of religious life in the an-
counts her long association with Krishnamurti but also criti-
cient Near East. Many of the papers were presented at the
cizes Krishnamurti and justifies her parents’ actions. To re-
annual meetings of the Dutch Royal Society. They were col-
fute Sloss, the Krishnamurti Foundation published Statement
lected and published in two volumes in Dutch, Verzamelde
by the Krishnamurti Foundation of America about the Radha
bydragen tot kennis der antieke godsdiensten (Collected Con-
Sloss Book “Lives in the Shadow with J. Krishnamurti” (1995);
tributions to the Knowledge of the Ancient Religions; 1947)
Mary Lutyens, Krishnamurti and the Rajagopals (1996); and
and Symbool en werkelykheid (Symbol and Reality; 1954).
Erna Lilliefelt, History of the KFA: Report on the Formation
of Krishnamurti Foundation of America and the Lawsuits
Kristensen rejected the prevailing evolutionist theory of
Which Took Place between 1968 and 1986 to Recover Assets
his teacher and predecessor C. P. Tiele and tried to base his
for Krishnamurti’s Work (1995), which contains much legal
understanding of a given religion on its believers’ own esti-
documentation. Catherine Lowman Wessinger, Annie Besant
and Progressive Messianism, Studies in Women and Religion,
mate of it; he found such estimates expressed in written doc-
vol. 26 (Lewiston, N.Y., 1988), discusses the role of Krishna-
uments, in languages he himself had learned to read. He be-
murti as the World Teacher promoted by Annie Besant.
lieved that the religions of the ancient (preclassic)
Pupul Jayakar discusses her personal relationship with Krish-
Mediterranean and Near East each had a distinctive nature
namurti and records his ideas extensively and historically in
but that all shared important underlying features basic
Krishnamurti: A Biography (San Francisco, 1986). As with
enough to make comparison among them extremely fruitful.
much else written about Krishnamurti, this work contains
The aim of such comparison is not to define certain general
little analytical apparatus to help the reader understand its
ideas, such as the meaning of sacrifice, but to illuminate the
subject. Charles S. J. White, “Structure and the History of
meaning of some particular practice. In this respect the sys-
Religions: Some Bhakti Examples,” History of Religions 18,
no. l (1978): 77–94, discusses the issues surrounding a spiri-
tematic work of the phenomenologist always remains in the
tual leader’s succession and the transmission of his or her
service of the more particular investigation of the historian.
ideas.
For Kristensen, however, there was in practice very little dif-
ference, because he was interested neither in a philosophical
CHARLES S. J. WHITE (1987 AND 2005)
theory of historical development in religion nor in tracing
stages in the development of a particular religion. For him
historical change becomes significant at the point that a par-
KRISTENSEN, W. BREDE (1867–1953), was a
ticular religious apprehension comes to an end. The histori-
Norwegian historian of religions. From 1901 to 1937, he was
an’s task is thus not to focus on historical change but to find
professor of the history and phenomenology of religion at the
a bridge to understanding a vanished world of religious reali-
University of Leiden. Virtually unknown outside of Scandi-
ty on the other side of the decisive change to the rationalistic
navia and the Netherlands during his lifetime, he was the
consciousness of the modern world. Kristensen’s work is full
teacher of many of the next generation of Dutch historians
of polemics against this rationalism, not because he was anti-
of religions and has exerted some influence on methodologi-
modern, but because he felt that such rationalism led to the
cal discussion through the posthumous publication in En-
misunderstanding of ancient religions.
glish translation of his class lectures at Leiden on the phe-
Kristensen did not regard informative comparison as a
nomenology of religion (The Meaning of Religion, 1960).
scientific method that would guarantee correct results. He
Kristensen was the son of a Lutheran minister, born in
sought to gain a certain inkling or intuition of what is impor-
Kristiansand, Norway, on June 21, 1867. He went to the
tant in the religion under examination, which requires in
University of Kristiania (present-day Oslo) to study theolo-
negative terms, that one not mix one’s praise or blame with
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KROCHMAL, NAH:MAN
5247
what the believer relates, and, in positive terms, that one seek
In the nineteenth century the large Jewish population
a sympathetic and loving understanding of the alien faith.
of the Polish districts of the Hapsburg empire was an integral
This understanding can be no better than approximate, be-
branch of the east European Jewish milieu both in its eco-
cause the alien religious language cannot be fully learned and
nomic and social patterns and its traditional Jewish piety.
because the other religion does not become a power in one’s
Galicia was a center of Hasidism, as well as of rabbinic learn-
own life, but the effort is worthwhile, because across the bar-
ing and leadership of Hasidism’s opponents. Krochmal him-
rier of languages and epochs and civilizations the truth per-
self was a religiously observant Jew who was highly critical
ceived by believers in the alien religion can be glimpsed
of the “delusions” and “folly” of the H:asidim, with whom
Those who make this effort can grow, Kristensen main-
he and his circle from time to time came into bitter conflict.
tained, not only intellectually but religiously.
Krochmal was one of the preeminent figures of the Galician
phase of the Haskalah, then in its heyday and consisting of
BIBLIOGRAPHY
writers who advocated such reforms of Jewish life as the
An extensive bibliography of Kristensen’s works can be found in
modernization of Jewish education and livelihood, a greater
Jacques Waardenburg’s Classical Approaches to the Study of
knowledge of natural sciences and European languages, and
Religion, vol. 2, Bibliography (The Hague, 1974).
the introduction into Hebrew literature of the genres and
New Sources
ideas of modern European literature. A major aim of Kroch-
Of Kristensen’s many works, two have been translated into En-
mal’s scholarship was to further the rapprochement between
glish: The Meaning of Religion: Lectures in the Phenomenology
the modern rational, critical, and historical spirit and the
of Religion, 2d ed. (The Hague, 1960) and Life out of Death.
Talmudic-rabbinic worldview.
Studies in the Religions of Egypt and Ancient Greece (Louvain,
Krochmal was a brilliant conversationalist but published
Belgium, 1992). For an application of the latter book’s meth-
odology see Giovanni Casadio, “Osiride in Grecia e Dioniso
little in his lifetime. After his death his papers were sent, ac-
in Egitto,” in Plutarco e la religione, edited by Italo Gallo
cording to his instructions, to the eminent German Jewish
(Naples, 1996), pp. 201–227. The definitive publication on
scholar Leopold Zunz, who edited and published them in
all aspects of Kristensen’s intellectual enterprise and his lega-
1851 as Moreh nevukhei ha-zeman (A guide for the perplexed
cy to the discipline of religious studies is Man, Meaning, and
of the time), a title deliberately reminiscent of Moses Mai-
Mystery: 100 Years of History of Religions in Norway. The Her-
monides’ Guide for the Perplexed.
itage of W. Brede Kristensen, edited by Sigurd Hjelde (Leiden,
2000). Prominent specialists examine the European and
Krochmal’s book is an incompletely developed but sug-
Scandinavian background (Hans Georg Kippenberg and
gestive work that covers the following topics: the connection
Einar Thomassen among the others), Kristensen’s contribu-
between philosophy and religion, the philosophical signifi-
tion to the study of Ancient Religions (Anders Hultga˚rd, Jan
cance of the Israelite conception of God, the cycles of Jewish
N. Bremmer, Jens E. Braarvig) and the foundation of reli-
history in relation to the cyclical history of nations, aspects
gious phenomenology (John B. Carman, Willem Hofstee,
of postbiblical Jewish literature (including a pioneering treat-
Igvild Sælid Gilhus). A masterful essay by Jacques Waarden-
ment of the evolution of the halakhah and aggadah), the logic
burg on “Progress in Research on Meaning in Religions”
of Hegel, and the philosophy of Avraham ibn EEzraD.
concludes the volume (a full, detailed bibliography of publi-
cations by and on Kristensen is included).
Like Hegel, Krochmal conceived of the dynamic totality
of reality as an absolute Spirit whose nature is pure cognition,
JOHN B. CARMAN (1987)
Revised Bibliography
which for Krochmal was the philosophical meaning of the
God of Judaism. Like Hegel, Krochmal believed that religion
conveys through the faculty of imagination that which phi-
losophy conveys through reason, so that it is the task of phi-
KROCHMAL, NAH:MAN (1785–1840), was a Jew-
losophers to make explicit what remains implicit in religious
ish philosopher and historian. A major figure in the Haskalah
imagery. The extent of Krochmal’s indebtedness to Vico,
(Jewish Enlightenment movement), Krochmal is noted for
Herder, Schelling, and Hegel has been a matter of scholarly
his contributions to Jewish historiography and his program
controversy: Apart from his rendition of Hegel’s logic and
for a metaphysical understanding of Judaism using German
use of the terminology of post-Kantian idealism, Krochmal
idealist philosophy.
does not hold to a temporal unfolding of the absolute. Equal-
ly, if not more important to Krochmal’s metaphysics were
Born in the city of Brody in Galicia, Krochmal lived
Maimonides, Abraham ibn EEzraD, and Qabbalah.
most of his life in the town of Z˙ołkiew near Lvov. To supple-
ment his traditional Talmudic education, he learned Latin,
Krochmal grounded the truth of Judaism in a general
Syriac, Arabic, French, and German, giving him access to a
concept of religion and cultural nationalism. The intelligibil-
broad range of medieval and modern philosophical litera-
ity of reality and the lawfulness of nature derive from a sys-
ture. Despite an unsuccessful career as a merchant, Krochmal
tem of spiritual powers that, in turn, is generated by an un-
rejected the offer of a rabbinical post in Berlin and supported
conditioned absolute Spirit. All positive religions intuit some
himself as a bookkeeper. His last years were spent in the Gali-
aspect of this supersensuous reality. Moreover, a particular
cian cities of Brody and Ternopol.
national spirit expresses the unity and individuality of the na-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5248
KR:S:N:A
tion during its history. All nations are finite organic entities,
KR:S:N:A, whose name means “black” or “dark,” is custom-
passing through a cycle of growth, maturity, and death. Only
arily said to stand alongside Ra¯ma in the Hindu pantheon
the people of Israel have avoided eventual extinction, because
as one of the two preeminent avata¯ras of the great god Vis:n:u.
their singular, infinite God is the dynamic principle of abso-
Although present-day Hindus do not dispute such divine
lute Spirit that generated all the particular spiritual powers.
genealogy, they and most of their ancestors who have lived
The people of Israel were the “eternal people” inasmuch as
in the last millennium have found Kr:s:n:a more important to
they worshiped and were sustained by the force that account-
their faith than Vis:n:u. In Vais:n:ava circles one often hears it
ed for the entire cosmic process and that renewed the spiritu-
emphasized, in a quote from the Bha¯gavata Pura¯n:a, that
al strength of Jewish culture after periods of stagnation and
“Kr:s:n:a is God himself” (“Kr:s:n:as tu bhagava¯n svayam”;
decline. The God of Judaism did not change as the Jewish
1.3.27), not merely a portion or manifestation of the divine
people passed three times through the cycle of national his-
fullness. In the devotion of contemporary Hindus, he more
torical existence. The first cycle of national growth, maturity,
than any other figure symbolizes divine love (prema), divine
and decay extended from the time of the biblical patriarchs
beauty (ru¯pa), and a quality of purposeless, playful, yet fasci-
to the destruction of Judaea in 587/6 BCE. The second cycle
nating action (l¯ıla¯) that bears a peculiarly divine stamp. In
began with the return from the Babylonian exile and ended
recent centuries Kr:s:n:a has been adored principally as a mis-
with the failure of the Bar Kokhba Revolt in the second cen-
chievous child in the cowherd settlement (Vr:nda¯vana) where
tury CE. The third commenced with the codification of the
he chose to launch his earthly career and as a matchless lover
Mishnah, culminated in the philosophical and mystical flow-
of the women and girls who dwell there. In earlier times,
ering of medieval Judaism, and declined in the late Middle
however, heroic and didactic aspects of Kr:s:n:a’s personality
Ages. Krochmal does not explicitly develop the notion of a
have played a more forceful role in his veneration.
fourth cycle of Jewish history, but he probably envisioned
such a rebirth as beginning in the seventeenth century or
ORIGINS AND HISTORY. Many scholars feel that Kr:s:n:a and
with the rise of the Haskalah. As the Jewish people passed
Vis:n:u were originally two independent deities. On this view,
through these cycles, the Jewish idea of God attained greater
Kr:s:n:a is to be understood as more closely associated with a
articulation and the meaning of the people’s existence be-
warrior milieu than Vis:n:u, since most early information
came transparent to reason.
about him comes from epic texts. Vis:n:u, by contrast, appears
in the Vedas, so knowledge about him would have been
Because Krochmal proposed a metaphysics that took
transmitted by brahmans. It is unclear at what point in time
Jewish history with the utmost seriousness, he can be seen
the two cults merged, if they were ever truly separate. Cer-
as a pioneer both in Jewish religious thought and in modern
tainly this happened by the time of the Vis:n:u Pura¯n:a (c. fifth
theories of Jewish nationhood.
century CE), which declares Kr:s:n:a to be an avata¯ra of Vis:n:u;
yet there are a number of indications that the interidentifica-
BIBLIOGRAPHY
tion was much older than that. A pillar at Ghos:un:d:i has
The standard edition of Krochmal’s works is Kitvei RaNaK (Writ-
often been interpreted as implying that Kr:s:n:a was worshiped
ings of Rabbi Nah:man Krochmal), edited by Simon Rawid-
alongside Na¯ra¯yan:a, who in turn is closely related to Vis:n:u,
owicz (Berlin, 1924; reprint, Waltham, Mass., 1961). On
in the first century BCE; and in a series of icons from the Ku-
Krochmal’s place in Jewish thought, see Julius Guttmann’s
shan period (first and second centuries CE) Kr:s:n:a bears a se-
Philosophies of Judaism, translated by David W. Silverman
ries of weapons associated with Vis:n:u: the club, the disk, and
(New York, 1964), pp. 321–344; Nathan Rotenstreich’s
sometimes the conch.
Jewish Philosophy in Modern Times (New York, 1968),
pp. 136–148; and Rotenstreich’s Tradition and Reality: The
The Kr:s:n:a to whom reference is made in each of these
Impact of History on Modern Jewish Thought (New York,
cases is usually designated Va¯sudeva. This patronymic title
1972), pp. 37–48. Two articles of value are Ismar Schorsch’s
is one he inherits as head of the Vrs:n:i lineage of Mathura.
“The Philosophy of History of Nachman Krochmal,” Juda-
Va¯sudeva Kr:s:n:a liberates the throne of Mathura from his evil
ism 10 (Summer 1961): 237–245, and Jacob Taubes’s
kinsman Kam:sa; he struggles with the Magadhan king
“Nachman Krochmal and Modern Historicism,” Judaism 12
Jara¯sam:dha for continued control of the Mathura region and
(Spring 1963): 150–164.
apparently loses; he travels to the western city of Dva¯raka¯ on
New Sources
the shores of the Arabian Sea, there to establish a flourishing
Amir, Yehoyada. “The Perplexity of Our Time: Rabbi Nachman
dynastic realm; and he serves as counselor to his cousins the
Krochmal and Modern Jewish Existence.” Modern Judaism
Pa¯n:d:avas in their monumental battle with the Kauravas.
23 (2003): 264–301.
Early reports of these actions are found in various sec-
Cooper, Eli Louis. Am Segullah: A Treasured People. New York,
tions of the Maha¯bha¯rata, and reference is made to certain
1983.
of them in Patañjali’s Maha¯bha¯s:ya (c. second century BCE)
Harris, Jay Michael. Nachman Krochmal: Guiding the Perplexed of
and the Buddhist Ghat:a Ja¯taka. None of them, however, is
the Modern Age. New York, 1991.
depicted in sculpture before the Gupta period. Instead one
ROBERT M. SELTZER (1987)
finds sets of icons that imply no narrative context. One
Revised Bibliography
group of sculptures from the Kushan period depicts
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KR:S:N:A
5249
Va¯sudeva Kr:s:n:a in conjunction with his brother
In the considerably later Bha¯gavata Pura¯n:a one has a
Sam:kars:ana/Balarama¯ and adds a third figure, a sister
comparable vision of Kr:s:n:a’s supremacy, but this time the
Eka¯nam:´sa¯, whose role in the epic texts is minimal and not
supremacy of Kr:s:n:a Gopa¯la is more at issue than that of
altogether clear. Another set enshrines a different grouping,
Va¯sudeva Kr:s:n:a. Here the playful cowherd dances with all
wherein Va¯sudeva is accompanied by his brother and two of
the milkmaids (gop¯ıs) of Braj at once, multiplying himself
his progeny. This set corresponds to a theological rubric in
so that each woman feels he is dancing with her alone. This
force in the Pa¯ñcara¯tra and perhaps the Bha¯gavata sects, ac-
amorous dance (ra¯sa-l¯ıla¯) is an image of divinity and human-
cording to which Va¯sudeva is said to be the first in a series
ity wholly identified in one another, an absorption made
of four divine manifestations (vyuhas) of Na¯ra¯yan:a in the
possible by intense devotion (bhakti). Like Arjuna’s encoun-
human realm.
ter with Kr:s:n:a, this meeting, too, relativizes the importance
of worldly involvements. In the ra¯sa-l¯ıla¯ the idyllic quality
In addition to the many icons of Va¯sudeva Kr:s:n:a that
that always separated the pastoral life of Kr:s:n:a Gopa¯la from
survive from pre-Gupta times, one finds a handful of narra-
the royal world of Va¯sudeva Kr:s:n:a attains its apotheosis.
tive reliefs, and these depict quite another aspect of Kr:s:n:a.
This is Kr:s:n:a Gopa¯la, the cowherd, and he seems as distinct
The most important icon of Kr:s:n:a as the divine lover
from Va¯sudeva Kr:s:n:a in the texts as he does in sculpture.
becomes prevalent in Orissa and Karnataka in the twelfth
The texts report that although Kr:s:n:a was born into the Vrs:n:i
and thirteenth centuries and later spreads throughout the
lineage in Mathura, he was adopted by the simple A¯bh¯ıra
subcontinent. In this image Kr:s:n:a is shown with his neck
herdspeople of the surrounding Braj countryside for the du-
tilted, waist bent, and ankles crossed as he plays his irresist-
ration of his childhood and youth. Only as a fully developed
ible flute to summon the gop¯ıs—symbolically, human
young man did he return to Mathura to slay Kam:sa. The in-
souls—from their mundane preoccupations.
volvements of Va¯sudeva Kr:s:n:a and Kr:s:n:a Gopa¯la are suffi-
Two icons that enjoy a great prominence from Gupta
ciently distinct that it has been suggested the two figures
times onward suggest still another way in which the suprem-
were initially separate. On this hypothesis, Kr:s:n:a Gopa¯la
acy of Kr:s:n:a Gopa¯la was experienced. One of these repre-
would originally have been worshiped by the A¯bh¯ıra clan,
sents Kr:s:n:a lifting Mount Govardhana to protect the inhabi-
a nomadic group that extended its domain of activity from
tants of Braj from the angry, rainy torrents unleashed by
the Punjab and Indus regions to the Deccan and Gangetic
Indra when at Kr:s:n:a’s advice they turn their veneration away
plains by the third century CE. As the clan expanded its ter-
from that distant Vedic god and toward the symbolic center
rain, it moved into the Braj region and would have encoun-
of the nourishing realm in which they live, Mount Govard-
tered the Vrs:n:is, whose mythology of Va¯sudeva Kr:s:n:a was
hana itself. A second popular image shows Kr:s:n:a taming the
then integrated with the A¯bh¯ıra cult of Kr:s:n:a Gopa¯la.
evil snake Ka¯liya, whose presence had poisoned the Yamuna
River upon whose waters all of Braj—humans and cattle
THE SUPREMACY OF KR:S:N:A. The Vis:n:u and Bha¯gavata
alike—depend. In both moments Kr:s:n:a wrests order from
Pura¯n:as (c. fifth and ninth centuries CE) clearly understood
chaos; in both he guarantees safe and habitable space; and
Kr:s:n:a in both his pastoral and royal roles to be an avata¯ra
in both he displaces and incorporates the powers earlier attri-
of Vis:n:u. In the Bha¯gavata, however, which is the more im-
buted to other figures in the pantheon. When he lifts the
portant of the two, Kr:s:n:a occupies so much attention that
mountain he overcomes the sky gods captained by Indra, and
the text is preeminently his. The same thing is true in
when he tames the snake he subdues the nether spirits sym-
the Bhagavadg¯ıta¯ (c. second century BCE), a portion of the
bolized by snake deities (na¯gas). The preeminence of these
Maha¯bha¯rata that vies with the Bha¯gavata Pura¯n:a for the
images of Kr:s:n:a as cosmic victor is only gradually displaced
honor of being the most influential Vais:n:ava text in the early
by that of Kr:s:n:a as cosmic lover in the course of time.
twenty-first century. There, too, it is Kr:s:n:a who occupies
center stage, not Vis:n:u. Indeed, Kr:s:n:a asserts that it is he
TWO FORMS OF LOVE. Kr:s:n:a is principally accessible to the
who has issued forth in several avata¯ras, he who compre-
love of his devotees in two forms—as a child and as a
hends the many forms by means of which the divine makes
youth—and the affections elicited by each are distinct,
itself manifest.
though related. In systematic treatises such as the
Bhaktirasa¯mrt:asindhu of the sixteenth-century theologian
In the G¯ıta¯ one has a glimpse of how Va¯sudeva Kr:s:n:a
Rupa Gosvami, these two are described by separate terms.
could be interpreted as the supreme divinity. He enters the
The first is “calf love” (va¯tsalya), the emotion felt by parents
G¯ıta¯ not as a combatant but as an adviser to his Pa¯n:d:ava cou-
and especially mothers for their children, and the second is
sin Arjuna, who must fight. He himself is not implicated in
“sweet love” (ma¯dhurya), the emotion that draws lovers to-
the battle but is willing to serve as a resource. In the battle
gether. Kr:s:n:a serves as the ideal focus for both sets of feelings.
of life, similarly, one can act dispassionately by placing trust
As a child Kr:s:n:a is impish and irrepressible, and modern
in the One who is too great to have any narrow interest in
Hindus adore him as such, displaying his most lovable mo-
earthly conflict. Kr:s:n:a’s oblique relation to the Pa¯n:d:avas’
ments on the calendars and posters that provide India with
battle becomes a metaphor for his transcendence of the world
a great proportion of its visual diet. As a youth he is charming
altogether, and it enables Arjuna to transcend himself.
and unabashed; and in Rajput miniature painting 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
5250
KR:S:N:A
a strand of love poetry broad enough to include the Sanskrit
munities, Kr:s:n:a is worshiped in a series of eight daily dar´sans
G¯ıtagovinda of Jayadeva and the Hindi Rasikapriya¯ of
(ritual “viewings”) in which the god allows himself to be seen
Ke´savda¯s, he serves as the “ideal hero” or “leading man”
and worshiped in image form by his devotees. His clothing,
(na¯yaka) known to secular erotic literature.
jewelry, and flower decorations may be altered many times
in the course of a day, and different forms of devotional song
In both these roles there is an element of contrariness
are sung as the god’s daily cowherding routine is symbolically
that sets Kr:s:n:a apart from others. His mischievous deeds in
observed. Vestments, food offerings, and musical accompa-
childhood contribute greatly to his fascination and are epito-
niment vary seasonally as well, with the festivals of Hol¯ı and
mized in his penchant for stealing the gop¯ıs’ freshly churned
Kr:s:n:ajanma¯s:t:ami occupying positions of special importance.
butter. Kr:s:n:a’s naughtiness and outsized appetite further
stimulate the gop¯ıs’ desire to have him as their own, yet he
In the Braj country surrounding Mathura, which at-
can never be possessed. As the young lover he remains unat-
tracts pilgrims from all over India in festival seasons, these
tainable. Though he makes himself present to all the gop¯ıs
ceremonial observances are amplified by dramas in which
in his ra¯sa dance, he does so on his own terms, never allowing
Kr:s:n:a makes himself available in an especially vivid manner
himself to be brought within the confines of a domestic con-
to his devotees through child actors. These brahman boys na-
tract. The love he symbolizes exceeds the bounds set by any
tive to Braj are thought to become actual forms (svaru¯pas)
relationship that can be conceived in terms of dharma.
of Kr:s:n:a and his companions as they present events in
Child or adolescent, Kr:s:n:a is always a thief, for he is a
Kr:s:n:a’s childhood life. A dancing of the ra¯sa-l¯ıla¯ is the start-
thief of the heart. Hence even Ra¯dha¯, the maiden whom tra-
ing point for every performance, hence the genre as a whole
dition recognizes as his special favorite, frequently and pow-
is called ra¯sa-l¯ıla¯. In Sanskrit aesthetic theory, drama is
erfully senses his absence. Much of the poetry that has been
thought to comprehend all the arts, and owing to his essen-
dedicated to Kr:s:n:a is in the nature of lamentation (viraha).
tially aesthetic nature Kr:s:n:a is more frequently depicted in
The women who speak in such poems give voice to the un-
Indian art, dance, and music than any other god. Drama is
quenched yearnings of the human heart, as in the following
a particularly appropriate mode in which to experience him,
composition attributed to the sixteenth-century Hindi poet
however, because Kr:s:n:a’s antics so clearly embody the Hindu
Surdas:
conviction that life itself is the product of divine play (l¯ıla¯).
To surrender to play, to plays, and to the sense that all life
Gopa¯l has stolen my heart, my friend.
is play, is to experience the world as it actually is.
He stole through my eyes and invaded my breast
simply by looking—who knows how he did it?
SEE ALSO Avata¯ra; Bhagavadg¯ıta¯; Hol¯ı; Kr:s:n:aism; L¯ıla¯;
Ra¯dha¯; Ra¯ma; Vais:n:avism; Vis:n:u; Vr:nda¯vana.
Mother, father, husband, brothers, others
crowded the courtyard, filled my world,
As society and scripture guarded my door—
BIBLIOGRAPHY
but nothing was enough to keep my heart safe.
Two works serve as basic references for the study of Kr:s:n:a. On
the textual side there is the encyclopedic work of Walter
Duty, sobriety, family honor:
Ruben, Krishna: Konkordanz und Kommentar der Motive
using these three keys I’d locked it away
seines Heldenlebens (Istanbul, 1944), and on the art historical
Behind eyelid gates and inside hard breasts.
side the somewhat more personal study of P. Banerjee, The
Nothing could prevail against efforts such as these.
Life of Krishn:a in Indian Art (New Delhi, 1978). A third
major work, which calls for a wholesale reexamination of
Intellect, power of discretion, wit:
Bha¯gavata religion and Kr:s:n:a’s place in it from the sixth cen-
an immoveable treasure, never once dislodged.
tury BCE through the tenth century CE is Dennis Hudson’s
And then, says Su¯r, he’d stolen it—
The Body of God (New York, forthcoming). A recent issue of
the Journal of Vaishnava Studies—volume 11:1 (2002)—
with a thought and a laugh and a look—
explores his ideas.
and my body was scorched with remorse.
A broad study of materials relating to Va¯sudeva Kr:s:n:a is provided
In this mode it is the elusiveness of Kr:s:n:a that gives evidence
in Suvira Jaiswal’s The Origin and Development of Vais:n:avism
of his divine supremacy. Intimately accessible as he seems,
(Delhi, 1967), critical portions of which are deepened by re-
whether as child or lover, he can never quite be grasped.
cent investigations on the part of Doris Srinivasan, including
CULT AND RITUAL. Kr:s:n:a is worshiped in homes and tem-
her “Early Kr:ishn:a Icons: The Case at Mathura¯,” in Kaladar-
ples throughout India and has become the devotional focus
sana, edited by Joanna G. Williams (New Delhi, 1981). Sev-
of the Hare Krishna movement (International Society for
eral recent studies make it possible to enter imaginatively
into the religious world of Braj, which is so thoroughly ani-
Krishna Consciousness [ISKCON]) beyond Indian shores.
mated by Kr:s:n:a. My At Play with Krishna (Princeton, N.J.,
Rituals vary from place to place and caste to caste, but some
1981) focuses on the ra¯sa-l¯ıla¯s of Vr:nda¯vana; Margaret
of the most impressive are those associated with the Gaud:¯ıya
Case’s Seeing Krishna (New York, 2000) describes the ambi-
and Pus:t:ima¯rg¯ıya Samprada¯yas, which trace their lineage
ence that sponsors and surrounds them; and David Haber-
back to the fifteenth- and sixteenth-century divines Caitanya
man traces a pilgrims’ circumference for all of Braj in Journey
and Vallabha. In temples and homes belonging to these com-
through the Twelve Forests (New York, 1994). Shrivatsa
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KR:S:N:AISM
5251
Goswami articulates an insider’s view of Vr:nda¯vana in Cele-
work, and not automatically in the light of the Vais:n:ava the-
brating Krishna (Vr:nda¯vana, 2001) and Robyn Beeche
ology that pervades the Maha¯bha¯rata into which it was in-
matches it with a set of peerless photographs. The scholarly
serted, its Kr:s:n:aite character is unmistakable. There is no
background for all this is set forth in Alan Entwistle’s Braj,
suggestion here that in the person of the physical Kr:s:n:a a dif-
Centre of Krishna Pilgrimage (Groningen, 1987). Readers
ferent being, that is, an eternal, unmanifest Vis:n:u, is con-
who suspect this focus on Braj of being overly centrist, even
tained. Thus when it is said (in 4.7): “Whenever dharma is
hegemonic will appreciate the essays collected by Guy Beck
suffering a decline, I emit myself [into the physical world],”
in Alternative Krishnas (Albany, N.Y., forthcoming).
or (in 4.8): “In different ages I originate [in physical form],”
Two large thematic studies relating to Kr:s:n:a Gopa¯la are Fried-
there is not the slightest hint in the text that this “I” is differ-
helm E. Hardy’s Viraha Bhakti (Oxford, 1983), which em-
phasizes South Indian materials and focuses on Kr:s:n:a as a
ent from that used in the previous verse (4.6): “I am without
lover; and my work Krishna, the Butter Thief (Princeton,
birth, of immutable self. . . .” Similarly, in the grand vision
N.J., 1983), which emphasizes North Indian material and
that Arjuna, by means of his “divine eye,” has of Kr:s:n:a in
concentrates on the child Kr:s:n:a; the appendixes provide a di-
his cosmic form, no change in person is suggested. Even
gest of information relating to the iconography of Kr:s:n:a
more important are verses like 14.27 or 18.54, in which
Gopa¯la.
Kr:s:n:a’s relationship to brahman is indicated: Here brahman
JOHN STRATTON HAWLEY (1987 AND 2005)
somehow is dependent on, and subsumed in, Kr:s:n:a. On the
basis of these theological premises, the G¯ıta¯ advocates a com-
plex spiritual path leading ultimately to human salvation. At-
KR:S:N:AISM. The god Kr:s:n:a has been one of the most
tention to the demands of society is combined with the need
popular figures of Hinduism and of Indian culture generally.
for inner spiritual growth; but both must be carried out in
Episodes from his life story have found innumerable expres-
total “loyalty” (the primary meaning of bhakti) to Kr:s:n:a. At
sions in literature and art. Against this larger cultural back-
the end appears “love” (called “highest bhakti”) coupled with
ground one witnesses a more specifically devotional and
a sharing in Kr:s:n:a’s “working” in the universe.
theological preoccupation with Kr:s:n:a that can be reduced to
The remaining portions of the epic, of which the
basically two different trends. On the one hand, there is the
Bhagavadg¯ıta¯ is but a minute part, are on the whole
development of religious systems in which Kr:s:n:a is defined
Vais:n:ava. Eventually, by about the fourth or fifth century CE,
as an earthly avata¯ra (incarnation) of the god Vis:n:u. Here
the concept of the avata¯ra was introduced to clarify the rela-
Vis:n:u plays the central role and one must thus speak of
tionship between Kr:s:n:a and Vis:n:u. This had very far-
Vais:n:ava (alternately, Vais:n:avite or Vis:n:uite) systems; these
reaching consequences for the interpretation of Kr:s:n:aite ma-
can be grouped together under the rubric “Vais:n:avism”
terial, including the G¯ıta¯ itself. Thus the earliest source on
(“Vis:n:uism”). But the global assumption that Kr:s:n:a is an
the childhood and youth of Kr:s:n:a, the Harivam:´sa (third
avata¯ra of Vis:n:u is derived from an inadequate interpreta-
cent. CE?), an appendix to the Maha¯bha¯rata, presented the
tion of the facts. This assumption has its origin in the Indian
myths within a Vais:n:ava framework, just as did the Vis:n:u
conceptualization of the religious situation and later came to
Pura¯n:a (fifth cent. CE?), which contains a very much en-
be accepted uncritically by scholars. The concept
larged account of Kr:s:n:a’s early life. By no means, however,
“Vais:n:avism” has tended to subsume all Kr:s:n:aite phenome-
did the avata¯ra concept acquire spontaneous, universal valid-
na and has thus proved to be far too wide. “Kr:s:n:aism” (along
ity.
with parallel terms such as “Ra¯maism,” “Ra¯dha¯ism,”
DEVELOPMENTS IN THE SOUTH. When turning to southern
“S¯ıta¯ism,” etc.) is a useful heuristic tool, as long as it is un-
India, the region where Tamil was spoken (modern Tamil
derstood to denote not a single system but a whole range of
Nadu, Kerala, and southernmost Andhra Pradesh), one finds
systems.
the figure of Ma¯yo¯n documented from the beginning of the
The strictest definition of a system according to tradi-
¯
common era. Although he is assumed by some to have been
tional Indian understanding is that of a samprada¯ya, a reli-
an autonomous Dravidian god, no evidence for this theory
gious movement that proves its orthodoxy and orthopraxy
can be found. Instead, a closer analysis of the sources shows
through detailed exegesis of the Vedanta scriptures. In this
that they are dealing here with here is Kr:s:n:a, or better, a god-
sense, one finds only three such Kr:s:n:aite systems (those of
figure of predominantly Kr:s:n:aite features who also incorpo-
Nimba¯rka, Caitanya, and Vallabha). On the other hand,
rates elements of Vis:n:u. (Thus, strictly speaking one ought
there are many further instances in which Kr:s:n:a appears de
to use “Ma¯yo¯nism” rather than “Kr:s:n:aism” here.) The name
facto as the central religious figure. Whether textual, theolog-
¯
itself, and synonyms like Ma¯l and Ma¯yavan, denote a person
ical, ritual, or devotional, such contexts can be described as
¯
of black complexion—a precise translation into Tamil of the
types of Kr:s:n:aism, even when not dealing with a samprada¯ya.
Sanskrit Kr:s:n:a. Different milieus deal with the situation dif-
Finally, there are many examples of partial Kr:s:n:aism, where-
ferently. In the context of temple worship, the emphasis is
by a religious system is Kr:s:n:aite on one level and, say,
on Vis:n:u-Na¯ra¯yan:y. But in the area of folk religion, and, of
Vais:n:ava on another.
central importance in later developments, among the (secu-
EARLY KR:S:N:AISM. The first Kr:s:n:aite system known is the
lar) literati, Ma¯yo¯n appears as Kr:s:n:a, particularly the young
theology of the Bhagavadg¯ıta¯. When read as a self-contained
¯
Kr:s:n:a living among the cowherds, dallying with the girls 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
5252
KR:S:N:AISM
playing his tricks on the women. One also hears about his
Kr:s:n:a is brahman, and—to make matters more complicated
favorite, the milkmaid Pinnai, for whom he subdued seven
in this pura¯n:a—the ultimately sole real. Thus, an illusionist
vicious bulls. To the extent that one can infer from the liter-
advaita teaching (in which Kr:s:n:a’s love-play with the milk-
ary allusions something about the religious situation during
maids can be compared to a child’s playing with his own
the first half of the first millennium CE, the songs, dances,
image seen in a mirror—10.33.17) is expounded in its meta-
and rituals celebrating those events appear decidedly
physical frame. Historically, this particular combination of
Kr:s:n:aite.
advaita (metaphysical nondualism), sensuous bhakti, and the
identification of Kr:s:n:a with brahman proved enormously in-
With the A¯lva¯rs (sixth to ninth centuries), considerable
¯
fluential. Most subsequent developments of Kr:s:n:aism in
changes in the conceptualization of Kr:s:n:a take place. Over-
northern India are unthinkable without the Bha¯gavata
all, a more pronounced Vais:n:ava orientation emerges in their
Pura¯n:a.
works. Yet even they do not introduce the conceptual dis-
tinction of Kr:s:n:a and Vis:n:u by means of the notion of
EARLY DEVELOPMENTS IN THE NORTH. Current knowledge
avata¯ra, and the names by which they address their god fuse
of the situation in northern India during the first millennium
the Kr:s:n:aite with the Vais:n:ava. The central range of myths
CE is far more limited and patchy. No instances of Kr:s:n:aism
that they develop in their poems and the eroticism that per-
can be cited, and yet a number of factors were essential in
vades their devotion have remained fundamentally Kr:s:n:aite.
the formation of later types of Kr:s:n:aite religions. Numerous
The emphasis is here on “love-in-separation.”
references in the various literatures of the period make it clear
that Kr:s:n:a enjoyed enormous popularity. In predominantly
This situation changes only with the emergence of
secular works his amours with the milkmaids were explored
Ra¯ma¯nuja’s S´r¯ı Vais:n:avism (from the eleventh century, with
and given a definite place in the imaginary landscape of clas-
antecedents in the tenth). Although institutionally links with
sical Indian lovers. Moreover, already from the very begin-
the A¯lva¯rs are maintained, the formation of a definite
¯
ning of the common era one encounters Ra¯dhika¯ (later usu-
Vais:n:ava theology, which in turn has close historical links
ally Ra¯dha¯) as his favorite beloved among the milkmaids. She
with the Vais:n:ava temple tradition of the Pa¯ñcara¯tras (and
is clearly different from the Tamil Pinnai, whom Sanskrit
Vaikha¯nasas), encouraged a very different form of bhakti.
¯ ¯
works present as N¯ıla¯ or Satya¯. (Not that there is much of
Even so, Kr:s:n:a remains here the central avata¯ra, only eventu-
a story here, apart from the conventional amatory situations
ally to be overtaken by Ra¯ma.
envisaged in the poetics of love.) But what was important was
S´r¯ı Vais:n:avism was not the only heir to the devotional
the inevitable association in the popular mind of Kr:s:n:a with
Kr:s:n:aism of the A¯lva¯rs. Two Sanskrit works have to be men-
Ra¯dhika¯. The religious works (the Harivam:´sa, Pura¯n:as, etc.)
¯
tioned in this connection. One is the Kr:s:n:a-karn:a¯mr:ta by
knew nothing about Ra¯dha¯, and broke the anonymity of the
one Vilvaman˙gala (also called “L¯ıla¯´suka,” or “Playful Par-
crowd of Kr:s:n:a’s beloved ones only after his departure from
rot”), of unknown date and possibly from Kerala. By 1200
Vraja, when he abducted and married the princess Rukmin:¯ı.
the work is known in Bengal, and at a later stage was a favor-
This whole popular interest in Ra¯dha¯ and Kr:s:n:a reaches
ite text of Caitanya. From ever-new angles, the erotic attrac-
its culmination in Jayadeva’s G¯ıta¯govinda (written in Bengal
tion of the youthful Kr:s:n:a is explored in this poem. Yet the
c. 1185 CE), a kind of libretto for a dance-drama about the
importance of this work dwindles compared with the second
lovers’ quarrels due to Ra¯dha¯’s jealousy, and about their
text, the Bha¯gavata Pura¯n:a. Written in the Tamil country
eventual reconciliation and their passionate lovemaking.
around the ninth or early tenth century by an unknown poet,
While the Bha¯gavata Pura¯n:a, which became known during
in Vedic-sounding and highly poetic language, this text is far
this period in the north, provided the metaphysical and de-
more than a traditional pura¯n:a. It attempts to fuse a great
votional frame, the G¯ıtagovinda acted as the focusing mecha-
variety of contemporary religious and cultural strands, and
nism for mythical episodes in Kr:s:n:a’s complex earthly life.
it does so in a decidedly Kr:s:n:aite manner. While for its
“plot” it uses as its model the Vis:n:u Pura¯n:a (where Kr:s:n:a is
A further contributory factor, rasa speculation, must be
an avata¯ra of Vis:n:u), in two important respects, devotional-
mentioned. Here one is dealing with academic aesthetics,
literary and metaphysical, Kr:s:n:a is presented as the central
which in India tended to focus on drama and poetry. By the
deity. Book 10 and part of Book 11 comprise the structural
ninth century CE a conceptual framework had evolved for the
center of the work: They have become the most famous
analysis of art and aesthetic experience that centered around
source on the life of Kr:s:n:a among the cowherds of Vraja.
the notion of rasa (literally, “flavor”). A good poem is sup-
Translating or paraphrasing here poems of the A¯lva¯rs
posed to contain one of eight possible emotions (love being
¯
(PeriyA¯lva¯r on Kr:s:n:a’s childhood, A¯n:t:a¯l, Namma¯lva¯r, and
by far the favorite among the poets) that, by means of poetic-
¯
¯
¯
Parka¯lan on his amours and on “love-in-separation”),
linguistic devices, can be transferred to the reader (listener),
¯
Kr:s:n:aite bhakti finds here powerful expression. This devo-
to appear in the reader now in a transformed state as the
tional emphasis is complemented by a Kr:s:n:aite metaphysical
reader’s aesthetic relish, as rasa. Given that most of the
framework. Thus in 1.3.28 one reads: “Kr:s:n:a is Bhagava¯n
sources on Kr:s:n:a’s life were in poetry, that over the centuries
himself.” Or in 10.33.36: “He who moves in the heart of all
an increasing concentration on his amours had taken place,
corporeal beings, here took on a body through playfulness.”
and that in the devotee’s emotions vis-à-vis Kr:s:n:a “aesthetic
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KR:S:N:AISM
5253
relish” could be found, it was perhaps natural for this to be
of vernacular poets who, in different languages and in vary-
developed systematically as bhakti-rasa. Particularly in the
ing approaches, dealt with Kr:s:n:a’s amours and childhood
school of Caitanya, the scholastic exploration of bhakti-rasa
pranks. While the Bengali poet Can:d:¯ıda¯s (1400 CE?) sang
(along with the production of Sanskrit poetry based on it)
about his own tragic love in the imagery of Ra¯dha¯’s separa-
reached its climax.
tion, the Maithil¯ı poet Vidya¯pati (c. 1350 to 1450) fused the
REGIONAL TRENDS IN THE NORTH. Kr:s:n:aism makes its first
erotic culture of a royal court with the amours of Kr:s:n:a and
documented appearance in the north with the beginning of
the milkmaids.
the second millennium CE in a ritual context. This is the tem-
But what about the locality on earth where myth places
ple-culture of Pan:d:harpur in southern Maharashtra. The god
these amours, that is, Vr:nda¯vana? The S´r¯ı Vais:n:avas had cer-
in the temple is variously called Vit:t:hala or Vit:hoba¯. Al-
tainly listed it among their 108 primary places of pilgrimage
though etymologies from Vis:n:u have been suggested, the per-
(and in a prominent position) from the tenth century on-
sonage described here, from at least a certain stage in the de-
ward. But to what extent anybody from Tamil Nadu traveled
velopment onward, is clearly Kr:s:n:a. His consort is
all the way up to Mathura¯ during the period up to the six-
Rakhuma¯¯ı, the Marathi form of Rukmin:¯ı. Particularly
teenth century is unknown.
through the popularizing activities of Marathi poets such as
BR:NDA¯VAN. Toward the close of the fifteenth century, the
Jña¯ne´svar, Na¯mdev, and Tuka¯ra¯m, and many other (often
longing to live in the actual place where Kr:s:n:a spent his
pseudonymous) poets and texts, a markedly individual reli-
childhood takes on concrete and documented form. At this
gious system of great popularity evolved in Maharashtra and
point there a number of Kr:s:n:aite devotees, originating from
also in Karn:a¯t:aka. Heaven and eternity, with Vit:hoba¯ and
various parts of India, settling in Br:nda¯van along with their
Rakhuma¯¯ı as king and queen, take visible form in
disciples. Many temples are constructed on sites that had
Pan:d:harpur. Instead of the amorous episodes in Kr:s:n:a’s
been (usually miraculously) “rediscovered” as the localities
earthly life (which do appear in numerous poems associated
mentioned in Puranic episodes. These developments may
with this religious tradition), the emphasis is on secondary
well be connected with the transfer of the Mughal capital
myths about the saints connected with Pan:d:harpur.
from Delhi to Agra (in 1506) and the construction of a major
Maharashtra produced (from the thirteenth century on-
road between these two cities that passed through Mathura¯.
ward) yet another type of Kr:s:n:aism, the very austere and id-
Certainly the tolerant reigns of Akbar (1556–1605) and
iosyncratic movement of the Ma¯nbha¯v (Maha¯nubha¯va).
Jaha¯ng¯ır (1605–1627) were decisive factors as well.
Here five Kr:s:n:as are listed: Kr:s:n:a himself (husband of
Rukmin:¯ı, etc.), who is closely connected with Parame´svara,
While the claim that Nimba¯rka (at an earlier date) had
the Absolute in the system; Datta¯treya (a god-figure of Ma-
lived in Br:nda¯van is of doubtful validity, both the Caitan-
harashtrian Hinduism); and three historical persons
yites and Vallabhites refer to an otherwise nebulous
(Cakra¯dha¯r, the founder of the movement, and two pre-
Ma¯dhavendra Pur¯ı (late fifteenth century) as the original “re-
decessors) who are identified with Kr:s:n:a.
discoverer” of the site of the mythical Vr:nda¯vana. He in turn
appears to have inspired Caitanya to visit the place around
As a further example of regional forms of Kr:s:n:aism cen-
1516 and to settle his disciples there from 1516 onward. Val-
tered around temples, mention may be made of Jaganna¯tha
labha (c. 1480–1533) and Harida¯s (c. 1500–1595) arrived
in Puri, Orissa, the building of whose temple was started
somewhat later. During the sixteenth century a whole cluster
around 1100 CE. Accompanied by Baladeva and Subhadra¯,
of Kr:s:n:aite religious movements had their center in the local-
he is evidently envisaged in a Kr:s:n:aite context. This connec-
ity of Br:nda¯van. These included Nimba¯rka’s followers and
tion was strengthened in the sixteenth century through the
Hit Harivam:´s (c. 1500–1552), who was native to the region.
bhakti culture developed in the temple by Ra¯ma¯nanda Ra¯ya
While as religious systems they preserved their separate iden-
and Caitanya.
tities, the common milieu nevertheless produced great simi-
The first Kr:s:n:aite samprada¯ya was developed by
larity of theology and devotion. Although Vallabha himself,
Nimba¯rka. Unfortunately, very little reliable information is
and then the branch of his movement that eventually arose
available on him and thus it is difficult to place him accurate-
in Gujarat, ignored Ra¯dha¯ and concentrated on the child
ly in the history of Kr:s:n:aism. A date before the sixteenth cen-
Kr:s:n:a and his various pranks, through Vallabha’s son
tury would emphasize his originality in terms of Kr:s:n:aite
Vit:t:haladeva (c. 1518–1586) Ra¯dha¯ gained prominence
theology, but make his alleged residing in Br:nda¯van (a locali-
theologically, and through the vernacular poetry of Su¯rda¯s
ty near Mathura¯, thought to correspond to the mythical
(from c. 1480 to between 1560 and 1580), whom the Val-
Vr:nda¯vana) very doubtful. Here for the first time in the Ve-
labhites consider as one of their poets, attention is focused
danta school-tradition is found brahman identified with
upon Ra¯dha¯’s and Kr:s:n:a’s lovemaking. The poetry of
Kr:s:n:a (and not, as earlier on in Ra¯ma¯nuja and also in Madh-
Harida¯s and Hit Harivam:´s is very similar to this. In contrast,
va, with Vis:n:u). Moreover, Kr:s:n:a is here envisaged in the
the Caitanyites emphasized the viraha (“separation”) of
company of Ra¯dha¯.
Kr:s:n:a and Ra¯dha¯.
A further contributing factor to the increasing populari-
This milieu shares generally the following features. The
ty of Kr:s:n:a throughout northern India was the appearance
Absolute, namely, brahman, is Kr:s:n:a together with Ra¯dha¯
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5254
KR:S:N:AISM
(whom the Vallabhites, in this aspect, call Sva¯min¯ı-j¯ı). Their
The term Kr:s:n:aism, then, can be used to summarize a
relationship may be formulated as that of ´saktima¯n
large group of independent systems of beliefs and devotion
(“powerful”) and ´sakti (“power”), which—according to the
that developed over more than two thousand years, through
advaita stance employed—is one of “nonduality.” The older,
the interaction of many different cultural contexts. Given the
Upanis:adic definition of brahman as saccida¯nanda (“being,
composite nature of the Kr:s:n:a-figure itself (as prankish child,
consciousness, bliss”) is transformed through emphasis on
lover, king, fighter of demons, teacher of the Bhagavadg¯ıta¯,
the “bliss” aspect (in which the other two become sub-
etc.), the selective emphasis in these systems on such individ-
sumed); Ra¯dha¯ is Kr:s:n:a’s hla¯din¯ı-´sakti, the “bliss-causing
ual aspects is worth noting. No grand theological synthesis
power.” Their lovemaking (and separation), which scriptures
was attempted. Instead, one notices centralizing trends (on
locate in the mythical Vr:nda¯vana, is on the one hand envis-
an abstract level, in the Bha¯gavata Pura¯n:a, and in concrete
aged as denotative of the nature of brahman (ultimate unity
form, in the influence of the Vr:nda¯vana milieu) that in turn
of Kr:s:n:a and his ´sakti, differentiation within an advaita
produced localized expressions. As an overall trend, a con-
sense, etc.). On the other hand, it is perceived as taking place,
centration on Kr:s:n:a the lover can be recognized, and it is
more literally, in eternity, in a heaven usually called Goloka
only in the twentieth century that people such as Gandhi or
far above the world (and even above Vis:n:u’s heaven,
Bal Gangadhar Tilak began to explore the role of Kr:s:n:a’s
Vaikun:t:ha). Yet the earthly Br:nda¯van remains central, for
teaching in relation to the demands of modern politics and
here the eternal love mysteries and the events that took place
society. The move “beyond Kr:s:n:a” in the direction of a
in the mythical Vr:nda¯vana fuse invisibly. Thus, by living
“Ra¯dha¯ism” (as found, for example, in the later teaching of
here and meditating through song and poetry on Kr:s:n:a and
the Ra¯dha¯vallabh¯ıs or with the Sakh¯ıbha¯vakas) was, on the
Ra¯dha¯—by cultivating bhaktirasa—the devotee has direct
other hand, tentative and of limited appeal.
access to the divine mysteries.
A large corpus of scriptures (devotional poetry along
SEE ALSO A¯lva¯rs; Bhagavadg¯ıta¯; Bhakti; Caitanya; Hindi
¯
with learned treatises) evolved from all this. Even anony-
Religious Traditions; Indian Religions, article on Rural Tra-
mous works such as the Brahmavaivarta Pura¯n:a and the
ditions; Jayadeva; Kr:s:n:a; Marathi Religions; M¯ıra¯ Ba¯¯ı;
Garga Sam:hita¯, or later sections of the Padma Pura¯n:a, show
Nimba¯rka; Ra¯dha¯; S´r¯ı Vais:n:avas; Su¯rda¯s; Tamil Religions;
an affinity, if no direct connection, with this Br:nda¯van mi-
Vaikha¯nasas; Vais:n:avism, article on Pa¯ñcara¯tras; Vallabha;
lieu.
Vis:n:u; Vr:nda¯vana.
FURTHER DIFFUSION. The centripetal forces that Br:nda¯van
exerted on the north soon were balanced by a centrifugal dif-
BIBLIOGRAPHY
fusion of the type of Kr:s:n:aism developed here. Thus Vallab-
No single book has thus far surveyed the whole range of Kr:s:n:aism.
ha’s son Vit:t:hala moved to Gujara¯t in about 1570, where the
William G. Archer’s charming The Loves of Krishna in Indian
samprada¯ya acquired a large following. Kr:s:n:a’s temple in
Painting and Poetry (New York, 1957) can serve as a first in-
Dva¯raka¯ served as ritual center and the maharajas—
troduction to the subject. Four more recent works explore
descendants of Vallabha and gurus of the community—as
different aspects of the Kr:s:n:a figure, but mainly of the earlier
period. My Viraha-Bhakti: The Early History of Kr:s:n:a Devo-
Kr:s:n:a’s personal embodiments. A personal, devotional
tion in South India (New Delhi, 1983), deals primarily with
Kr:s:n:aism is expressed by the Rajput princess M¯ıra¯ Ba¯¯ı (c.
early North Indian material as received and developed in the
1500–1565). In her famous poetry she sang about her love
South (particularly by the A¯lva¯rs and in the Bha¯gavata
for Kr:s:n:a who is fused with her guru¯. A contemporary of hers
¯
Pura¯n:a). The Kr:s:n:a of the classical Pura¯n:as is envisaged in
was the Gujara¯ti poet Nars¯ı Mehta¯ (c. 1500–1580), who
Benjamin Preciado-Solís’s The Kr:s:n:a Cycle in the Pura¯n:as:
wrote about Kr:s:n:a’s and Ra¯dha¯’s Vr:nda¯vana amours. In the
Themes and Motifs in a Heroic Saga (New Delhi, 1984) in the
east, the Caitanyites continued to flourish in Bengal and in-
context of heroic poetry and Indian art history, and in Noel
fluenced Bengali poetry on Kr:s:n:a. S´an:kardev (died c. 1570)
Sheth’s The Divinity of Krishna (New Delhi, 1984) from a
and others introduced versions of Kr:s:n:aism into Assam.
theological point of view. In his Krishna, the Butter Thief
During the eighteenth century Calcutta witnessed the rise of
(Princeton, N.J., 1983), John Stratton Hawley concentrates
the Sakh¯ıbha¯vakas, whose members wore female dress in
on the prankish child as treated in later Hindi poetry, but
he includes earlier textual and art-historical material on the
order to identify themselves even externally with the female
theme. Two collections of individual articles contain much
companions of Ra¯dha¯. In modern times, the Hare Krishna
relevant information: Krishna: Myths, Rites, and Attitudes, ed-
movement exemplifies the continuation of devotional
ited by Milton Singer (Honolulu, 1966), and Bhakti in Cur-
Kr:s:n:aism.
rent Research, 1979–1982, edited by Monika Thiel-
In Kerala ritual Kr:s:n:aism flourishes in connection with
Horstmann (Berlin, 1983). Surendranath Dasgupta’s A His-
the temple of Guruva¯yu¯r, which attracts nowadays large
tory of Indian Philosophy, vols. 3 and 4 (Cambridge, U.K.,
numbers of pilgrims from all over India. Popular texts such
1949–1955), may be consulted on the more technical side
of the philosophical and theological discussion.
as the Kr:s:n:avila¯sa (by Sukuma¯ra, possibly thirteenth or four-
teenth century) and the Na¯ra¯yan:¯ıyam (by Me¯lpathu¯r
New Sources
Na¯ra¯yan:a, 1560–1646)—both based on the Bha¯gavata
Vaisnavi: Women and the Worship of Krishna. Edited by Steven J.
Pura¯n:a—provide a literary backing for it.
Rosen. Delhi, 1996.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KS:ITIGARBHA
5255
Varma, Pavan K. Krishna, the Playful Divine. New Delhi, 1993.
evidence that Dizang became an object of widespread devo-
F
tion there until much later. An important stimulus for the
RIEDHELM E. HARDY (1987)
Revised Bibliography
popularity of faith in Dizang’s vows seems to have come
from the Sanjie Jiao, or Sect of the Three Stages, a group that
believed that various of the teachings of the Buddha were de-
signed to be beneficial in each of three historical ages. Xin-
KS:ITIGARBHA, called Dizang in China and Jizo¯ in
xing (540–594), the founder of the sect, promoted the wor-
Japan, is, after Avalokite´svara, the most important bodhisatt-
ship of Dizang as appropriate to the present, the third and
va of Buddhist East Asia. Ks:itigarbha is also well known in
most evil of the three ages. Judging from the number and
Tibet. His name is usually interpreted to mean “receptacle
dates of images in the Buddhist caves at Longmen, worship
(womb, storehouse) of the earth”; as such, he may be a Bud-
of Dizang became popular among the aristocracy, in tandem
dhist transformation of the Vedic earth goddess Prthivi.
with that of the Buddha Amitabha, from 650 to 700.
Information about the cult of Ks:itigarbha in the esoteric
The Dizang pusa and other texts very possibly written
and exoteric Buddhist traditions comes from a number of
in China made central the notion of Ks:itigarbha’s special in-
su¯tras. Principal among these are two texts:
tention to rescue those in the hells. Filial piety is another
(1) Dasheng daji dizang shilun jing (Maha¯ya¯na
theme that emerges in these texts. Of four stories in the Di-
Maha¯sam:nipata su¯tra on Ks:itigarbha and the ten
zang pusa that relate the origin of Ks:itigarbha’s vow to rescue
wheels; T.D. no. 411). This su¯tra was translated into
all beings from suffering, two tell of his previous births as
Chinese by Xuanzang (596?–664) in the year 651, but
women who are moved to take such a vow after they have
there may have been an earlier translation of the same
learned that their own mothers are suffering in the Avici
Sanskrit original made about 400. This scripture is the
hells. In certain “counterfeit” su¯tras (i.e., su¯tras whose prove-
only exoteric su¯tra concerning Ks:itigarbha whose pre-
nance is clearly Chinese) showing obvious Daoist influence,
Chinese origin is undoubted.
Ks:itigarbha was linked to the “ten kings” who were the judg-
es of the Chinese “dark regions,” and prayed to specifically
(2) Dizang pusa benyuan jing (Su¯ra of the original vow of
in order to lengthen life and ward off disaster. In these su¯tras,
the Bodhisattva Ks:itigarbha; T.D. no. 412). This su¯tra
Dizang both judges and saves beings.
is said to be translated from Sanskrit by S´iks:a¯nanda
(652–710), but in fact this attribution is impossible to
Reliance on Dizang’s vow remains part of Buddhist
substantiate. Many contemporary scholars believe that
practice in Chinese cultural areas today. In the seventh lunar
the su¯tra was written in China as late as the tenth or
month the Dizang pusa is widely recited and special offerings
eleventh century.
made in gratitude for his rescuing of ancestors reborn in the
HISTORY IN INDIA. An independent cult of Ks:itigarbha ap-
various hells.
parently never developed in India. The seventh-century Chi-
HISTORY IN TIBET. Ks:itigarbha is known in Tibet as Sahi
nese pilgrims to India do not mention Ks:itigarbha. Man:d:alas
snying po. There is a Tibetan translation of the Dasheng daji
in the cave-temples of Ellora do include Ks:itigarbha, but
but not of the Dizang pusa. Ks:itigarbha is most frequently
there are no separate images of him. Textual references to
honored as one of the grouping of “eight great bodhisattvas”
Ks:itigarbha are found as far back as the first or second centu-
whose man:d:alas are important in the Esoteric (i.e.,
ry CE, as well as quotations from an A¯rya Ks:itigarbha Su¯tra
Vajraya¯na) tradition.
in a text from the seventh or eighth century. In Central Asia,
HISTORY IN JAPAN. The first unquestioned evidence of the
Ks:itigarbha was more important: Separate images have been
enshrining of an image of Jizo¯ in Japan and the conducting
found in caves at Dunhuang in what is now Gansu province.
of an offering service in his temple dates from the year 850.
According to the Dasheng daji, Ks:itigarbha’s special
From the ninth century onward, ceremonies of offerings
characteristic is that S´a¯kyamuni Buddha has entrusted him
called Jizo¯ko¯ were widely observed to avert illness and to res-
with the task of rescuing sentient beings during the buddha-
cue beings from the hells. Jizo¯ also became honored through-
less interval between S´akyamuni’s parinirva¯n:a and the en-
out the country as a protector of children as well as a provider
lightenment of the next Buddha, Maitreya. For countless
of various blessings sought by the common people. Jizo¯’s fes-
aeons, the scripture maintains, he has worked to lead sentient
tival (Jizo¯bon), on the twenty-fourth day of the seventh
beings toward buddhahood in worlds bereft of buddhas.
month, usually centers on prayers for the safety of children.
Ks:itigarbha is said to respond to those who call upon his
In Japan, many carved stone images of Jizo¯ can still be
name and rely on him singlemindedly, meeting their imme-
found at roadsides or in the wild. (Some scholars say that
diate needs, eliminating their suffering, and setting them
these images gradually replaced an indigenous tradition of
firmly on the path to nirva¯n:a. He softens the hearts of those
erecting stone phallic symbols by the roadside.) In this form,
mired in evil and brings them repentance. Similarly, those
Jizo¯ is the subject of many children’s songs and folk songs
in hells obtain release through his intercession.
from ancient times. Today, as in the past, when people
HISTORY IN CHINA. Knowledge of Ks:itigarbha (Dizang) was
mourn victims of war or traffic accidents, or pray for children
probably introduced to China around 400, but there is no
or for the mizunoko (the souls of children who died before
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5256
KUAN-YIN
birth, usually by miscarriage and abortion), they still often
KUAN-YIN SEE AVALAOKITES´VARA
dedicate a small Jizo¯ image at a temple.
ICONOGRAPHY. Although Ks:itigarbha appears in the princely
garb of a bodhisattva in the Esoteric tradition and in all tradi-
tions in China, in Japan he usually appears with the shaved
KUBRA¯, NAJM AL-D¯IN. Al-Kubra¯, Shaykh Abu¯
head and monk’s robes of a ´srava¯ka, or H¯ınaya¯na monk, a
al-Janna¯b Najm al-D¯ın Ah:mad ibn EUmar, Kh¯ıwaq¯ı, known
devotee of the first of the “three vehicles” that, in Maha¯ya¯na
as Najm al-D¯ın Kubra¯, was a S:u¯f¯ı master (AHsixth–seventh
thought, comprehend the three soteriological paths recog-
centuries/twelfth–thirteenth centuries CE) and founder of the
nized by the tradition. He usually carries a pearl and a staff.
Kubraw¯ıyah Order. Najm al-D¯ın was born circa AH540/
In the Japanese Shingon (Vajraya¯na) tradition he appears in
1145 CE at Khiva in Khwa¯rizm (Khorezm, Uzbekistan), then
both the Taizo¯kai (Womb Realm Man:d:ala) and the
a flourishing region of Central Asia. As a student his talent
Kongo¯kai (Diamond Realm Man:d:ala). Another highly de-
for theological disputation earned him the epithet al-Kubra¯,
veloped tradition in Japan is the depiction of “six Jizo¯s,” each
an abbreviated form of the QurDanic phrase al-k:ia¯mmat
with different attributes according to the path of rebirth in
al-kubra¯, “the greatest calamity” (84:34)
which he appears.
Kubra¯’s travels in search of religious learning—chiefly
S
h:ad¯ıth (prophetic tradition) and kala¯m (theology)—took
EE ALSO Buddhas and Bodhisattvas, article on Celestial
Buddhas and Bodhisattvas; Xinxing.
him to Egypt, where he spent several years, and also to Iran
and Asia Minor. Najm al-D¯ın received initiation into Sufism
BIBLIOGRAPHY
in Egypt from Ru¯zbiha¯n al-Wazza¯n, a sheikh of the
In English, M. W. de Visser’s The Bodhisattva Dizang (Jizo¯) in
Suhraward¯ıyah Order. Najm al-D¯ın continued to study the-
China and Japan (Berlin, 1914), although somewhat dated,
ology in Iran until he had a decisive encounter in Tabriz with
remains the best reference. The Dizang pusa has been trans-
Ba¯ba¯ Faraj, after which he devoted himself wholly to the
lated into English by Heng Jing and the Buddhist Text
mystical path, first under Isma¯E¯ıl al-Qas:r¯ı (d. 589/1193) in
Translation Society as Sutra of the Past Vows of Earth Store
western Iran and then under EAmma¯r ibn Ya¯sir al-Bidl¯ıs¯ı
Boddhisattva: The Collected Lectures of Tripitaka Master Xuan
(d. 582/1186). Finally EAmma¯r sent him back to Ru¯zbiha¯n
Hua (San Francisco, 1974).
to complete his training. Probably between 581/1185 and
The literature in Japanese is extensive. Among the best works are
586/1190, Kubra¯ returned to Khwa¯rizm with authorization
Manabe Ko¯sai’s Jizo¯ bosatsu no kenkyu˘, 2d ed. (Kyoto, 1969),
as a S:u¯f¯ı master in his own right.
which includes a history of texts; Hayami Tasuku’s Jizo¯
shinko¯ (Tokyo, 1975), a well-researched, popular book with
The remainder of Najm al-D¯ın’s life was devoted to the
a good bibliography; and Jizo¯ shinko¯, edited by Sakurai
S:u¯f¯ı path, the training of disciples, and the composition of
Tokutaro¯ (Tokyo, 1983), which includes essays on all aspects
treatises. He founded the Kubraw¯ıyah t:ar¯ıqah (order),
of the topic by a number of scholars.
whose offshoots spread far and wide. Its genealogical line of
New Sources
successive sheikhs is traced back to the Prophet through
Gabain, Annemarie von. “Ksitigarbha-Kult in Zentralasien.
Ru¯zbiha¯n al-Wazza¯n and Abu¯ al-Naj¯ıb al-Suhraward¯ı
Buchillustrationen aus den Turfan-Funden.” In Indologen-
(Gramlich, 1965). Owing to the stature of his disciples,
Tagung: Verhandlungen der Indologischen Arbeitstagung im
Kubra¯ acquired a second nickname, Wal¯ı-Tara¯sh
Museum für Indische Kunst Berlin, 7. – 9. Oktober 1971,
(“Fashioner of Saints”). He died a martyr’s death in battle
Wiesbaden 1973, pp. 47–71, edited by Herbert Härtel and
when the Mongol army attacked Urganj, present-day
Volker Moeller. Wiesbaden, 1973.
Kunya-Urgench in Turkmenistan.
Kamstra, J. H. “Jizo on the Verge of Life and Death: The Bodhi-
sattva-god of Japan’s Buddhism of the Dead.” In Funerary
Najm al-D¯ın Kubra¯’s principal writings are mostly in
Symbols and Religion: Essays Dedicated to Professor M. S. H.
Arabic. S:ifa¯t al-a¯da¯b, in Persian (Meier, 1999), expounds the
G. Heerma van Voss on the Occasion of His Retirement from
basics of the S:u¯f¯ı path, including rules of discipline. Kubra¯’s
the Chair of the History of Ancient Religions at the University
rules are also set out in al-Ulu¯l al - Easharah, which inspired
of Amsterdam, edited by J. H. Kamstra, H. Milde, and K.
¯
several commentaries, and in Persian in both Risa¯lat al-ha¯ Dim
Wagtendonk, pp. 73–88. Kampen, 1988.
al-kha¯ Dif min lawmat al-la¯Dim (Letter to the ecstatic one fear-
LaFleur, William R. Liquid Life: Abortion and Buddhism in Japan.
ful of blamers’ blame) and the more wide-ranging exposition
Princeton, 1992.
A¯da¯b al-sulu¯k il az:rat Ma¯lik al-Mulk wa Ma¯lik al-Mulk
Miyazaki, Fumiko, and Duncan Ryuken Williams. “The Intersec-
(Rules of traveling to the presence of the Master of the King-
tion of the Local and the Translocal at a Sacred Site: The
dom and King of Kings). To summarize, they prescribe cons-
Case of Osorezan in Tokugawa Japan.” Japanese Journal of
tant observance of ritual purity, fasting, silence, seclusion,
Religious Studies 28, nos. 3–4 (2001): 399–440.
and invocation of God. Disciples must keep their hearts fo-
Wang-Toutain, Françoise. Le bodhisattva Ks:itigarbha en Chine du
cused on the sheikh, abandoning their own will and referring
Ve au XIIIe siècle. Paris, 1998.
all questions to him; discard all thought impulses, the various
MIRIAM LEVERING (1987)
types of which, good and bad, must nevertheless be rigorous-
Revised Bibliography
ly distinguished; and surrender entirely to the Divine Will.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KUBRA¯, NAJM AL-D¯IN
5257
Sleep must be minimized and moderation observed in break-
al-s:aqa¯Diq. His Risa¯lah- Ei Nu¯r¯ıyah adds to Kubra¯’s and Ra¯z¯ı’s
ing the fast.
earlier interpretations of visions of light.
Najm al-D¯ın probably wrote only a small part of Bas:r
Some Kubraw¯ı masters acquired influence in the out-
al-S:aqa¯Diq (The ocean of divine realities), also known as EAyn
side world. Berke, khan of the Mongol Golden Horde, con-
al-S:aya¯t (The source of life), the profound and highly origi-
verted to Islam at Sayf al-D¯ın Ba¯kharz¯ı’s kh a¯naqa¯h.
nal QurDa¯n commentary (tafs¯ır) begun by him and complet-
H:ammu¯D¯ı’s son and successor officiated when Gha¯za¯n Khan,
ed in turn by two other Kubraw¯ıs, Ra¯z¯ı and Simna¯n¯ı. Sever-
Mongol ruler of Iran, embraced Islam in 694/1295. Simna¯n¯ı
al brief tracts and some mystical quatrains (ruba¯ Eiyya¯t) in
also moved in court circles. As for literati, notable Persian
Persian are also attributed to Kubra¯.
poets who were disciples or associates of Kubraw¯ı sheikhs in-
clude Huma¯m Tabr¯ız¯ı, Muh:ammad Sh¯ır¯ın Maghrib¯ı, and
Kubra¯’s best-known work, Fawa¯ Dih: al-jala¯l wa fawa¯tih:
Sayyid Qa¯sim al-Anwa¯r.
al-jama¯l, contains instructions on S:u¯f¯ı discipline; reminis-
cences of incidents in the author’s outward and inner lives;
The Kubraw¯ıyah prospered for some generations in
and interpretive descriptions of mystical states, encounters,
parts of central Asia and Iran. A few offshoots of the order
visions, and revelations. Prolonged retreat for intensive invo-
have survived into the twenty-first century. By 699/1300 it
cation and fasting, often for forty days, was central to
reached India, where it became known as the Firdaws¯ıyah
Kubraw¯ı methodology as a means of opening the heart to
and produced a didactic classic in the Maktu¯b-i ad¯ı (Hun-
experiential knowledge of God. The Fawa¯ Dih: describes with
dred letters of Sharaf al-D¯ın Maner¯ı [d. 772/1371]). The
exceptional openness experiences of a highly personal nature
missionary activity of Sayyid EAl¯ı Hamada¯n¯ı (d. 786/1385),
in both the everyday and the suprasensory realms. Its primary
a Persian Kubraw¯ı, played a great part in the spread of Islam
themes include that everything in the created universe can
in Kashmir, where the Hamada¯n¯ıyah branch is still active.
be found within the human microcosm; that humans have
Far to the west the Ottoman sultan Sulayma¯n II the Magnifi-
innate knowledge of spiritual realities, but to actualize it they
cent (r. 926–974/1520–1566) was initiated into Sayyid
must “un-forget” (cf. Neoplatonic anamnesis); that because
EAlD¯ı’s litanies (awra¯d). Even in the nineteenth century some
like can only be known by like, inward purity and outward
Turkish sheikhs of other orders claimed a Kubraw¯ı affiliation
purity are prerequisites for gaining ma Erifah; the lata¯Dif, sub-
as well, though the order seems never to have become estab-
tle centers of perception; and the significance of visions of
lished on Ottoman soil. In Iran the Nu¯rbakhsh¯ıyah branch
lights seen during invocation in relation to spiritual states
endured into the tenth/sixteenth century. The rival
and the lata¯ Dif. The Fawa¯Dih: also contains unusual herme-
Barzisha¯ba¯d¯ı faction, also descended from Hamada¯n¯ı, even-
neutical interpretations (ta Dw¯ıla¯t) of QurDanic verses and of
tually evolved into the Sh¯ıE¯ı Dhahab¯ıyah Order, which still
other texts and sayings.
has two active branches, and during the fourteenth/twentieth
century it produced many writings.
Mainly because of the Mongol invasion, Kubra¯’s follow-
ers dispersed widely. His successors, direct and later, varied
The Kubraw¯ıyah’s later history in Central Asia has been
greatly in background and outlook. Several made significant
brilliantly investigated by Devin De Weese (1988, 1994).
contributions to Kubraw¯ı doctrine and methodology. Majd
The ninth/fifteenth century saw the rise of the Naqshband¯ı
al-D¯ın Baghda¯d¯ı (d. 616/1219) composed some short trea-
Order, which largely supplanted all its rivals there by the end
tises before his untimely death. SaEd al-D¯ın H:ammu¯D¯ı
of the eleventh/seventeenth century. H:usayn Khwa¯razm
(d. 650/1252) and the Sh¯ıE¯ı EAz¯ız al-D¯ın Nasaf¯ı (d. before
(d. 958/1551) temporarily revived Kubraw¯ı fortunes in Sam-
1300) wielded much influence in Iran. Both were prolific au-
arkand and elsewhere; in India his deputy YaEqu¯b S:arf¯ı initi-
thors. While H:ammu¯D¯ı tends to be abstruse, Nasaf¯ı, like
ated the famous Naqshband¯ı Mujaddid Sheikh Ah:mad
Ra¯z¯ı, is distinguished by his clarity of exposition. Kama¯l
Sirhind¯ı. In Java (van Bruinessen, 1994) several S:u¯f¯ı orders
al-D¯ın (also known as Ba¯ba¯ Kama¯l) Jand¯ı, later Sighnaq¯ı
included Najm al-D¯ın Kubra¯’s name in their genealogy (sil-
(d. 672/1273), played a major part in transmitting the order
sila), and Kubraw¯ı teachings conceivably had some actual in-
in Khwa¯rizm and surrounding regions, especially among the
fluence, for example, on the interpretation of visions. Heavi-
Turkic population. In the Bukhara region Sayf al-D¯ın
ly mythologized, Kubra¯ also features in Javanese quasi-
Ba¯kharz¯ı (d. 658/1260) was revered as Shaykh-i EA¯lam (the
Islamic folklore under the name of Jumadil Kubra, who has
Sheikh of the World). Both Raz:¯ı al-D¯ın EAl¯ı La¯la¯
several maqa¯ms (centers of pilgrimage). Some Kubraw¯ı
Samarqand¯ı (d. 642/1244) and Baghda¯d¯ı’s disciple Najm
groups possibly existed in modern times in Chinese-ruled
al-D¯ın Da¯yah Ra¯z¯ı (d. 654/1256) brought Kubraw¯ı teach-
Central Asia, though hard evidence is lacking. Najm al-D¯ın
ings to Asia Minor. Coauthor of Bas:r al-s:aqa¯Diq, Ra¯z¯ı also
Kubra¯’s shrine remains among the most revered in Central
wrote one of the finest Persian treatises on Islamic mysticism,
Asia.
ethics, and eschatology, Mirsad al- Eibad (The path of God’s
servants). The work traveled far, and one extant manuscript
BIBLIOGRAPHY
has annotations in a Chinese dialect. Another Iranian
Corbin, Henry. The Man of Light in Iranian Sufism. Translated
Kubraw¯ı sheikh, EAla¯D al-Dawlah Simna¯n¯ı (d. 736/1336),
from French by Nancy Pearson. Boulder, Colo., and Lon-
produced several treatises, lyric poetry, and also much of Bas:r
don, 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
5258
KUIJI
De Weese, Devin. “The Eclipse of the Kubrav¯ıyah in Central
the life of a court official, but decided while still in his teens
Asia.” Iranian Studies 21, nos. 1–2 (1988): 45–83.
to enter the Buddhist monastic order instead. In 645 Xuan-
De Weese, Devin. “Ba¯ba¯ Kama¯l Jand¯ı and the Kubrav¯ı Tradition
zang returned from his extended study of Buddhism in India
among the Turks of Central Asia.” Der Islam 71, no. 1
and was commissioned by Taizong, the second Tang emper-
(1994): 58–94.
or, to oversee the translation of the numerous Buddhist texts
Elias, Jamal J. “A Kubraw¯ı Treatise on Mystical Visions: The
he had brought back to China. Upon his ordination several
Risa¯la-yi Nuuriyya of EAla¯D ad-Dawla as-Simna¯n¯ı.” Muslim
years later, Kuiji was assigned by imperial order to Xuan-
World 83, no. 1 (1993): 68–80.
zang’s translation team and soon became one of his most ca-
Elias, Jamal J. “The Sufi Lords of Bahrabad: SaEd al-Din and Sadr
pable students. As Xuanzang’s main assistant for much of the
al-Din Hamuwayi.” Iranian Studies 27, nos. 1–4 (1994):
project, Kuiji appears to have been the actual editor of the
53–75.
influential Cheng weishi lun, a synopsis of early Indian schol-
arship on Yoga¯ca¯ra Buddhism.
Elias, Jamal J. The Throne Carrier of God: The Life and Thought
of EAla¯ Dad-Dawla as-Simna¯n¯ı. Albany, N.Y., 1995.
After the death of Xuanzang (664), Kuiji turned from
Gramlich, Richard. Die schiitischen Derwischorden Persiens. Vol. 1,
translation to exegesis, writing extensive commentaries on
Die Affiliationen. Wiesbaden, Germany, 1965.
most of the works translated by the imperial project, a corpus
reflecting his interest in a wide range of Buddhist issues both
Maneri, Sharafuddin. The Hundred Letters. Translated by Paul
philosophical and practical. He was especially concerned
Jackson. New York, 1980.
with the doctrine of vijñaptima¯trata¯, which holds that the
Meier, Fritz. “A Book of Etiquette for Sufis.” In Essays on Islamic
world as we know it is the result of a psychologically condi-
Piety and Mysticism, translated by John O’Kane, edited by
tioned process of cognitive construction. Kuiji also devoted
Bernd Radtke, pp. 49–92. Leiden, Netherlands, 1999. A
considerable literary effort to working out scholastic prob-
paraphrase with commentary of Kubra¯’s S:ifa¯t al-a¯da¯b.
lems associated with the stages of progression along the path
Molé, Marijan. “Les Kubrawiya entre sunnisme et shiisme aux
to liberation. In addition, he wrote important works on Bud-
huitième et neuvième siècles de l’Hégire.” Revue des etudes is-
dhist logic and, consistent with his Yoga¯ca¯ra affiliation, his
lamiques 29 (1961): 61–142.
personal religious practice emphasized devotion to the bodhi-
Najm al-D¯ın al-Kubra¯. Die Fawa¯ Dih: al-jama¯l wa fawa¯tih: al-jala¯l.
sattva Maitreya.
Edited with introductory study by Fritz Meier. Wiesbaden,
Germany, 1957. A French translation is Les éclosions de la be-
In spite of its early prominence, the Faxiang school soon
auté et les parfums de la majesté, translated by P. Ballanfat.
experienced a rapid decline, beginning with a shift in imperi-
Paris, 2001.
al patronage that was already apparent in Kuiji’s lifetime.
The conservative, highly technical, and very scholastic ver-
Najm al-D¯ın al-Kubra¯. “Traités mineurs de Najm al-D¯ın Kubra¯.”
Edited by M. Molé. Annales islamologiques 4 (1963): 1–78.
sion of Indian Yoga¯ca¯ra thought represented by the school
proved antithetical to the prevailing fashion of Tang Bud-
Najm al-D¯ın Ra¯z¯ı. The Path of God’s Bondsmen from Origin to Re-
dhism, which had begun to develop independently of the
turn. Translated by Hamid Algar. Delmar, N.Y., 1982.
continuing Indian tradition. To bridge this gap Kuiji sought
Ridgeon, Lloyd V. J. EAz¯ız Nasaf¯ı. Richmond, Va., 1998.
to interpret unfamiliar Indian Yoga¯ca¯ra ideas in terms of
Van Bruinessen, Martin. “Najmuddin al-Kubra, Jumadil Kubra,
contemporary Chinese Buddhist vocabulary (see especially
and Jamaluddin al-Akbar: Traces of Kubrawiyya Influence
his Weishi zhang, or Essay on Vijñaptima¯trata¯). His views be-
in Early Indonesian Islam.” BKI (Bijdragen tot de Taal- Land-
came the subject of increasing polemic, however, and the
en Volkerkunde) 150, no. 2 (1994): 305–328.
school was soon eclipsed by the more indigenous Huayan
Waley, Muhammadisa I. “Najm al-D¯ın Kubra¯ and the Central
and Tiantai doctrines. Particularly unacceptable to Kuiji’s
Asian School of Sufism (the Kubrawiyyah).” In Islamic Spiri-
contemporaries was the Yoga¯ca¯ra affirmation of three dis-
tuality: Manifestations, edited by Seyyed Hossein Nasr,
tinct (and unequal) religious careers and its corollary that
pp. 80–104. World Spirituality vol. 20. New York, 1991.
some beings, the icchantikas, were inherently incapable of
MUHAMMAD ISA WALEY (2005)
any religious development and were thus forever barred from
liberation.
Despite the eclipse of the Faxiang school, Kuiji’s com-
mentaries and essays continued to be widely read throughout
KUIJI (632–682), religious name of the first patriarch of
East Asia. His students introduced Faxiang thought to Japan,
the Faxiang school of Chinese Buddhism, also known by the
where, as Hosso Buddhism, it became the basis for one of
titles Dasheng Ji and Ci’en Dashi. Kuiji was the foremost
the historically most influential of the Nara schools. While
disciple of the great pilgrim-monk Xuanzang, under whose
the full range of Kuiji’s contribution has not yet been fully
tutelage he came to play an instrumental role in the second
assessed by modern scholarship, his greatest achievement
major transmission of Indian Yoga¯ca¯ra Buddhist thought
may be seen in his effort to catalog and preserve details of
into China.
the scholastic period of Indian Yoga¯ca¯ra thought, especially
Born into a family of famous generals, the Yuzhi, Kuiji
since he recorded material from texts that now no longer sur-
received a classical Confucian education in preparation for
vive in the original Sanskrit.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KULTURKREISELEHRE
5259
SEE ALSO Xuanzang; Yoga¯ca¯ra.
pects are not an integral part of the concept of a “circle,”
whereas the term cycle is concerned exclusively with the chro-
BIBLIOGRAPHY
nological aspect. For this reason it would be more appropri-
Besides his extensive commentaries, Kuiji wrote a number of es-
ate to use the expression culture ambit-complex, which is, like
says, many of which were collected in his doctrinal compen-
the common expression culture area, a concept particular to
dium, the Dasheng fayuan yilin zhang (T. D. no. 1861). For
modern historical and idiographic thought developed in the
a translation and study of the most important of these, his
United States through criticism of the generalized ideas of
Essay on Vijñaptima¯trata¯ (Weishi zhang), see my study “The
history devised by writers such as Franz Boas (1940). This
Vijñaptima¯trata¯ Buddhism of the Chinese Monk K’uei-chi”
article, however, retains the traditional term to avoid confus-
(Ph. D. diss., University of British Columbia, 1980). On
Kuiji’s relation to the Indian Yoga¯ca¯ra tradition, see my arti-
ing the reader.
cle “The Trisvabha¯va Doctrine in India and China: A Study
By setting up culture “circles,” that is, various areas gov-
of Three Exegetical Models,” Bukkyo¯ bunka kenkyu¯jo kiyo¯ 21
erned by the same or a dominant culture (in the view of the
(1982): 97–119. In his Buddhist Formal Logic (London,
cultural-historical school) ethnology ceased to be either the
1969), Richard S. Y. Chi has written an excellent study of
early Indian Buddhist Nya¯ya in China based primarily on
unsystematic collecting of artifacts or the binding of dispa-
Kuiji’s commentaries to the Nya¯yaprave´sa. The rather limit-
rate artifacts under the concept of evolutionism or unilinear
ed traditional sources for Kuiji’s biography have been thor-
development. Cultural historians also maintain that their
oughly analyzed and summarized by Stanley Weinstein in “A
method allows them to identify the differences between pre-
Biographical Study of Tz’u˘-ên,” Monumenta Nipponica 15
literate peoples, to characterize cultural phases, and to pro-
(April–July 1959): 119–149.
vide a concrete demonstration of the historical relationships
New Sources
between cultural phenomena, avoiding inadequately argued
Shih, Heng-ching, trans. A Comprehensive Commentary on the
references to the a priori psychological unity of the human
Heart Sutra (Prajña¯pa¯ramita¯-Hr:daya-Su¯tra). Translated from
race.
the Chinese of K’uei-chi in Collaboration with Dan Lusthaus.
Berkeley, 2001.
From what has been stated above, it can be concluded,
as Marvin Harris (1968) stresses, that from a cultural-
Sponberg, Alan. “Meditation in Fa-hsiang Buddhism.” In Tradi-
historical perspective the culture circles are also strata or
tions of Meditation in Chinese Buddhism, edited by Peter N.
Gregory, pp. 15–43. Honolulu, 1986.
phases of a universal chronological plan (based upon the as-
sumption that cultures should be placed in an evolutionary
Williams, Paul. Maha¯ya¯na Buddhism: The Doctrinal Foundations.
sequence according to the level of civilization attained). For
London, 1989. See Chapter 4.
many, this was what evolutionists had already done—
ALAN SPONBERG (1987)
construct a completely hypothetical history. The notion of
Revised Bibliography
the “cultural stratum” has a long history developed by au-
thors such as Gian Battista Vico (1668–1744) and Johann
Jakob Bachofen (1815–1887), who identified three Kulturs-
KULTGESCHICHTLICHE SCHULE S
tufen. This notion, which seems to precede the organicism
EE
MYTH AND RITUAL SCHOOL
of some cultural historians, is based upon the belief that
every cultural form is a living thing that comes into being,
develops, and disappears (Casadio, 1994).
The precursors of the cultural-historical method were
KULTURKREISELEHRE. Kulturkreiselehre (doc-
the Russian naturalist Nikolaj Yakovlevicˇ Danilevsky (1822–
trine of culture “circles”), also called the cultural-historical
1865) and the German geographer Friedrich Ratzel (1844–
method, refers to a model developed at the beginning of the
1904). In his Anthropogeographie (1882–1891) and
twentieth century by German-speaking ethnologists to pro-
Völkerkunde (1885–1888), Ratzel attempted to resolve the
vide ethnology with a cultural-historical perspective. The in-
conflict between convergence theory (egregiously represent-
tention of these scholars was to change the study of preliter-
ed in Adolf Bastian’s notion of Elementargedanken) and dif-
ate peoples into a historical science, freeing it from the
fusionism, in favor of the latter. Ratzel applied, for the first
naturalistic approaches that, influenced by positivism, had
time, the zoological migration theory to explain the expan-
been dominant since the beginning of the nineteenth century
sion, migration, and layering of cultures. He used the “form
and that still form a theoretical model of reference.
criterion”—based upon the identification of material objects
In anthropological works in English and the main Ro-
that have been made in the same form, not determined by
mance languages, the German word Kreis is often translated
their function or the physical properties of the material em-
as “circle” or “cycle,” but this translation is inaccurate be-
ployed—to confirm contacts, often across great distances,
cause the use of Kulturkreis as a concept is intended to indi-
between cultures. Ratzel’s pupil Leo Frobenius, however, is
cate the context—the complex of conditions in which a par-
considered the founder of the cultural circle theory. Accord-
ticular culture is developed and spread and, at the same time,
ing to Paul Leser (1964), however, Ratzel devised the con-
the entire extent of its important characteristics. These as-
cept of Kulturkreis, even if Frobenius was the first to use 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
5260
KULTURKREISELEHRE
expression in the modern sense. With the aid of the “quanti-
cording to some scholars, among the followers of the histori-
tative criterion” (the more numerous the similarities between
cal-cultural school there is variation between the atomistic
two cultural elements, the more likely there will be a histori-
concept of culture, in which diverse cultural characteristics
cal-genetic relationship between them), Frobenius proposed
coexist, and the organic conception, which instead opens the
a “West African culture area” in his Der Ursprung der afri-
way to the functionalism moderated by the historical ap-
kanischen Kulturen (1898). From this concept, however, he
proach of Richard Thurnwald and Wilhelm Mühlmann.
later developed the notion of “culture morphology,” in
According to Schmidt, cultural elements can be com-
which culture was conceived as a living organism whose de-
pared only if they are related to each other or occur within
velopment was determined by a soul (paideuma). Adopting
the same cultural complex. In determining the origin of the
an irrational position, Frobenius held that the inner meaning
cultural complex, a double rule applies: a cultural element
of culture can only be understood by intuition.
can be explained only within its own cultural complex, and
Frobenius’s work was joined by the scholarship of Bern-
in this explanation the oldest cultural forms are of primary
hard Ankermann, in “Kulturkreise und Kuhurschichten in
significance. The Kulturkreise proposed by Schmidt are:
Afrika,” and Fritz Graebner, in “Kulturkreise und Kultursch-
l. Primitive cultures, characterized by preliterate hunters
ichten in Ozeanien,” which appeared in Zeitschrift für Eth-
and gatherers:
nologie 37 (1905). With his Die Methode der Ethnologie
1.1 Central primitive culture; exogamous and monogamous
(1911), Graebner created the methodological basis for eth-
marriages.
nology and introduced methods of historical inquiry, espe-
1.2 Southern primitive culture; exogamous marriages and
cially the methods developed in Ernst Bernheim’s Lehrbuch
sex totems.
der historischen Methode (5th ed., 1908). Another important
methodological contribution to the cultural-historical school
2. Primary cultures, characterized by preliterate agricultur-
is found in the work of the Jesuit historian and theologian
alists:
Henri Pinard de la Boullaye (1929–1931), who added new
2.1 Exogamous marriages, patrilineal kinship; totemism,
criteria to be used for a more precise historical analysis of cul-
higher-stages hunting; “city” culture.
tural phenomena. A majority of the young ethnologists of
2.2 Exogamous marriages, matrilineal kinship; horticultur-
the period gathered under the banner of the cultural-
ist; “village” culture.
historical method, even if they did not always make use of
2.3 Patrilineal kinship, undivided families; pastoral nomads
Kulturkreis, which was replaced by other similar concepts.
who become ruling races.
WILHELM SCHMIDT’S CONTRIBUTION. The Viennese lin-
3. Secondary cultures, characterized by picture writing:
guist and ethnologist Father Wilhelm Schmidt (1868–1954)
3.1 Free patrilineal cultures (e.g., Polynesia, the Sudan,
developed the concept of the culture circle into an extended
western India, western Asia, southern Europe).
system by unifying it and incorporating new elements. In his
Handbuch der Methode der kulturhistorischen Ethnologie
3.2 Free matrilineal cultures (e.g., southern China, eastern
(1937), Schmidt wrote that a culture complex can be called
India, Melanesia; the northeast of South America).
Kulturkreis if it embraces all the essential categories of human
4. Tertiary cultures, characterized by alphabet use (the old-
culture, such as material culture, economy, and religion.
est civilizations of Asia, Europe, and the Americas).
Through the continuing scholarship of Wilhelm Koppers,
Schmidt presumes a succession that is distinguished from the
Martin Gusinde, and Paul Schebesta, the concept of the cul-
older evolutionism schema but that assumes, in effect, a re-
tural circle acquired acceptance in the history of religion and
verse evolution, or a “devolution.” This reversal becomes
periodically dominated discussion in the area of the ethnolo-
particularly obvious in Schmidt’s religious historical schema.
gy of religion. In his twelve-volume work Der Ursprung der
In primitive cultures the belief in a Supreme Being domi-
Gottesidee (1912–1955), Schmidt used the Kulturkreiselehre
nates; this belief is interpreted as primordial monotheism. In
to support the theory of primordial monotheism (Urmono-
the next stage, primary cultures, the belief in spirits (ani-
theismus).
mism), magic, and totemism (animal worship) emerges.
In 1906 the periodical Anthropos became the mouth-
These beliefs increasingly stifle monotheism and eventually
piece of Schmidt’s Viennese school. To quantitative and
result in the polytheism of the higher cultures, but the earlier
form criteria, Schmidt added the criteria of continuity and
monotheistic stage is finally revived by the biblical religions.
relatedness as a means of determining relatively uniform cul-
Nineteenth-century British evolutionists were lined up
tural complexes. He emphasized the temporal factor and the
against a similar concept of religious history, defined as “de-
succession of cultural strata in time, and thus introduced the
generationism,” supported, for example, by the Anglican
question of the origin and development of the culture areas.
archbishop of Dublin Richard Whately. In particular, Ed-
The Viennese ethnologist employed the cultural stratum idea
ward B. Tylor (1871) produced a timely critique of degen-
(Kulturschicht), which, like Kulturkreis, was an organic com-
erationism to demonstrate the validity of his progressive con-
plex produced by an almost biological determinism, but he
cept of history inspired by the thinking of the followers of
did not recall his predecessor Bachofen (Casadio, 1994). Ac-
the Enlightenment.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KULTURKREISELEHRE
5261
Without a doubt, Schmidt sought through the use of
The link with biology, not unknown in fields such as
the Kulturkreiselehre a historical proof of the existence of
social anthropology, is also identified by Boas and Robert H.
God. It is small wonder, then, that this school has fallen into
Lowie. Boas, for example, states that Kulturkreiselehre bases
disrepute among ethnologists, because it appears to serve the
the stability of cultural complexes upon the biological princi-
aims of Catholic theology more than those of unbiased re-
pal of the permanence of the characteristics of a particular
search. The members of the Viennese school, especially Josef
entity (Boas, 1911, p. 807). Although Kluckhohn and Lowie
Haekel and Walter Hirschberg, have increasingly distanced
recognize that the cultural historians refer to the basic tenets
themselves from Schmidt’s ideas.
of the Catholic Weltanschauung, they still do not maintain
METHODOLOGICAL DEBATE. The establishment and re-
that these, more than others, invalidate the results of their
search of cultural historians gave rise to an interesting debate,
research. After all, they seem to be supporters of method-
in which anthropologists and religious historians pointed out
ological pluralism, convinced that cultural anthropology
what, in their opinion, were the strong and weak points of
benefits from the use of different methods.
this ethnological point of view, which had spread in Ger-
man- and Italian-speaking circles (with the occasional
Another important moment in the development of the
French exception, such as Georges Montandon). This con-
theory of cultural environment was the publication of Robert
vergence of Italian- and German-speaking scholars is particu-
Heine-Geldern’s “One Hundred Years of Ethnological The-
larly owed to the fact that both groups were Catholics. In ad-
ory in German Speaking Countries” (1964). Heine-Geldern
dition, some of them were priests and played an important
reconstructs the history of ethnology in German-speaking
part in the political life of the Catholic Church.
countries, setting out elements of continuity between the
various scholars. In his opinion, the work of Ratzel is of great
Italian diffusionists include Renato Biasutti, Renato
importance, as he brought to an end the stagnation that had
Boccassino, Padre Luigi Vannicelli, Vinigi L. Grottanelli,
characterized German thinking, which had been dominated
and Guglielmo Guariglia, who as well as devising important
by the doctrine of Elementargedanken in the period 1860–
criticisms of the theories of the Viennese school were also fol-
1890 (Heine-Geldern, 1964, pp. 411–412). He notes that
lowers of it. Subsequently, Italian ethnology and cultural
anthropology were influenced by other sources, such as Brit-
the historical-cultural school has a candid and dogmatic be-
ish functionalism, American anthropology, and French
lief in the temporal stability of cultural complexes, denying
structuralism.
the dynamic nature of culture (Heine-Geldern, 1964,
p. 413). Such a claim, however, is denied by Paul Leser
The above debate has concerned both the purely meth-
(1964, p. 417). For Leser, Graebner was convinced that two
odological aspects of Kulturkreiselehre and the application of
cultural elements, if not functionally linked, tend to separate
its principles to specific cultural contexts. The article “Some
in time.
Reflections on the Method and Theory of the Kulturkreisele-
hre” (1936) by the U.S. anthropologist Clyde Kluckhohn is
The criticism of evolutionism and the naturalistic ap-
an important piece of writing in this debate. Kluckhohn pro-
proach produced diffusionism in Europe and particularism
poses to identify the assumptions (influenced by scholastic
in the United States. Both incorrectly identified evolution-
philosophy) and objectives of the historical-cultural method,
ism with the denial of the processes of diffusion and the ex-
avoiding misunderstandings due to the unspoken premises
clusive acceptance of independent invention. The two trends
and emotional involvement of every scholar. He considers
thus had these two aspects in common, but they parted com-
the form criterion to be subjective, in that its application im-
pany over psychological interpretation and several specific
plies a choice on the part of the scholar. He also identifies
ethnographical problems. In the United States the particular-
a contradiction in the historical-cultural point of view. On
ists, who made extensive use of diffusion to explain the simi-
the one hand, it claims that ethnology is historically authen-
larities between different social groups, developed the idea
tic; on the other hand, it treats cultural facts as facts of na-
of “cultural area.” As Harris (1968) writes, this concept, used
ture, extrapolating them atomistically from their context. In
for the first time by Otis T. Mason in 1895, allowed the Am-
his opinion, its extensive use of naturalistic metaphors means
erindian scholars, such as Clark Wissler and Alfred L. Kroe-
that it is dominated by biological thinking and is particularly
ber, to describe and classify the societies of North and South
concerned with identifying genetic-causal links between phe-
America.
nomena. For this reason it seems to ignore the fact that, to
understand the history of cultural phenomena, one ought to
Thus the discussion surrounding the culture circles has
identify the close relationships between them. On this point
continued outside the Vienna School. Hermann Baumann
the criticism of Kluckhohn agrees with that of the Italian eth-
and Wilfred D. Hambly have presented different models for
nologist Ernesto de Martino (1941), who considers unac-
Africa, and Clark Wissler, Edward Sapir, Melville J. Her-
ceptable the mechanistic and naturalistic concept of history
skovits, and A. L. Kroeber have done the same for the Ameri-
typical of the historical-cultural school, like evolutionism
cas. There is no longer the problem of identifying the oldest
and French sociology. This concept seems to be based upon
culture in which the prehistorical “primitive stage” has sur-
the lack of interest in psychology shown by cultural histori-
vived, as found in Oswald Menghin’s Weltgeschichte der
ans and pointed out by some scholars.
Steinzeit (1931).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5262
KUMA¯RAJ¯IVA
Many anthropologists have gone beyond the contradic-
Mühlmann, Wilhelm E. Geschichte der Anthropologie. 3d ed.
tion between independent invention and diffusion, because
Wiesbaden, Germany, 1984.
they are convinced that the presence of a cultural institution
Pinard de la Boullaye, Henri. L’étude comparée des religions. 4th
in a particular context is the result of so-called structural cau-
ed. 3 vols. Paris, 1929–1931.
sality. From this point of view, the various aspects of so-
Poirier, Jean. “Histoire de la pensée ethnologique: L’ethnologie
ciocultural life are explained and interpreted by reference to
italienne.” In Ethnologie générale, edited by Jean Poirier. En-
the complex interaction of structural and environmental
cyclopédie de la Pléiade. Paris, 1968.
conditions. It is therefore held that similar structures have
Schmidt, Wilhelm, and Wilhelm Koppers. Völker und Kulturen,
produced similar institutions in different contexts, or that a
vol. 1, Gesellschaft und Wirtschaft der Völker. Regensburg,
cultural trait has been received or adopted as useful to the
Germany, 1924.
social organization by the process of transculturation.
Tylor, Edward Burnett. Primitive Culture: Researches into the De-
velopment of Mythology, Philosophy, Religion, Art, and Custom.
SEE ALSO Evolution, article on Evolutionism; Frobenius,
London, 1871.
Leo; Graebner, Fritz; Schmidt, Wilhelm.
KURT RUDOLPH (1987)
B
ALESSANDRA CIATTINI (2005)
IBLIOGRAPHY
Translated from Italian by Paul Ellis
Baumann, Hermann, Richard Thurnwald, and Diedrich Wester-
mann. Völkerkunde von Afrika. Essen, Germany, 1940.
Boas, Franz. “Review of Graebner’s Methode der Ethnologie.”
Science 34, no. 884 (1911): 804–810.
KUMA¯RAJ¯IVA (343–413; alternative dates: 350–409)
Boas, Franz. “The Limitations of the Comparative Method of An-
was renowned as the founder of the Sanlun (“three treatise,”
thropology.” In Race, Language, and Culture. New York,
i. e., Ma¯dhyamika) school in China and as an adept transla-
1940.
tor into Chinese of many important and influential
Brandewie, Ernest. Wilhelm Schmidt and the Origin of the Idea of
Maha¯ya¯na Buddhist texts.
God. Lanham, Md., 1983.
Kuma¯raj¯ıva was born of noble lineage in the Central
Casadio, Giovanni. “Bachofen, o della rimozione.” In Agath¯e elpis:
Asian city of Kucha¯. His father was an emigrant Indian brah-
Studi storico-religiosi in onore di Ugo Bianchi, edited by Giulia
man and his mother a Kuchean princess. During the fourth
Sfameni Gasparro, pp. 63–78. Rome, 1994.
century Kucha¯ was a major city along the northern trade
De Martino, Ernesto. Naturalismo e storicismo nell’Etnologia. Bari,
route of the Silk Road connecting China with India and the
Italy, 1941.
West. There is ample testimony from the travelogues of Faxi-
Fiedermutz-Laun, Annemarie. Der kulturhistorische Gedanke bei
an and Xuanzang that cities along this route were strong-
Adolf Bastian. Wiesbaden, Germany, 1970.
holds of H¯ınaya¯na Buddhism, especially the Sarva¯stiva¯da
Grottanelli, Vinigi L. “Ethnology and/or Cultural Anthropology
sect, which had been introduced from its center in Kashmir.
in Italy: Traditions and Developments.” Current Anthropolo-
The works of this sect were thus the first he was to study.
gy 18, no. 4 (1977): 593–614.
Kuma¯raj¯ıva became a novice monk at the early age of
Haekel Josef, Anna Hohenwart-Gerlachstein, and Alexander
Slawik, eds. Die Wiener Schule der Völkerkunde. Vienna,
seven. His mother, who wanted to become a nun, also aban-
1956.
doned lay life at this time. He spent the next two years study-
ing the A¯gamas and Abhidharma texts. When he was nine
Harris, Marvin. The Rise of Anthropological Theory: A History of
he went with his mother to North India (to Chipin, in Kash-
Theories of Culture. New York, 1968.
mir), where for three years he studied the Dirgha¯gama, the
Heine-Geldern, Robert. “One Hundred Years of Ethnological
Madhyama¯gama and the Ks:udraka under the master Band-
Theory in German Speaking Countries: Some Milestones.”
hudatta. At twelve he again set out with his mother for
Current Anthropology 5, no. 5 (1964): 407–418.
Kucha¯. On the way they stopped for more than a year in
Kluckhohn, Clyde. “Some Reflections on the Method and Theory
Kashgar, where he studied the Jña¯naprastha¯na S´a¯stra, a
of the Kulturkreiselehre.” American Antropologist 38, no. 2
Sarva¯stiva¯din Abhidharma treatise, as well as the Vedas and
(1936): 157–196.
the five sciences (grammar, logic, metaphysics, medicine,
Kroeber, A. L. Cultural and Natural Areas of Native North Ameri-
and the arts and crafts). While in Kashgar he met the
ca. Berkeley, Calif., 1939.
Maha¯ya¯nist Su¯ryasoma, who converted him to the
Langness, Lewis L. The Study of Culture. San Francisco, 1974.
Maha¯ya¯na. In Kashgar, Kuma¯raj¯ıva also met the Dharmag-
Leser, Paul. “Zur Geschichte des Wortes Kulturkreis.” Anthropos
upta master Buddhaya´sas. After returning to Kucha¯,
58 (1963): 1–36.
Kuma¯raj¯ıva received full ordination in the royal palace at age
Leser, Paul. “Comment to ‘One Hundred Years of Ethnological
twenty. He studied the Vinaya of the Sarva¯stiva¯da school
Theory in German Speaking Countries: Some Milestones.’”
with the North Indian master Vimala¯ks:a. More significantly,
Current Anthropology 5, no. 5 (1964): 407–418.
however, he spent the next twenty years concentrating on
Lowie, Robert H. The History of Ethnological Theory. New York,
Maha¯ya¯na su¯tras and S´a¯stras. His biography reports that he
1937.
studied the three S´a¯stras of Na¯ga¯rjuna and A¯ryadeva 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
KUMA¯RAJ¯IVA
5263
were later to become the central texts of the Sanlun tradition,
Kuma¯raj¯ıva. From these works it is clear that Kuma¯raj¯ıva
all of which he may have obtained in Kashgar. A Chinese ac-
was an unqualified adherent of the Ma¯dhyamika tradition.
count of 379 mentions Kuma¯raj¯ıva as an accomplished
His critique of causation is the same as that of Na¯ga¯rjuna.
monk, and it is from this period that his fame reaches China.
There is no evidence that Kuma¯raj¯ıva intended to
KUMA¯RAJ¯IVA’S TRANSLATIONS. The Chu sanzang ji ji (early
found a lineage. Nevertheless, his influence in China, Korea,
sixth century) attributes thirty-five works in 294 fascicles to
and Japan was pervasive. Although the Saddharmapun:d:ar¯ıka
Kuma¯raj¯ıva. The central corpus of these works is well attest-
Su¯tra, the Smaller Sukha¯vativyu¯ha Su¯tra, and the
ed by contemporary prefaces, and dates of translation are
Vimalak¯ırtinirde´sa a Su¯tra had been translated earlier by
known for twenty-three titles. The core of works translated
Dharmaraks:a, Kuma¯raj¯ıva’s more accurate translations fur-
by Kuma¯raj¯ıva shows that his main interest was in the
ther stimulated the growth and popularity of Maha¯ya¯na
S´u¯nyava¯din su¯tras, particularly those of the Prajña¯pa¯ramita¯
Buddhism in the Far East: The Saddharmapun:d:ar¯ıka Su¯tra
class, and the Ma¯dhyamika treatises. His interests were cath-
became the basic text of the Tiantai school and, later, of the
olic, however, and he also translated pietist, Vinaya, and
Nichiren sect in Japan; the Smaller Sukha¯vativyu¯ha became
dhya¯na su¯tras, as well as the Satyasiddhi S´a¯stra, a Bahu´srut¯ıya
one of the three major texts of the Pure Land Tradition; the
treatise by Harivarman.
Vajracchedika¯ continues to be esteemed as a basic text of
Chief among the translated S´u¯nyava¯din works were the
the Chan school; the Da chidu lun was very influential in the
Pañcavim:´sati (T.D. no. 223), the As:t:asa¯hasrika¯ (T.D. no.
Zhenyan or Shingon (i. e., Vajraya¯na) school in China and
227), the Vimalak¯ırtinirde´sa (T.D. no. 475), the
Japan; while the Vimalakirtinirdesa popularized the ideal of
Vajracchedika¯ (T.D. no. 235), and the Prajña¯pa¯ramita¯hr:daya
the bodhisattva. Other of his translations also helped shape
(T.D. no. 250). He also translated the three Ma¯dhyamika
the history of medieval Chinese Buddhism. The Satyasiddhi
treatises that form the basis for the Sanlun school in China
S´a¯stra, which had many commentaries written on it, became
and Japan: the Mu¯lamadhyamaka S´a¯stra, a treatise consisting
the most widely studied and influential work in the South
of verses by Na¯ga¯rjuna and commentary by Pin˙gala (T.D.
during the Southern Qi (479–502) and Ling dynasties (502–
no. 1564; Chin., Zhong lun); the S´ata S´a¯stra of A¯ryadeva
557), and the Sarva¯stiva¯da Vinaya became one of the two
(T.D. no. 1569; Chin., Bo lun); and the Dva¯da´sanika¯ya
Vinaya systems prevalent in China and Japan. The old line
S´a¯stra of Na¯ga¯rjuna (T.D. no. 1568; Chin., Shier men lun).
transmission of the Sanlun school persisted until the time of
Three other important Ma¯dhyamika treatises that he trans-
Jizang (549–623) of the Sui dynasty (581–618). In summa-
lated are the Da´sabhu¯mivibha¯s:a¯ S´a¯stra attributed to
ry, Kuma¯raj¯ıva’s activities ushered in the second period of
Na¯ga¯rjuna (T.D. no. 1521), the Faputixisnjing lun attributed
Chinese translations (fifth and sixth centuries), characterized
to Vasubandhu (T.D. no. 1659), and the
by greater accuracy and widespread influence in the Chinese
Maha¯prajña¯pa¯ramita¯ S´a¯stra attributed to Na¯ga¯rjuna (T.D.
Buddhist community.
no. 1509; Chin., Da zhidu lun). Four treatises on meditation
SEE ALSO Buddhism, Schools of, article on Chinese Bud-
are attributed to Kuma¯raj¯ıva; chief among them is the Zuo-
dhism; Buddhist Books and Texts; Huiyuan; Ma¯dhyamika;
chan sanmei jing (T.D. no. 614), also called the
Na¯ga¯rjuna; Sengzhao.
Bodhisattvadhya¯na. The major Vinaya works that he translat-
ed are the Sarva¯stiva¯da Pra¯timoks:a Su¯tra and, according to
BIBLIOGRAPHY
tradition, the Pusajieben (Bodhisattva-pratimoks:a). His pietist
The standard traditional account of the life of Kuma¯raj¯ıva can be
translations include the Saddharmapun:d:ar¯ıka (T.D. no.
found in Huijiao’s Gaoseng zhuan (T.D. nos. 50. 330–333).
262), the Smaller Sukha¯vativyu¯ha (T.D. no. 366), and two
For a German translation of the biography, see Johannes
Maitreya texts (T.D. nos. 454 and 456). He also translated
Nobel’s “Kuma¯raj¯ıva,” Sitzungsberichte der preussischen
the Da´sabhu¯mika (T.D. no. 286) in collaboration with his
Akademie der Wissenschaften 26 (1927): 206–233. Erik Zür-
friend from Kashgar Buddhaya´sas. All of these texts became
cher’s The Buddhist Conquest of China, 2 vols. (1959; reprint,
central to the Chinese Buddhist community.
Leiden, Netherlands, 1979), treats the development of Bud-
dhism in China through the end of the fourth century and
Kuma¯raj¯ıva, his chief assistants, and the translation bu-
thus provides an invaluable introduction to the religious and
reau devised new transcriptions of names and Buddhist tech-
intellectual climate Kuma¯raj¯ıva encountered upon reaching
nical terms and utilized interpolated glosses when specific
Chang’an. For a general survey of Kuma¯raj¯ıva’s career see
words could not be translated adequately. Although his
Kenneth Chen’s Buddhism in China: A Historical Survey
translations betray careless editing, they are famous for their
(Princeton, N.J., 1964). Other critical discussions include
the following:
florid and elegant style. They may not preserve the original
words of a Sanskrit su¯tra, but they clearly express the intend-
Kimura Eiichi, ed. Eon kenkyu. 2 vols. Kyoto, 1960–1962. Con-
ed meaning.
tains a translation of Kuma¯raj¯ıva’s correspondence with
Huiyuan.
The most important evidence for Kuma¯raj¯ıva’s religious
Koseki, Aaron K. “‘Later Ma¯dhyamika’ in China: Some Current
thought is contained in the commentary on the
Perspectives on the History of Chinese Prajña¯pa¯ramita¯
Vimalak¯ırtinirde´sa (T.D. no. 1775) and the collection of
Thought.” Journal of the International Association of Buddhist
correspondence (T.D. no. 1856) between Huiyuan and
Studies 5 (1982): 53–62.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5264
KUMAZAWA BANZAN
Liebenthal, Walter. “Chinese Buddhism during the Fourth and
matters; commentaries on the Confucian classics; an impor-
Fifth Centuries.” Monumenta Nipponica 11 (April 1955):
tant treatise on contemporary political economy titled Dai-
44–83.
gaku wakumon (Questions on the Great Learning); a series
Liebenthal, Walter, ed. and trans. The Book of Zhao. Beijng, 1948.
of dialogues in which speakers from different social groups
Robinson, Richard H. Early Ma¯dhyamika in India and China.
discuss a wide range of issues; and a remarkable commentary
New Delhi, 1976.
on the Tale of Genji.
Sakaino Koyo. Shina bukkyo seishi (1935). Tokyo, 1972. See pages
Banzan belonged to that generation of early Tokugawa-
341–417.
period thinkers who first explored seriously the practical rele-
Tang Yongtong. Han Wei liangjin Nanbeichao fojiao shi. Shang-
vance to their own society of Chinese neo-Confucianism as
hai, 1938.
established during the Song (960–1279) and Ming (1368–
Tsukamoto Zenryu. “The Dates of Kuma¯raj¯ıva and Sengzhao Re-
1644) dynasties. He accepted in broad outline the metaphys-
examined.” Jinbum kagaku kenkyusho (Silver Jubilee Volume,
ical assumptions of that tradition, including the concept of
1954): 568–584.
a dualistically structured world of li (Jpn., ri, “principle”)
Tsukamoto Zenryu, ed. Joron kenkyu. Kyoto, 1955.
and ch’i (Jpn., ki, “ether”). He was also a proponent of the
neo-Confucian doctrine of the mind, asserting that it is
DALE TODARO (1987)
man’s duty to regenerate himself through self-cultivation.
Like most of his Confucian contemporaries, he was anti-
Buddhist and anti-Christian. Banzan’s thought is further
KUMAZAWA BANZAN (1619–1691), Japanese
characterized by an eclecticism that is evident in his attempts
Confucian thinker of the Wang Yangming school. Born in
to combine the intellectual traditions of Wang Yangming
Kyoto, the son of a ro¯nin, or masterless samurai, Banzan
(1472–1529) and Zhu Xi (1130–1200). Banzan adhered to
probably suffered deprivation during his early years. In 1634,
the former’s emphasis on introspection as a technique for
however, he was employed as a page to Ikeda Mitsumasa
self-cultivation and on the subjective conscience in determin-
(1609–1682), daimyo of Okayama, who was later acknowl-
ing action. Following the thought of Zhu Xi, Banzan upheld
edged to be one of the enlightened rulers of his age. Banzan
the idea of ri as a rationally accessible and objective principle
left the service of Mitsumasa in 1638. In 1641 and 1642
underlying the natural and social worlds. His pragmatism
he studied under Nakae To¯ju (1608–1648), the founder
can be seen in his resolutely antidoctrinaire stance and his
of the Wang Yangming school of neo-Confucianism
willingness to accommodate to Japanese conditions many
(O
¯ yo¯meigaku) in Japan, an experience that permanently
conventional Chinese Confucian institutions such as earth
molded Banzan’s attitude to the Confucian tradition.
burial of the dead, the prohibitions on nonagnatic adoption
and agnatic marriage, and the rituals of mourning. This
Reentering Mitsumasa’s service in 1645, Banzan ap-
pragmatism was underpinned by sophisticated theories of
pears to have been employed mainly as a Confucian adviser
history and geography that related national temperament to
and teacher. He rose dramatically in the service of the do-
physical and historical environment.
main, attaining the rank of bangashira (divisional command-
er) in 1650. Undoubtedly, his participation in domain ad-
Banzan’s Confucianism, therefore, was not profoundly
minstration further influenced his intellectual development,
innovative or original. Rather, it bears the stamp of a vigor-
particularly his sense of the limited practicability of certain
ous and practical attempt to adapt the Chinese neo-
aspects of Confucianism to the Japanese social and intellec-
Confucian heritage to the complex realities of early Toku-
tual condition. Banzan’s resignation from Mitsumasa’s ser-
gawa Japan. Banzan himself had no major disciples, but his
vice in 1657 probably resulted from a combination of inter-
thought influenced the ideas of Ogyu¯ Sorai (1666–1728)
nal domain rivalries and external pressure from the
and several Confucian thinkers of the late Tokugawa period,
Tokugawa government to suppress shingaku, or “the learning
including Yokoi Sho¯nan (1809–1869).
of the heart,” as Banzan’s style of Confucianism was then
S
known.
EE ALSO Confucianism in Japan.
Banzan next lived for a number of years in Kyoto, where
BIBLIOGRAPHY
he associated with and taught court nobles and pursued a life
Goto¯ Yo¯ichi and Tomoeda Ryu¯taro¯, eds. Kumazawa Banzan.
of high culture. In 1667, however, his activities appear to
Nihon shiso¯ taikei, vol. 30. Tokyo, 1971.
have aroused the suspicion of the authorities and, subse-
Taniguchi Sumio et al., eds. Zo¯tei Banzan zenshu¯. 7 vols. Tokyo,
quently, he was forced to leave the city. Thereafter, he lived
1980.
under official surveillance in the castle towns of Akashi and
I. J. M
Yada until finally he was placed under house arrest in Koga.
CMULLEN (1987)
Banzan’s extensive written works date mainly from the
period of his retirement from service in Okayama. Among
them are miscellanies relating to Confucianism in Japan and
KUMBHA MELA¯. The Kumbha Mela¯ is a Hindu pil-
to contemporary affairs, including financial and economic
grimage fair that occurs four times every twelve years, 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
KUMBHA MELA¯
5265
in each of four locations in North India: at Haridva¯r, where
Praya¯g have traditions of ardha (“half”) Kumbha Mela¯s,
the Ganges River enters the plains from the Himalayas; at
which occur six years after the Kumbha Mela¯s. Nevertheless,
Praya¯g, near Allahabad, at the confluence of the Ganges,
there is at present a rough consensus of learned opinion re-
Yamuna¯, and “invisible” Sarasvat¯ı rivers; at Ujjain, in Ma-
garding the appropriate times of its occurrence.
dhya Pradesh, on the banks of the Ks:ipra¯ River; and at Na¯sik,
Kumbha Mela¯s are popularly understood to be not only
in Maharashtra, on the Godavari River. Each twelve-year
pilgrimage fairs at which sins can be cleansed and merit
cycle includes the Maha¯ (“great”) Kumbha Mela¯ at Praya¯g,
gained but also religious assemblies at which doctrine is de-
which is the largest pilgrimage gathering in the world. These
bated and standardized and Hindu unity affirmed. This is
mela¯s (“fairs”), also known as Kumbha Yoga or Kumbha
perhaps an apt characterization of present-day Kumbha
Parva, occur during the conjunctions (Skt., yoga, parva) of
Mela¯s, but historical evidence indicates that in centuries past
celestial beings who performed important acts in the myth
they were the scenes of bloody battles, chiefly between the
that forms the basis of the observance. In one version of the
militant sections of rival orders of Hindu monks. The main
story, the gods and the antigods had concluded a temporary
object of contention in these battles, which occurred as re-
alliance in order to churn amr:ta (the nectar of immortality,
cently as 1807, was the right to bathe in the most auspicious
ambrosia) from the milky ocean. Among the “fourteen
place at the most powerful instant. The conflicts were so
gems” they churned from the ocean was a pot (kumbha) of
fierce that indigenous and British courts finally had to estab-
amr:ta. One of the gods, Jayanta, took the pot and ran, chased
lish and enforce specific bathing orders at the various sites
by the antigods. For twelve divine days and nights (the equiv-
of the Kumbha Mela¯. The sa¯¯ıs, processions of monks to the
alent of twelve human years) they fought over the amr:ta. The
bathing place, are still focal events in the Kumbha Mela¯s.
Moon protected it from “flowing forth,” the Sun kept the
pot from breaking, Jupiter preserved it from the demons, and
With the advent of modern transport and communica-
Saturn protected it from fear of Jayanta. During the battle,
tions, contemporary Kumbha Mela¯s are sometimes attended
drops of amr:ta fell at eight places in the inaccessible worlds
by several million people in a single day. The government
of the gods and four places (Haridva¯r, Praya¯g, Ujjain, and
of India provides safety, order, sanitation, and preventive in-
Na¯sik) on the earth.
oculations for this multitude, which besides innumerable de-
vout Hindus includes merchants, representatives of religious
The Kumbha Mela¯ is celebrated at the four earthly
organizations, casual tourists, groups of monks, and others.
points where the nectar fell, during the conjunctions of plan-
Many of those who attend the Kumbha Mela¯ hope to gain
ets (graha) with astrological houses (ra¯´s¯ı) that are characters
some specific “fruit,” such as a job, a son, success in studies,
in the story—for example, at Haridva¯r when Jupiter (Guru)
and so on. The special power of the Kumbha Mela¯ is often
is in Aquarius (Kumbha) and the Sun (Su¯rya) is in Aries
said to be due in part to the presence of large numbers of
(Mes:a). It is popularly thought that a ritual bath (characteris-
Hindu monks, and many pilgrims seek the dar´san (Skt.,
tic in all Hindu pilgrimages) at the Kumbha Mela¯ confers
dar´sana; “auspicious mutual sight”) of these holy men. Oth-
extraordinary merit, not only by cleansing the pilgrim of
ers listen to religious discourses, participate in devotional
“sin” (pa¯pa), but also by immersing him in waters infused
singing, engage brahman priests for personal rituals, organize
with amr:ta. Major baths are done at different times in each
mass feedings of monks or the poor, or merely enjoy the
of the four Kumbha Mela¯s, chiefly on new-moon and full-
spectacle. Amid this diversity of activities, the ritual bath at
moon days.
the conjunction of time and place is the central event of the
The historical origin of the Kumbha Mela¯ is an open
Kumbha Mela¯.
and indeed almost uninvestigated question. The authenticity
of its purported mention in the Atharvaveda has been chal-
SEE ALSO Pilgrimage, article on Hindu Pilgrimage.
lenged, although certain khila verses of unknown date in the
R:gveda demonstrate familiarity with some of the sites and
BIBLIOGRAPHY
relevant astrological conjunctions. The Chinese Buddhist
An excellent description of a recent Kumbha Mela¯ is given in Ved
pilgrim Xuanzang visited Praya¯g in the seventh century, but
Mehta’s Portrait of India (New York, 1970), pp. 77–111. A
there is no evidence that he witnessed a Kumbha Mela¯.
more scholarly analysis of the Kumbha Mela¯, based on San-
skrit sources, is Giorgio Bonazzoli’s “Praya¯ga and Its Kumb-
Traditions regarding the determination of the time of
ha Mela¯,” Pura¯n:a 19 (January 1977): 81–179. This article
the Kumbha Mela¯ are not unanimous. This is partly due to
also discusses the scriptural glorifications (maha¯tmyas) of
the absence of a single, authoritative scripture sanctioning
Praya¯g at length and contains useful information regarding
the mela¯. It is mentioned only in late texts, notably the Skan-
the history of the Kumbha Mela¯. A good example of a
learned Hindu’s ideas concerning the Kumbha Mela¯ is
da Pura¯n:a, which has several notoriously inconsistent recen-
Ven:ira¯ma´sarma Gaud:’s Kumbhaparva Maha¯tmya (Varanasi,
sions. Thus there are occasional disagreements between those
n.d.) in Hindi. The best general introduction to Hindu pil-
who say that the Kumbha Mela¯ should be held every twelve
grimage is still Agehananda Bharati’s “Pilgrimage Sites and
years and those who claim that, in exceptional instances, the
Indian Civilization,” in Chapters in Indian Civilization, ed-
precise astrological conjunction may occur in the eleventh
ited by Joseph W. Elder, vol. 1, rev. ed. (Dubuque, 1970),
year. Matters are complicated by the fact that Haridva¯r and
pp. 84–126. The author discusses Hindu pilgrimage in gen-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5266
KUNAPIPI
eral, the Kumbha Mela¯ in particular, and also catalogs nu-
thology, iconography, and architecture. It appears in the my-
merous pilgrimage places in India. For the significance of
thology of the Pura¯n:as, a body of texts composed from
parva, see John M. Stanley’s excellent article “Special Time,
roughly 300 CE to 1000 CE. In the Pura¯n:as, the great serpent
Special Power: The Fluidity of Power in a Popular Hindu
S´es:a, or Ananta, floats on the cosmic ocean, serving as Lord
Festival,” Journal of Asian Studies 37 (November 1977): 27–
Vis:n:u’s couch; Indian temples are symbolically supported by
43. This essay contains a clear exposition of Hindu astrologi-
a serpent that coils around their foundations, and images of
cal and astronomical ideas relating to mela¯s.
Buddha, Vis:n:u, and Jain saints are often represented seated
New Sources
upon a coiled serpent, whose hood provides a protective um-
Rai, Subas. Kumbha Mela: History and Religion, Astronomy and
brella over their heads.
Cosmobiology. Varanasi, 1993.
In most human beings, this coiled energy lies dormant,
Tully, Mark. No Full Stops in India. New Delhi; New York,
representing the sleep of ignorance in which most beings are
1991.
lost in the world of sam:sa¯ra (rebirth). The aim of yogic prac-
WILLIAM S. SAX (1987)
tice is to awaken this coiled energy and direct her upward
Revised Bibliography
through the body, using a variety of methods, such as yogic
postures, locks and bonds (bandhas, postures in which organs
or parts of the body are contracted), repetition of mantras
(japa), regulation of breath (Pra¯n:aya¯ma), and intense medi-
KUNAPIPI SEE GADJERI
tation (dhya¯na, bha¯vana¯).
Once aroused and uncoiled, Kun:d:alin¯ı becomes a fiery
energy which is then made to rise through the central chan-
KUN:D:ALIN¯I. The Sanskrit term kun:d:alin¯ı is used in
nel (na¯d:¯ı) of the body, the sus:umn:a¯ na¯d:¯ı. As she ascends, she
Hindu yogic and Tantric literature to refer to the divine fe-
successively pierces a series of vital energy centers (cakras),
male energy (´sakti) that lies dormant within every human
awakening the various powers associated with each one, until
body. Derived from kun:d:ala, a word meaning “coil,”
she reaches the top of the head. Here, Kun:d:alin¯ı—as the di-
kun:d:alin¯ı is imagined in the form of a coiled serpent who
vine female energy or ´sakti—is united with the divine male
sleeps at the base of the spine in the lowest energy center of
principle, Lord S´iva, who dwells in a thousand-petalled lotus
the body, called the mu¯la¯dha¯ra cakra. Through specialized
in the highest center of energy. The result of this internal
techniques of meditation, physical postures, and breath con-
union is an intense ecstatic bliss, a kind of internal orgasm,
trol, kun:d:alin¯ı can be aroused and raised through the body
which is no less than the union of the individual self (a¯tman)
to unite with the divine male principle (personified as Lord
with the absolute reality (brahman). The yogi who achieves
S´iva) that resides at the top of the head. Although kun:d:alin¯ı
this inner union is said to achieve the most supreme worldly
is used primarily in Hindu yogic traditions, Buddhist
and otherworldly benefits, including supernatural powers
Vajraya¯na texts describe an analogous kind of fiery internal
(siddhis) in this life, as well as the ultimate goal of spiritual
energy that is usually called can:d:a¯l¯ı, the “outcaste woman”
liberation (moks:a). In some Tantric traditions, kun:d:alini
or, in Tibetan, gtum mo, the “inner heat.”
may also be awakened using techniques of ritual sexual inter-
course (maithuna). Here, the union of male and female part-
The figure of kun:d:alin¯ı does not appear in the early In-
ners in orgasm serves as the physical embodiment of the wed-
dian yoga literature, such as Patañjali’s Yoga Su¯tra, but only
ding of the divine male and female principles in ecstatic
emerges in the later Tantric and Hat:ha Yoga texts from
union within the individual self.
roughly the eighth century onwards. The earliest reference
to a coiled internal energy appears to be in the
The awakening of Kun:d:alin¯ı is not, however, without
Tantrasadbha¯va Tantra (eighth century), which describes the
certain dangers. Indeed, Kun:d:alin¯ı is also described as a ti-
serpent goddess Kun:d:al¯ı—“she who is ring-shaped”—
gress who can drain a man of his vital energy and semen. If
imagined as a snake lying in deep sleep. The first mention
not properly controlled, she can cause all manner of physical
of kun:d:alin¯ı as it is understood today seems to be in such
and psychological disturbances. One of the more striking
Tantric texts as the Jayadrathaya¯mala (eleventh century) and
cases is the account of a modern Indian author, Gopi Krish-
Rudraya¯mala Tantra (thirteenth to fourteenth century). The
na, who accidentally awakened the serpent power, which
latter describes Kun:d:alin¯ı as the “master” and “mother of
then proceeded to rise not through the central sus:umn:a¯ chan-
yoga,” who is “like poison” when dormant in the lower body
nel but through one of the side na¯d:¯ıs. After a period of in-
and “like nectar” when uncoiled and raised to the top of the
tense physical distress and near insanity, Krishna sought the
skull. Finally, in the later Hat:ha Yoga literature, Kun:d:alin¯ı
advice of a guru who helped him return Kun:d:alin¯ı to her
is portrayed as a serpent coiled three and a half times around
seat in the mu¯la¯dha¯ra cakra and then raise to raise her
an internal lin˙gam (phallus), with her hood or mouth cover-
through the proper, central na¯d:¯ı.
ing its top.
Today, the practice of Kun:d:alin¯ı yoga is found widely
However, this image of Kun:d:alin¯ı as a coiled, slumber-
throughout South Asia in many non-Tantric and even non-
ing serpent may well have much older roots in Indian my-
Hindu traditions, including some forms of Sufism and Sikh-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KUROZUMIKYO
¯
5267
ism. Since the 1964 publication of Arthur Avalon’s The Ser-
combination of popular morality and syncretic Shinto¯; be-
pent Power, moreover, Kun:d:alin¯ı has also made her way to
lievers seek immediate benefits in this world for the sake of
the West, and has now been popularized in various forms of
popular salvation.
occult, New Age, and alternative spirituality throughout Eu-
These beliefs, implying as they do that happiness may
rope and the United States.
be garnered not by changing the realities of life but by chang-
ing one’s spiritual attitude, tended to perpetuate a passive ac-
SEE ALSO Cakras; J¯ıvanmukti.
ceptance of the harsh realities of life. This is significant, given
that most of the movement’s followers were common people
BIBLIOGRAPHY
of subordinate status within the feudal order. On the other
For good historical discussions of Kun:d:alin¯ı and her symbolism,
see David Gordon White, The Kiss of the Yogin¯ı: “Tantric
hand, they were also taught that all people have a kind of
Sex” and Its South Asian Contexts (Chicago, 2003) and The
spiritual potentiality whereby life and death, poverty and
Alchemical Body: Siddha Traditions in Medieval India (Chica-
wealth may be affected by pious practices. Furthermore, the
go, 1996). A good discussion of kun:d:alin¯ı, mainly in the
idea of the spiritual independence and equality of all people
Kashmir S´aivite tradition, is Lilian Silburn, Kun:d:alin¯ı: Ener-
was a part of Kurozumikyo¯’s teachings. In this sense, the reli-
gy of the Depths (Abany, N.Y., 1988). The earliest and most
gion might be seen as the first step in the spiritual modern-
famous work on kun:d:alin¯ı in English was Arthur Avalon’s
ization of the late Edo period.
translation, The Serpent Power, Being the S:at-cakra-niru¯pan:a
and Pa¯duka¯-pañcaka (Madras, 1964). Other important
Kurozumi Munetada’s proselytization was confined to
sources include The Hat:hayogaprad¯ıpika¯ of Swa¯mi
the Okayama area, but thanks to the vigorous activities of
Sva¯tma¯ra¯ma with the commentary Jyotsna¯of Brahma¯nanda,
his major disciples, the religion later extended from the Shi-
translated by Srinivasa Iyangar (Madras, 1972) and the Yoga
koku and Chugoku districts as far as the central Kyoto area.
Upanishads, edited by A. Mahadeva Sastri (Adyar, 1968). A
Akagi Tadaharu (1816–1867) in particular spread the teach-
fascinating modern account of kun:d:alin¯ı by an Indian prac-
ings in Kyoto, and even converted aristocrats like Kujo¯
titioner is Gopi Krishna, Living with Kundalini: The Autobi-
Naotada, the imperial regent. Tadaharu, deeply influenced
ography of Gopi Krishna (Boston, 1993).
by the movement to restore direct imperial rule, envisioned
HUGH B. URBAN (2005)
a utopia in which all would be equal under the emperor. But
his activities were so extreme that he was expelled from the
religious organization.
K’UNG-TZU S
In the 1880s Kurozumikyo¯ grew dramatically and at
EE CONFUCIUS
one point boasted a membership of six or seven hundred
thousand. In 1885, Munetada Shrine was established as its
headquarters at O
¯ moto in Okayama City. But as govern-
KUO HSIANG SEE GUO XIANG
ment control of religion tightened, the popular salvation as-
pect of Kurozumikyo¯ gradually waned and the nationalistic
component came to the fore.
KUROZUMIKYO
¯ is a popular charismatic religion
After World War II, Kurozumikyo¯ became chiefly a
founded in Japan in the early nineteenth century (the late
provincial religion based in western Japan. By the late 1970s
Edo period) by Kurozumi Munetada (1780–1850).
its membership stood at around four hundred thousand. In
Kurozumi began to spread his teachings in 1814, and in the
1974 a large kami hall (Shinto¯zan) was built in Okayama,
1840s a formal religious body called Kurozumikyo¯ was estab-
and the organization’s headquarters was moved there. The
lished. After the Meiji restoration the group was persecuted
present and sixth-generation head is Kurozumi Muneharu.
for a time, but in 1872 it received formal recognition from
Three large religious festivals are held each year: the found-
the government.
er’s festival on the first Saturday in April, a purification festi-
val on July 30, and the winter solstice festival. Kuni no hikari
Its teachings include a belief in Amaterasu O
¯ mikami,
and Keisei zasshi, two magazines published by the group be-
the sun goddess and supreme deity of the universe. Another
fore the war, were followed by a third, Nisshin, published
major tenet is that since all people are emanations of the
after the war.
kami (deities), they may themselves become kami through
certain spiritual practices. Further, it is taught that when a
SEE ALSO New Religious Movements, article on New Reli-
person becomes one with the kami (ikito¯shi) that person will
gious Movements in Japan.
achieve life without end. All are exhorted to “live cheerfully”
and to obey the kami. At the time of its founding, the reli-
BIBLIOGRAPHY
gion included a strong element of magic, including rituals
Hirota Masaki. Bunmei-kaika to minshu-ishiki. Tokyo, 1980.
for curing illnesses. Later, it came to stress the virtues of pop-
Murakami Shigeyoshi. Kindai minshu shukyoshi no kenkyu. Kyoto,
ular morality: frugality, diligence, filial piety, and harmony.
1963.
The purpose of spiritual practices was to cultivate these vir-
Murakami Shigeyoshi and Yasamaru Yoshio. Minshu shukyo no
tues. The teachings of Kurozumikyo¯ are characterized by a
shiso. Tokyo, 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
5268
KURUKS:ETRA
New Sources
performances there. It is also the territory of the Kurus and
Hardacre, Helen. Kurozumikyo¯ and the New Religions of Japan.
Pañca¯las, or Kuru-Pañca¯las, famed for their Bra¯hman:as.
Princeton, 1986.
These are the central peoples of the Maha¯bha¯rata, and several
Kurozumi, Tadaaki, and Willis Stoesz. Kurozumi Munetada:
epic characters are already mentioned in Bra¯hman:a and
Founder of Kurozumikyo¯. Lanham, Md., 1994.
Upanis:adic texts.
Stoesz, Willis. Kurozumi Shinto: An American Dialogue. Chamber-
It is through the Maha¯bha¯rata, however, that
sburg, Pa., 1989.
Kuruks:etra attains its renown. One passage ranks Kuruks:etra
HIROTA MASAKI (1987)
as the foremost t¯ırtha in the three worlds. Twice it is said
Translated from Japanese by Suzanne Gay
that the dust of Kuruks:etra, blown by the wind, leads even
Revised Bibliography
those of bad karman to heaven. It is further described as the
altar or northern altar (ved¯ı, uttara-ved¯ı) of Brahma¯ or
Praja¯pati, and thus the preeminent place of sacrifice. Numer-
ous sacrificial acts are said to have occurred there prior to the
KURUKS:ETRA, “the field of the Kurus,” is today an
great war of the Bha¯ratas, including the destruction of the
important Hindu pilgrimage site (t¯ırtha) in Haryana state,
ks:atriya caste twenty-one times over by Ra¯ma Ja¯madagnya
about eighty-five miles north-northeast of Delhi. Its history
(later the avata¯ra Para´sura¯ma), which left in its wake five
can be traced from the period of the Bra¯hman:as to modern
lakes of blood. But most significant is the legend told in the
times; in 1014 CE its earliest shrines were destroyed by the
epic of the origins of Kuruks:etra. The field is named after
invading Mahmud of Ghazni. The site forms part of the
King Kuru, ancestor of the epic heroes. Kuru had plowed the
plain on which the two pivotal battles of Panipat were
field for many years, seeking from Indra the boon that those
fought, marking the rise of the Mughals in 1526 and the de-
who die there should go straight to heaven. The gods coun-
feat of the Marathas in 1761. Since at least the sixteenth cen-
seled Indra not to grant the boon, because it would mean
tury pilgrims have come to Sannihita Lake at Kuruks:etra at
that human beings could attain heaven without sacrificing
times of eclipses. According to contemporary ma¯ha¯tmyas
to them, thus endangering the gods’ existence. So Indra of-
(“glorifications” of the place that serve as pilgrims’ manuals),
fered a compromise. Two types of beings could directly at-
a mendicant named Ra¯ma¯candra Swa¯mi came there several
tain heaven there: yogins who practice tapas (asceticism), and
centuries after the early shrines had been destroyed and relo-
ks:atriyas who were slain in battle. Thus the traditional Brah-
cated the sites according to information he received in
manic sacrifices are dispensed with, but doubly transformed.
dreams. In all there are said to be 360 t¯ırthas within
Ks:atriyas will attain heaven by the epic’s “sacrifice of battle,”
Kuruks:etra. Current lists include many sites associated by
and yogins and pilgrims will do so by acts of tapas, which
local tradition with the brave deeds and deaths of the heroes
the epic repeatedly exalts above the traditional rites per-
in the great war of the Bha¯ratas, which is said to have been
formed there. Indra’s compromise is further sanctioned by
fought at Kuruks:etra at the beginning of the present age.
Vis:n:u, S´iva, and Brahma¯ (the trimu¯rti), thus indicating the
Other than these epic-related t¯ırthas, the pilgrim manuals of
subordination of these transformed sacrificial acts to the
today mention much the same sites as are described in the
higher ideals associated with bhakti. All this is thus in accord
Maha¯bha¯rata epic and the Pura¯n:as.
with the Bhagavadg¯ıta¯, which begins with the proclamation
One of Kuruks:etra’s traditional names, Samantapañ-
that Kuruks:etra is a dharmaks:etra (“field of dharma”). There,
caka, indicates that the field is supposed to be “five [yojanas]
Kr:s:n:a instructs Arjuna to perform the sacrifice of battle on
on each side,” or roughly a 160-mile circuit. The boundaries
Kuruks:etra as a karmayogin, and thus perform acts disci-
given in the Maha¯bha¯rata are little altered in Puranic sources
plined by yoga that are offered as if in sacrifice to God.
and can be harmonized with this description. Kuruks:etra is
Biardeau (1976) suggests that the name Kuruks:etra has come
thus bordered on the north and south by the rivers Sarasvat¯ı
in the epic to mean the “field of acts,” kuru being the impera-
and Dr:s:advat¯ı. Especially sacred, Sarasvat¯ı is said to have
tive of the verb to do. It is thus analogous to the Puranic con-
gone underground at the Vina¯sana t¯ırtha within Kuruks:etra
cept of the earth as the “world of acts” (karmabhu¯mi). The
to avoid coming into contact with low castes. The epic men-
act of plowing, here undertaken by King Kuru, is further a
tions four yaks:a gatekeepers (dva¯rapa¯las) on the boundaries
common Indian metaphor for sowing the seeds of karman.
at the intermediate cardinal points. According to a nine-
teenth-century account (Cunningham, 1880), these yaks:as
SEE ALSO Maha¯bha¯rata.
sang and danced during the great war of the Bha¯ratas and
drank the blood of the slain.
BIBLIOGRAPHY
The main Maha¯bha¯rata passages are translated in The
The first texts to expound upon the sacredness of
Maha¯bha¯rata, vol. 2, edited and translated by J. A. B. van
Kuruks:etra are the Bra¯hman:as, and it is likely Kuruks:etra
Buitenen (Chicago, 1975), pp. 378–386, and in The
was a heartland for Brahmanic learning in the period of both
Maha¯bha¯rata of Krishna-Dwaipayana Vyasa, vol. 7, 2d ed.,
the Bra¯hman:as and early Upanis:ads. Thus S´atapatha
translated by P. C. Roy and K. M. Ganguli (Calcutta, 1970),
Bra¯hman:a 14.1.1.2 describes it as “the gods’ place of divine
pp. 158–159. For still the best on-site description, see Alex-
worship,” and several passages speak of the gods’ sacrificial
ander Cunningham’s Report of a Tour in the Punjab in 1878–
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KUSHITE RELIGION
5269
79, vol. 14 (1880; reprint, Varanasi, 1970), pp. 86–106. On
temple reliefs include the moon god Khonsu, the ibis-headed
textual references, see Sasanka Sekhar Parui’s Kuruks:etra in
Thoth, and the goddesses Isis, Hathor, and Mut. The ram-
the Vamana Pura¯n:a (Calcutta, 1976). On symbolic over-
headed Khum, god of cataracts, was especially venerated in
tones, see Madeleine Biardeau’s “Études de mythologie hin-
the cataract region of northern Kush. Horus, who in Egypt
doue, Chap. II, Bhakti et avata¯ra,” Bulletin de l’École Fran-
symbolized the pharaonic authority, was another deity espe-
çaise d’Extrême Orient 63 (1976): 111–263, esp.
cially popular in the north.
pp. 259–262.
In Kush as in Egypt, mortuary ritual was associated with
ALF HILTEBEITEL (1987)
the Osirian family of deities: Osiris, his sister-wife Isis, and
Nephthys, the sister of Isis. The jackal-headed Anubis also
played an important part in mortuary ritual. In later centu-
KUSHITE RELIGION. Kush was the name given in
ries the cult of Isis became especially highly developed, and
ancient times to the area of northeast Africa lying just to the
was no longer primarily a mortuary cult. Isis became the
south of Egypt. It is the Aethiopia of Herodotus and other
chief tutelary of the most northerly district of Kush (later
classical writers, and it corresponds in a general way to the
known as Lower Nubia), but there were also Isis temples at
Nubia of today. Its peoples were and are African in race and
Meroe and elsewhere in the south.
language, but since very early times their culture has been
In the Meroitic period (c. 350 BCE–350 CE) the Kushite
strongly influenced by that of their northern neighbors.
pantheon came to include a number of deities who were ap-
The northern part of Kush was under direct Egyptian
parently not of Egyptian origin. The most important of them
control during the New Kingdom (c. 1580–1000 BCE).
was Apedemak, a lion-headed male god who was a special
Egyptians did not settle in the country in large numbers, but
tutelary of the ruling family. He was a god of victory and also
they oversaw the building of temples, towns, and fortresses
of agricultural fertility. There were temples of Apedemak at
and the inauguration of the typical pharaonic system of ad-
Meroe and at several other towns in the southern part of
ministration and of worship. When the colonial overlords
Kush, but his cult seems to have been little developed in the
departed, around 1000 BCE, they had laid the basis for an
more northerly districts, which were far from the seats of
Egyptianized successor-state that was to emerge a little later
royal authority. Two other possibly indigenous deities were
as the empire of Kush. The Kushite rulers assumed all the
Arensnuphis and Sebiumeker, who are sometimes depicted
titles and trappings of the pharaohs, and for a brief period
as guardians standing on either side of temple doors. There
(751–656 BCE) were even accepted as rulers in Egypt itself.
was, in addition, an enigmatic goddess with distinctly ne-
Kushite authority in Egypt was ended by an Assyrian inva-
groid features, whose name has not been recovered.
sion, but the empire later expanded southward at least as far
Cult animals were evidently important in Kushite reli-
as the confluence of the Blue and White Niles, and possibly
gion, as they were in Egypt. Cattle are often depicted in tem-
much farther.
ple procession scenes, and at the southern city of Musaw-
The original capital of Kush was at Napata, near the
warat there was apparently a special cult of the elephant.
Fourth Cataract of the Nile, where a great temple of Amun
Kushite religious architecture shows very strongly the
had been erected during the Egyptian colonial regime. Later,
influence of Egypt, though with some distinctive local touch-
as the empire expanded southward, the capital was moved
es. Temples are of several types, but they fall into two broad
to Meroe, near the mouth of the Atbara River. The earlier
categories. The largest temples, comprising from three to five
and later phases of Kushite civilization are often designated
rooms, are purely Egyptian in type, with pylon gate, fore-
as Napatan and Meroitic, after the respective capitals. The
court, hypostyle hall, pronaos, and one or more sanctuaries.
empire of Kush was finally overrun and destroyed by barbar-
All of the temples dedicated to Amun are of this type. A
ian invaders in the fourth century CE, but some of its tradi-
much smaller type of temple comprises only a pylon gate and
tions persisted until the coming of Christianity two centuries
one or two adjoining chambers, with or without interior
later.
colonnading. Most if not all of the temples of Apedemak are
Detailed information about the religion of Kush is
of this type.
scanty. The accounts of classical writers are unreliable, and
We know almost nothing about the details of ritual, but
the indigenous language of Kush (called Meroitic) is largely
we can deduce from temple and tomb scenes that offerings
undeciphered. Most of our information is based on the inter-
of food and drink played an important role. Processions of
pretation of reliefs carved on temple and tomb walls and on
priests and animals were probably also common. Pilgrimage
votive objects.
was an important act of personal piety, to judge from the
In the beginning, the religion of Kush appears to have
number of votive graffiti on temple walls and floors as well
differed little from that of pharaonic Egypt. The principal
as on cliff faces. Funerary texts from northern Kush suggest
state deity was Amun, whose cult was celebrated at the great
that there were several ranks of priesthood attached to the
state temples of Napata and Meroe, and at many other
temples, although the precise meaning of these texts is very
places. Other Egyptian deities who are depicted in Kushite
far from clear.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5270
KU
¯ YA
As in Egypt, the afterlife was a major focus of concern.
In 924, Ku¯ya formally entered the priesthood at the
The Kushite rulers and their families were buried under
Kokubunji in Owari Province (modern Aichi Prefecture).
steep-sided stone pyramids, each of which had attached to
He later spent periods of devotion and study at Mineaidera
it a mortuary chapel like a miniature temple. Underground
in Harima Province (modern Hyo¯go Prefecture), at Yushima
there were two or three chambers adorned with painted
on the island of Shikoku, and perhaps in the far northern
scenes of the afterlife. The royal dead were often laid out on
provinces as well. But beginning in about 938, his public
a bed (a uniquely Kushite practice), accompanied by lavish
demonstrations of the Nembutsu in the markets of
offerings that sometimes included animal and human sacri-
Heiankyo¯, the capital city (modern Kyoto), began to attract
fices. More ordinary folk were interred in an undecorated
a large following among the common people. He soon be-
underground chamber, which might be surmounted by a
came known as ichi no hijiri (“the holy man of the markets”)
brick platform or a miniature pyramid. These too usually
and Amida hijiri (“the holy man of Amida”).
had an adjoining chapel or at least an offering niche. A
In 948 he received full ordination at Enryakuji, the
unique feature of mortuary ritual in the northern part of
headquarters of the Tendai school, and took the priestly
Kush was the making of ba statuettes, in the form of a bird
name Ko¯sho¯. When an epidemic swept Heiankyo¯ in 951,
with human head. These were placed outside the tomb su-
Ku¯ya undertook several projects designed to ease the suffer-
perstructure, and symbolized that part of the soul (the ba)
ings of the people, including the carving of images of the
that remained on earth after death, while another manifesta-
eleven-headed Kannon and other benevolent deities, the
tion of the soul (the ka) journeyed to the afterworld.
copying of the Daihannyakyo¯ (Maha¯prajña¯pa¯ramita¯ Su¯tra) in
gold letters, and the founding of a temple, originally named
BIBLIOGRAPHY
There is no single, detailed work on the religion of Kush, as is to
Saiko¯ji, and now called Rokuharamitsuji. The temple, near
be expected in view of the scanty available evidence. Brief,
Higashiyama in Kyoto, remains closely associated with Ku¯ya,
popular summaries can be found in Peter L. Shinnie’s Meroe:
and it was also the site of his death, at age sixty-nine, in 972.
A Civilization of the Sudan (New York, 1967), pp. 141–152,
Ku¯ya’s Nembutsu, a chant accompanied by dancing to
and in my book Nubia: Corridor to Africa (Princeton, 1977),
the beat of a small cymbal or drum, was probably an adapta-
pp. 325–328, 336–338, 374–378. More technical discus-
tion of shamanic practices. He also praised Amida and the
sions include those of Jean Leclant, “La religion Méroïtique,”
in Histoire des religions, edited by Henri-Charles Puech
Nembutsu in simple verses that were posted in the market-
(Paris, 1970), vol. 1, pp. 141–153, and Nicholas B. Millet,
place. Before Ku¯ya, the Nembutsu was used as a magical
“Meroitic Religion,” in Meroitische Forschungen 1980
charm, at funerals, and in the intense meditations of Tendai
(Meroitica 7), edited by Fritz Hintze (Berlin, 1984),
monks. Ku¯ya was the first to prescribe it as a simple expres-
pp. 111–121. L. V. Zˇabkar’s Apedemak, Lion God of Meroe
sion of faith to be used by the uneducated and the poor, and
(Warminster, 1975) discusses at length one particular aspect
he is even said to have taught it to prostitutes and criminals.
of Kushite religion.
He thus contributed to the Heian-period developments that
New Sources
carried Buddhism beyond the confines of court and monas-
Török, Laszlo. The Image of the Ordered World in Ancient Nubian
tery and prefigured the founders of the Pure Land (Jo¯do)
Art: The Construction of the Kushite Minad, 800 B.C. – 300
schools that emerged in the Kamakura period (twelfth and
A.D. Leiden, Netherlands, 2002.
thirteenth centuries), advocating exclusive devotion to the
Welsby, Derek A., ed. Recent Research in Kushite History and Ar-
Nembutsu and appealing to persons from all social strata.
chaeology: Proceedings of the 8th International Conference for
Meroitic Studies. London, 1999.
Like Gyo¯gi and the Kamakura innovators, Ku¯ya func-
Wildung, Dietrich, ed. Sudan: Ancient Kingdoms of the Nile. New
tioned on the periphery of the ecclesiastical establishment
York, 1997.
while maintaining ties with influential, aristocratic patrons,
and he was thus free to convey his teachings to a diverse audi-
WILLIAM Y. ADAMS (1987)
Revised Bibliography
ence. There are many legends about his deeds, and the wood-
en image of him enshrined at Rokuharamitsuji (done in the
Kamakura period) emphasizes his hijiri character: he is clad
as an ascetic and carries his cymbal and a staff topped with
KU
¯ YA (903–972), also called Ko¯ya, a charismatic Japanese
antlers; he leans forward as if to begin his dance, and from
monk who devoted himself to popularizing the Nembutsu
his mouth issue six tiny images of Amida Buddha, represent-
(Chin., Nianfo), the oral invocation of Amida Buddha.
ing the six characters of the written Nembutsu.
Ku¯ya’s origins are unknown, but some sources claim that he
may have been a grandson of Emperor Ninmyo¯ (810–850)
SEE ALSO Gyo¯gi; Nianfo.
or a son of Emperor Daigo (885–930). In his youth, as an
itinerant lay priest (ubasoku), Ku¯ya traveled in rural areas, di-
BIBLIOGRAPHY
recting and assisting in the repair of roads and bridges, im-
The most reliable account of Ku¯ya’s life and career is a memorial
proving wells and dikes, and supervising burials. In these ac-
biography, Ku¯ya rui, written in 972 (the year of his death)
tivities he closely resembled Gyo¯gi (or Gyo¯ki, 668–749), a
by Minamoto Tamenori. The biography in Yoshishige Yasu-
revered monk of the Nara period.
tane’s Nihon o¯jo¯ gokuraku ki (c. 986) and most other tradi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
KU
¯ YA
5271
tional versions are closely based on Tamenori’s. These and
Man),” Numen 5 (April 1958): 128–160 and (September
other variants are reproduced in and were the basis for the
1958): 199–232; and Folk Religion in Japan, edited by Jo-
first comprehensive modern study in Japanese, Hori Ichiro¯’s
seph M. Kitagawa and Alan L. Miller (Chicago, 1968),
Ku¯ya (Tokyo, 1963), no. 106 of “Jimbutsu so¯sho.” For a
pp. 107ff. See also Yuishin Ito¯, “Ku¯ya,” in Yu¯sen Kashiwa-
more recent study, see Ishii Yoshinaga, Ku¯ya sho¯nin no
hara and Ko¯yu¯ Sonoda, eds., Shapers of Japanese Buddhism
kenkyu¯: sono gyo¯go¯ to shiso¯ (Kyoto, 2002).
(Tokyo,1994), pp. 52–62.
In Hori’s English works, Ku¯ya is discussed as one of several similar
Heian period figures; see “On the Concept of Hijiri (Holy-
EDWARD KAMENS (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


L
LABOR SEE WORK
LABYRINTH. The word labyrinth refers to a large variety of drawings and patterns,
some intricate, some less so, ranging from prehistoric rock engravings to modern art, as
well as to highly complex symbolic and mythological structures around which an im-
mense richness of meaning has accumulated during the course of many centuries and civi-
lizations. The word is used to describe:
(1) a difficult path, or passage, or tunnel, often underground, through which it is ex-
tremely hazardous to find one’s way without guidance
(2) a seemingly unending building of innumerable rooms and galleries intended to con-
found intruders and lead them astray
(3) metaphorically, any kind of complexity from which it is almost impossible to extri-
cate oneself.
In this last and more general use, and under the pressure of the growing complexities of
the contemporary world, the very old symbol of the labyrinth has come back with re-
newed vitality to haunt the subconscious of modern humankind and reenter the vocabu-
lary of art and literature. What makes the labyrinth, in its wealth of analogical associa-
tions, so relevant today is the fact that it is an emblem of the existential dilemmas of
modern urbanites, who find themselves trapped in a prisonlike world and condemned
to wander aimlessly therein. However, the labyrinth catches the imagination not just be-
cause it reminds one that one is lost in its bowels and about to be devoured by the Mino-
taur but also because it suggests that somewhere in the dark pit there must be an almost
forgotten center from which, after the ultimate trial confronting terror and death, one
may find the way out to freedom. These hints of fear and hope are, in fact, echoes of
very ancient myths, among which stands the famous story of Theseus and the Minotaur.
THE MYTH OF THE MINOAN LABYRINTH. In concise terms the myth of the Minoan laby-
rinth tells of Minos, who became king of Crete when Poseidon, god of the sea, sent him
C LOCKWISE FROM TOP LEFT CORNER. A labyrinth on the floor of Chartres Cathedral in France. [©Foto
Marburg/Art Resource, N.Y.]; The Stele of Hammurabi. Lion capital of A´soka at Sarnath, India.
[The Art Archive]; Marble Sappho by James Pradier (1792–1852). Musée d’Orsay, Paris.
[©Giraudon/Art Resource, N.Y.]; Japanese Buddhist wood carving depicting a spirit holding a
lotus. [©Foto Marburg/Art Resource, N.Y.] .
5273
5274
LABYRINTH
a bull from the sea in answer to his prayers. But Minos failed
time not by a loving woman but by a bandit named Per-
to sacrifice the animal, as ordered by Poseidon, and so be-
itoos, in an attempt to abduct Persephone, the wife of
came sterile. Pasiphaë, daughter of the Sun and wife of
Hades; the project fails. Peritoos is dismembered by the
Minos, conceived a passion for the bull; she placed herself
three-headed dog Kerberos, and Theseus, lost in the lab-
inside an artificial cow, built for the purpose by Daedalus,
yrinth of Hades, is turned into a stone. This implies that
and made love with the animal. The Minotaur, a monster
the killing of the Minotaur is less heroic than it seems,
half man and half bull, was born of this union. King Minos,
for it involves the brutal suppression of a problem in-
appalled by this event, ordered Daedalus to build a labyrinth
stead of the attempt at a harmonious solution.
from which no one could escape and had the Minotaur hid-
(4) Finally, the story of Theseus in the labyrinth can be seen
den within it.
as symbolizing the dangers of initiation according to a
The town of Athens, which had been recently con-
well-known pattern of descensus ad inferos, symbolic
quered by Crete, was ordered to send every eight years seven
death and return to life.
youths and seven maidens to be devoured by the Minotaur.
THE LABYRINTH AS SYMBOL. This article shall now briefly
The time came when the Athenian hero Theseus decided to
review some of the more significant connotations of the idea
put an end to this dreadful tribute and offered himself as one
of the labyrinth itself. It should be kept in mind that all sym-
of the seven young men to be sacrificed. He entered the laby-
bols and myths can be interpreted on many different levels
rinth and killed the monster, finding his way out again with
and ask for a continuing effort of hermeneutics.
the help of a ball of string he had spun out behind him, a
gift to him from Ariadne, the enamored daughter of Minos.
Descent into the unconscious. Entering the labyrinth
stands for what a psychoanalyst would describe as a descent
After this triumph, however, things began to go wrong.
into the subconscious layers of the psyche, with its obscuri-
First, on his way back to Athens, on the island of Naxos, the
ties and terrors, its traumas, complexes, and unresolved emo-
proud hero abandoned Ariadne while she was asleep and de-
tional conflicts.
cided to marry her sister Phaedra—a decision that later
proved disastrous. Then he forgot to substitute the black sails
Regressus ad uterus. Entry into the labyrinth recalls as
of his ship for white ones, as he had promised his father, King
well a retreat into the bosom of Mother Earth, conceived also
Aegeus, he would do if he had slain the Minotaur; the old
as yoni, grave, and magic oven, and related to the “V. I. T.
Athenian king, on seeing the black sails in the distance, be-
R. I. O. L.” injunction of alchemy attributed to Basilius
lieved that Theseus was dead and so jumped off a cliff to his
Valentinus—“Visitabis Interiora Terrae Rectificando Inve-
death. Meanwhile, the furious Minos punished Daedalus by
nies Occultum Lapidem” (“Visit the interior of the earth and
incarcerating him and his son Icarus in the maze. Although
by rectifying thou wilt find the secret stone”). This connota-
Daedalus was the architect of the labyrinth, he could not find
tion is particularly strong in cave and underground laby-
his way out. Therefore he decided to escape by the only pos-
rinths. In fact, many megalithic stone engravings seem to as-
sible route: upward. With feathers and wax he manufactured
sociate labyrinthine patterns simultaneously with the cult of
two pairs of wings; he warned his son not to ascend too high,
the dead and symbols of fecundity, as for instance in the
and the two flew away. Icarus, however, intoxicated by the
drawings in Val Camonica, Italy. In many cases prehistoric
wonders of flight, forgot his father’s advice and soared too
drawings show what seem to be the female genitalia; some-
near the sun; the wax of his wings melted, and he plunged
times they show concentric circles with a straight or serpen-
into the sea and disappeared. The more cautious Daedalus
tine line running to the center, suggesting spermatozoa
landed safely in Sicily.
reaching the ovum. This is the kind of drawing Moritz Ho-
erner and Oswald Menghin called Ringwallbilder and con-
Many aspects of this story require careful study before
sidered the simplest and most common of labyrinthine pat-
one can fully grasp its meaning. Four of its more relevant
terns found in Europe. Explicit sexual symbolism can be
themes are these:
found also in the Etruscan vase of Tragliatella (Museum of
(1) There is the suggestion that the labyrinth is related to
the Capitolium, Rome) and in connection with Knossos-
an unresolved conflict that carries a costly toll of guilt
type labyrinths.
and fear—the annual sacrifice of the seven boys and
Nekuia or the descent into Hades. In close association
girls—that can only be settled through the intervention
with the symbolism of a regressus ad uterus is that of a nekuia,
of a “hero.”
or descent into Hades, to the underworld abode of the dead
(2) It is also suggested that the way out of this conflict de-
where an invisible fire transforms all bodies that enter it.
pends on mnemonics and feats of memory—Ariadne’s
Inner fire destroys and melts, but as the athanor (the symbol-
thread—and on the ability to “fly,” that is, to achieve
ic furnace of physical or moral transmutation) of the alche-
a higher level of consciousness.
mist, it also purifies, regenerates, transmutes, and produces
“gold.”
(3) The myth points to the ultimate failure of the hero. It
is important that Theseus, apparently the hero, meets
Meeting the monster. Visiting the underworld entails
a dismal end when later he descends to hell, helped this
meeting its guardians: Kerberos, old women and magicians,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LABYRINTH
5275
monsters and demons. Horned figures identical with the Mi-
Daedalus. Labyrinthine defense develops with the rise
notaur can be found in many prehistoric drawings, as in Val
of agrarian empires. The need to protect crops creates the
Camonica, Italy, and the Cueva de los Letreros, Spain, as
need to build secure storage places; the silo foretells the
well as in ancient Egypt; they bring to mind the traditional
stronghold. Soon the labyrinth becomes the emblem of
images of the devil in Christian and other traditions.
the treasure house, of the king’s palace (as in Knossos), of
the defensive walls of the town, of the urbs. It is not surpris-
The Minotaur’s horns can be related to the idea of a
ing, thus, to find out that the name Daedalus, the inventor
crown, not only through etymology but also through sym-
and mythic architect of the Minotaur’s labyrinth, means “to
bolic associations. In Delos was an altar, named Keraton,
build well”; Daedalus’s ascendency is also significant, for his
made of the horns of bulls and goats and linked to the cult
ancestors are Hephaistos, god of underground fire and an ar-
of Apollo Karneios, protector of horned animals. Another in-
chitect himself; Gaia, the earth, mother of all things; and
teresting link can be established between horns and the la-
Erecteion, their son, a half god whose nature is partly that
brus, or the double ax. William H. Matthews (1922) reports
of human, serpent, and wind.
that the German archaeologist Heinrich Schliemann, during
his researches at Mycenae, unearthed from one of the graves
According to Homer the ramparts of Troy were built
an ox head of gold plate with a double ax between the up-
by Apollo and Neptune disguised as humans; metaphorical-
right horns. The double ax was the sign of the Zeus wor-
ly, form-giving intelligence and solar reason combine with
shiped at Labraunda, and it occurs frequently in the Minoan
the energy-giving depths of the collective psyche to create the
palace of Knossos discovered by Arthur Evans; it was obvi-
urban labyrinth symbol. In Indian myth the god of heavens,
ously an object of great importance and was linked with the
Varun:a, whose power is symbolized by a knotlike emblem,
cult of the bull. There was even a tomb shaped like a double
commands the divine architect Visvakarman to build a castle
ax that contained a big ax and some smaller ones. Evans, in
of one hundred rooms where the sun woman Sutya shall be
the light of these and other discoveries, concluded that the
kept.
palace of Knossos was the labyrinth, or “house of the La-
It is interesting, from this point of view, to recall some
brys,” although some scholars dispute this. Confirming the
of the popular names of labyrinths current in Europe, like
initiatory symbolism of the labyrinth, some authors think
the Scandinavian “Ruins of Jerusalem,” “City of Nineveh,”
that the ax signifies the “power of light” and is the equivalent
“Walls of Jericho,” and “Babylon,” as well as the frequent
to sword, hammer, and cross (Juan-Eduardo Cirlot); it corre-
names meaning “the castle of Troy,” like Trojin, Trojeburg,
sponds to the Indian vajra and to Jupiter’s lightning, sym-
Troburg, Treiborg, Truberslot, and so forth. This suggests that
bols of the celestial illumination at the center, and as such
popular imagination sees the labyrinth as the symbol of a leg-
it may reveal the symbolic reversal of polarities implied by
endary town doomed to destruction. In contrast, the laby-
Gemini (Luc Benois); in any case, the ax and the labyrinth
rinths that can still be seen on the floor of European churches
respond to each other as representations of the supreme cen-
and cathedrals, where penitents used to walk on their knees
ter and of a supreme principle (Mario Pasotti).
as the equivalent of a pilgrimage to the holy places were
Temenos, or the enclosed space. Burying the dead and
called, among other names, La Lieue de Jerusalem (“the Jeru-
sowing seeds consecrates the ground. This creates a privi-
salem mile”). In them is found a clear symbol of the arche-
leged place, a place of sacred mystery, of a conjunctio opposi-
typal town, taken now as the promised celestial bride, the
Heavenly Jerusalem glorified by the apostle John, as opposed
torum, where life and death, light and darkness, male and fe-
to the doomed City of Destruction of the biblical apocalypse.
male principles transform and melt into each other. Such a
place is a campo santo and has to be protected from profane
Ascent to the sacred mountain. If the labyrinth, as has
intrusion and invisible threat. In this connection the laby-
been seen, denotes the underworld in its catharsis, in its de-
rinth acquires new symbolic functions, becoming a prophy-
scent “to the left” (the “sinister” direction), it also implies the
lactic device, a defensive wall, a trap for hostile invaders,
meaning of an anarsis, or ascent to life and light in its turn-
while remaining at the same time, for those who know it, the
ings “to the right.” These opposed movements are both com-
secret path to the initiation chambers in which the “second
prised in the wholeness of the symbol. The link between
birth” takes place. Both in magical terms and in actual fact,
them is evident in the wholeness of the symbol. The link be-
it comes to represent the protective ramparts of the most pre-
tween them is evident in the rapid passage from the maze’s
cious spiritual treasures of the clan. And then it becomes also
bottom, or from the pit of hell, into the mountain’s ascent,
the defense of the house of the living, the rampart of the
or the liberating flight. In the legend of Minos, Daedalus es-
town and the town itself. In southern India the Tamil
capes the prison by using artificial wings. In his Commedia
women draw labyrinthine patterns on the threshold of their
Dante reaches the depths of hell only to find that he is at the
houses in the month of Margali, or Mr:iga´sira, corresponding
bottom of the mountain of purgatory, which he subsequent-
to the period of the winter solstice, during which the sun is
ly climbs with his guide Vergil. Similarly, at the entrance of
“dead”; some of these patterns, called kolams, are named
the cave leading to the Maya kingdom of the dead stands the
brahmamudi (“Brahma knot”) and form a continuous line
stairway pyramid, symbolizing ascent to the heavens, and, ac-
with no beginning and no end.
cording to Codex Borgia, after the terrifying journey 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
5276
LABYRINTH
abyss, the soul turns right into the realm of regenerating
labyrinth has evolved and acquired new meanings that have
water and purifying fire, to be born again.
influenced its design. The discussion that follows will at-
tempt to categorize these different labyrinthine patterns.
In the archetypal town the center represents this place
of rebirth and ascent and is occupied by an empty space,
The serpentine linear labyrinth. A type of proto-
which marks the vertical axis that links the different planes
labyrinthine pattern of wandering or undulating lines, some-
of the cosmos, or by a temple, which symbolizes the sacred
times going in one direction and then turning back in the
mountain. The temple or the mountain’s axis is again the
opposite one, is frequent in prehistoric rock engravings; in
central passage along which the underworld communicates
some cases it appears in combination with spiral labyrinths.
with the world of humans and the world of the gods. Such
Serpentine lines evoke a voyage “to the left and to the right”
is the symbolism of the Temple of Solomon, built on Mount
and connote a fate decided by various opposing influences,
Moriah; of the sacred Mount Tabor; of the Samaritans’
visible and invisible—the path of the nomad or the hunter,
Mount Gerizim; of the Batu-Ribn, the cosmic rock of the
the passage of humanity through space and time.
Semang of Malacca, on which once stood a tree rising to
Ringwallbilder. A type of drawing known to scholar-
heaven; of the subterranean temples of the Pueblo Indians
ship as a Ringwallbilder consists basically of concentric circles
of North America, in which a hole in the ground and a ladder
penetrated by a straight or serpentine line. The central point
to the ceiling link the netherworld to the worlds above; of
corresponds to origin, to the fiat, to the manifestation of di-
the KaEbah in Mecca, the sacred stone that fell from the sky,
vine energy. In its dimensionless recesses is concealed the
leaving a hole corresponding to the North Star that is known
mysterious inmost womb of all creation and all creatures.
as the Door of Heaven; and so forth. The center of the laby-
Thus new life and fertility depend on the hidden center—of
rinth, the axis mundi, the vertical alignment of the centers
being, of the earth, of the mother. Ringwallbilder relate to
of the abyss, of the earth and of the heavens, the temple, the
a cosmogonic vision, to the mystery of life-generating pro-
sacred mountain, and the infinite number of variations on
cesses, to fertility and sexual symbolism.
these themes—all are parts of the same symbolic con-
stellation.
The spiral labyrinth. Basically the spiral labyrinth is
made of a spiral line turning around a center; it implies a
Dance, playground, garden, and game. As shall be
double movement, inward and outward, sometimes drawn
seen below, there is a profound link between the labyrinth
into a double spiral. Many types of design are possible; the
and dance. Legend says that Daedalus built in the agora of
well-known representation of yin and yang and the Grecian
Knossos the first place for sacred dances. After the victory of
motifs can be considered variations of the spiral. Because a
Theseus over the Minotaur, the feat was reenacted on the is-
spiral leaves no alternative paths, some authors prefer to call
land of Delos in a nightly dance dedicated to the goddess of
it a pseudolabyrinth. Spiral labyrinths are very frequent.
love that was known by the name of geranos, a word coming
Their first appearance is probably linked to the human revo-
from the Greek for “cranes,” probably because these birds fly
lutionary passage from neolithic nomadism to the settled
in a straight line.
agrarian life, a passage that forced a reappraisal of fertility,
Things sacred do not disappear with time, even when
cosmic cycles, and earthly and motherly deities. Agriculture
they are seemingly abandoned in favor of other traditions,
implies a fixed life and the creation of privileged loci, as well
beliefs, and cultures; they often survive in folklore, in popu-
as the belief in the “resurrection” of seeds by invisible forces
lar and peasant festivals and traditions, in children’s games,
hidden in the earth, which is conceived as an inner fire capa-
in plays and playgrounds. Labyrinthine games were extreme-
ble of “digesting” whatever goes underground. It is not sur-
ly popular in England; witness the many surviving “turf-
prising, then, to find an ancient relation between the spiral
mazes,” sometimes called “Troy towns” or “Caerdroia,”
and intestines, as in several drawings of the so-called Rönt-
which follow the pattern of the labyrinths seen on coins from
gen-style, frequent among Arctic populations, or in certain
Knossos. The art of trimming hedges of evergreens is very
Japanese ceramics of the Jomon period. Károly Kerényi stud-
old; it made possible the creation of the hedge mazes in gar-
ied what he considered the first kind of labyrinth—the spi-
dens that became popular in the seventeenth century, espe-
ral—in the most ancient examples available: several clay pla-
cially in Holland, France, and England. And the type of
quettes found during excavations in Babylon that show
game in which a path must be followed to a center, like jeu
drawings of intestines. According to some scholars, the in-
de l’oie, snakes and ladders, and so many others everywhere
scription on this drawing is êkal tirâni (“palace of viscera”);
is an example of how the symbol of the labyrinth has survived
these plaquettes were probably used for divination. The bow-
in children’s games and puzzles.
els, through internal heat, or “fire,” were supposed to create
T
a form of energy that is analogous to the inner fire of the
YPES OF LABYRINTH. Such a wealth of connotations and in-
earth as shown in the slow “digestion” of seeds, ores, and
terlinked meanings combine in the single symbolic structure
crystals and in the sudden eruption of volcanoes.
of the labyrinth. This article can give only a pale idea of its
riches. They show its antiquity and the accumulation of
The spiral labyrinth is simultaneously the intestine, di-
many layers of magical, religious, intuitive, rational, and
gestion, and energy, as can be seen in some ancient docu-
metaphysical significance. Over the centuries the idea of the
ments—in the Epic of Gilgamesh, for example, the face 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
LABYRINTH
5277
horned monster Huwawa is made of viscera—as well as in
Central Asia, the first element of which is spinning around
much more recent ones—like the Romanesque paintings in
a center. According to the Kojiki, a collection of narratives
which the abdomen of the figure of Christ in majesty dis-
and myths written in Japan at the beginning of the seventh
plays the arms of a spiral and the frescoes that depict the tri-
century, the marriage of the male and female aspects of divin-
umph of Death in the Campo Santo of Pisa, in which a sin-
ity was preceded by a dance around the “august celestial
ner’s exposed bowels form a spiral. To eat and to be eaten
pilaster.”
are correlative moments in the cosmic balance; digestion in
Spiral labyrinths connote symbolically also the serpent,
viscera terrae corresponds to death and dissolution, to the in-
as Indian tradition represents it implicitly in the first cakra,
terchange of energies, to transmutation, and to promised res-
able to rise up the spine or axis mundi. The serpent motif,
urrection. Jurgis Baltrusaitis says that until Carolingian times
so charged with energy and meaning in Tantric as well as in
sepulchers often contained spiral-shaped snail shells, to sym-
Christian and many other cultures, is an ancient symbol con-
bolize a tomb from which humankind will rise again. Simi-
nected with the earth that appeared on ceramics at the rise
larly, in Kansu, China, funerary urns of the Ma Chang peri-
of agrarian civilization and spread to vast regions of Mesopo-
od have been found decorated with cowrie patterns, also
tamia, India, and Mesoamerica. It is relevant to remember
known as death patterns, spiral motifs that symbolize the
that in Vergil’s Aeneid, after the description of the equestrian
promise of an afterlife. The earth, like an abdomen, ingests
dances that closed the funerary feats in honor of Anchises,
the seed, the dead, the sun, or the virgin before it allows the
it was told that a serpent crept out of the tomb and twisted
revival of plants, of souls, or of spring and fruits.
its body in seven knots.
Several known myths of distinct areas and epochs follow
The cross labyrinth. The cross labyrinth combines the
an identical pattern of a virgin’s sacrifice and burial that is
spiral motif with the partition of space in four directions.
necessary to ensure future crops. In one such myth, collected
The transition from spiral to cross labyrinth results perhaps
by Adolf E. Jensen from among the Maros of the island of
from the psychic situation created by the rise of agrarian and
Ceram in Indonesia, the virgin Hainuwele is put to death
subsequent urban cultures. The city becomes the privileged
after a dance that lasts nine nights, during which men and
and protected area where wealth, knowledge, and power,
women move along a big spiral centered upon a hole in the
both material and spiritual, are concentrated. The center of
ground; the virgin is gradually pushed into that hole and,
the city, as center of the labyrinth, is turned into a crossroads
after the sacrifice, is buried in it; Malua Satene, probably a
from which distances are measured and time calculated. Four
death divinity, infuriated by the murder of Hainuwele, forces
is the basic number of directions: sunrise, sunset, north, and
every person to pass through a door decorated with a spiral
south. A cross is the sign of their spreading from the central
of nine circumvolutions; those incapable of passing the porti-
heart. The square, which evolves from the cross, then be-
co are transformed into animals or spirits.
comes the emblem of the rational urbs and the dwelling place
A definite link connects the spiral labyrinth with ritual
of the new urbanite. The settlement of towns requires a men-
dance. In Kerényi’s opinion, all research into the labyrinth
tal revolution: people must make accurate forecasts and long-
should take dance as its starting point. Peasants in many
range plans; draw up laws and regulations, which implies a
places still dance around a tree or pole (the maypole in
police force (the words police and policy both come from
Anglo-Saxon areas), often using bands or threads to create
polis, “town”); and, last but not least, develop a “town mem-
ory” in the form of registers and archives, an act that requires
a spiral, as in the geranos dance performed in Delos in honor
the invention of writing. This change in thinking finds its
of Ariadne. The German Bandltanze are often performed in-
visual expression in the orderly vertical and horizontal arms
side a labyrinth made of stones aligned on the ground; such
of the cross, which when repeated create geometric patterns
stone labyrinths are known in Germany as Steintanz and in
based on squares. This type of geometric arrangement ap-
Scandinavia as jungfrudans (“dance of the maidens”). There
peared in Mesopotamia and then, more suddenly, in Egypt
is also a possible link between the paramilitary ritual games
in predynastic times, around the end of the fourth millenni-
of the Ludus Troiae in ancient Rome, corresponding to an
um; as René Huyghe points out, it served as a link in the pas-
equestrians’ dance, and what became the tournaments of
sage from nomadism to settled life. The knife of Jebel el
horsemen in the Middle Ages, as well as to the ludus draconis
Arak, found near Dendera, a village on the Nile, is probably
(“dragon’s play”) of France, Germany, and England, a feast
the first Egyptian example; the figures appear in parallel
related to the cult of Saint George and the return of the
rows, not randomly, as in prehistoric art. This labyrinthine
spring. In fact, a vast number of sacred dances of great antiq-
pattern eventually evolves into the classical model seen in the
uity were associated with funeral, fertility, and shamanistic
Knossos coins: a cross with its arms bent and turning around
rites and were performed around a center that symbolized the
the center in curvilineal or, more often, straight movements
axis mundi, the entrance to hell, or “Jacob’s ladder” to the
at right angles. Examples of this type occur most frequently,
heavens; in the geranos dance of Delos the women held a
from antiquity to modern times.
string or band and moved along a spiral, first to the left, into
death, and then to the right, to rebirth. Many types of such
A walled, strong, and organized city may reveal itself as
dances could be mentioned, like the shamanistic ones of
a prison to its inhabitants, just as the labyrinth, after some
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5278
LABYRINTH
authors, may have been used in a remote past to trap wild
observed; according to one of the oldest variants of their
animals. Lost is the freedom of movement and direct contact
myth, the soul must pass the “waters of death” and then, at
with the spirits of nature. The mythical Minotaur is, thus,
the entrance of the cave leading to the kingdom of the souls,
also the symbol of the repressed part of human nature, prera-
be confronted with the “female devouring ghost.” This ghost
tional and vital, which the new city hero wants to subdue;
has previously drawn with her finger on the sand of the floor
the artifices of Daedalus and the needs of the emerging state
of the cave, a geometric “knotty” pattern of considerable
hide the “monster” in the underground, and Theseus, with
complexity: It is made of one uninterrupted line, named “the
the help of artful memory tricks, decides to suppress it. But
way” or “the path.” Half of the drawing has been erased by
this is a fatal mistake on the part of the hero, for the Mino-
the ghost, however, and the soul must remake the missing
taur is also the hidden source of his own energy and power;
half correctly before being admitted into the cave. The fe-
killing the monster brings tragic forgetfulness, loss of pur-
male devouring ghost will eat those who are unable to com-
pose, decay, and disaster. In fact, the Minotaur cannot die.
plete the drawing. In preparation for this journey the
He takes his revenge in the same labyrinth, which is turned
Malekula islanders practice the ritual drawing of difficult
now into hell, for the Minotaur is also the promise of the
patterns on the sand.
sun’s rebirth (as the constellation Taurus brings back spring’s
vitality), and through the sun’s rays Icarus is punished for his
One is reminded here of the cave of the sibyl of Cumae,
arrogance in trying to evade complexity and enjoy a new,
in the sixth book of Vergil’s Aeneid, and of the labyrinth
marvelous freedom in the belief that he has to thank his own
drawn at its entrance. One-line, complex patterns evoke as
inflated ego alone.
well the famous Concatenation drawn by Leonardo da Vinci,
Albrecht Dürer’s Sechs Knoten, and the arabesques of Muslim
The cross inside the spiral suggests a divine sacrifice nec-
art (in architecture, in frontispieces to the QurDa¯n, in tile and
essary to redeem those who became lost in the “city of perdi-
carpet motifs). One is also are reminded of many well-known
tion”; Christ, like Theseus, descends to hell, but instead of
Celtic labyrinthine designs sculpted on crosses and stones,
killing the monster, he redeems the condemned. As an iter
such as the Carndonagm Cross at Donegal, in Ireland, and
mysticum to salvation, the cross labyrinth was extensively
the Jelling Stone in Denmark.
used in Christian ethics and symbolical art, in illuminated
manuscripts, on the floor of cathedrals, in painting, and in
The thread symbolizes guidance through a difficult path
heraldic and esoteric emblems, especially after the twelfth
or through initiatory rites, the loving or charitable gift of se-
century. In literature the connotations of this type of laby-
cret knowledge, and the promise of freedom. In India the
rinth have inspired poems, stories, and Hermetic and sym-
monks of Vis:n:u receive a sacred thread, and neophytes learn
bolic writings, from the cycle of the Holy Grail legends to
to perform symbolic exercises with it. Metaphysically, the
the seventeenth-century writings of John Bunyan and Johan-
thread is that with which God made all things, his divine
nes Amos Comenius.
logos; with it the sun, like a spider, unites the worlds. The
Satapatha Brahmana calls it the “wind” thread, and the Brha-
The cross is an immensely rich symbol. It reconciles op-
daranyaka Upanis:ad comments that the knowledge of this
posed directions and divided drives at its center, where the
thread and of brahman is the supreme knowledge of being
revolutions of the labyrinthine universe find their fixed axis,
in all its manifestations. Knowing that there is only one
just as in one of the coins from Knossos one sees the arms
thread in spite of the infinite variety of its knots, as Ananda
of a squared spiral turn around the polestar or the fixed sun.
Coomaraswamy ponders, brings one safely to the end of the
The thread and the knot. The red thread of Ariadne
path, to the center, and to the cosmic architect, himself the
is a symbol of memory, as mentioned before; it symbolizes
way and the door.
as well the sun’s rays and the way to liberation. But the
The celestial city and the man:d:ala. Finding the way
thread also binds when it turns and twists itself into knots,
through a labyrinth, conceived as a mental, spiritual, and
both as the cords tie the prisoner and as words compromise
metaphysical enigma, corresponds to the successful conclu-
or the vow commits an honest person. The knots of Varun:a
sion of an iter mysticum. It can be expressed visually by trans-
are the symbol of the god’s power to tie and untie, of the
formation of the labyrinth drawing into what in Indo-
magic forces of sovereignty concentrated in the king or
Tibetan terms is known as man:d:ala. The man:d:ala (the more
chief—justice, administration, public security, political deci-
schematic linear variations are called vantras) basically con-
sion, in fact, all the “powers,” as Georges Dumézil estab-
sists of a circle enclosing a square divided into four triangles;
lished when he studied the Ouranos-Varun:a symbolism. The
in the center of each triangle, as well as in the center of the
knot contributes to the labyrinth as a tying device, a symbol
whole drawing, are circles that contain the images of deities.
of centralized urban power and “amazing” artifice, and as
This pattern can take an infinite number of variations, some
such is linked to Daedalus, the artist and the inventor. But
of which are similar to the classical pattern of the labyrinth:
the knot also symbolizes initiation and, through its intricate
Many man:d:alas show bastions, ramparts, towers, and gar-
detours, the journey of the soul to salvation.
dens. All are conducive to yogic meditation; they are meant
The native peoples of the Malekula Islands in Vanuatu
to protect the meditator from distraction caused by uncon-
believe in a “journey of the dead,” as John Layard (1937) has
scious impulses and lead him or her to a descensus ad inferos
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LADY OF THE ANIMALS
5279
where the meditator meets his or her “ghosts,” and, recogniz-
Layard, John. “The Malekulan Journey of the Dead” (1937). In
ing their true nature, conquers them. Step by step the medi-
Papers from the Eranos Yearbooks, edited by Joseph Campbell,
tator is led out of the ocean of sam:sa¯ra—the overpowering
vol. 4, pp. 115–150. New York, 1960.
illusion of the complexity of appearances—to gain a new re-
Matthews, William H. Mazes and Labyrinths: Their History and
alization of being.
Development (1922). Reprint, New York, 1970. A classic
The man:d:ala is therefore a chart of the cosmos, includ-
general conspectus of the subject written with great care and
scholarship.
ing the axis mundi, the cosmic mountain of Sumeru, the pal-
ace of the cakravartin (“universal monarch”), and, according
Mumford, Lewis. The City in History. London, 1973. A masterly
to the Tantric text, the Sa¯dhanama¯la (“city of liberation”).
study of the evolution of towns. The first eight chapters are
The city of liberation evokes the celestial Jerusalem that de-
especially relevant to the understanding of the labyrinth.
scends from the heavens at the end of time; like a man:d:ala,
Purce, Jill. La spirale mystique. Paris, 1974. A readable essay on the
the celestial city expresses the final unification of opposites
sacred meaning of the spiral.
and the emergence of the transcendental ego—the “secret
Santarcangeli, Paolo. Le livre des labyrinthes: Historie d’un mythe
self” or a¯tman of the Veda¯nta, the Self in Jung’s terminology.
et d’un symbole. Paris, 1974. A general overview of the devel-
The rose windows in medieval churches and cathedrals of the
opment of the labyrinth through history, including a good
West, considered one of the greatest achievements of Euro-
bibliography.
pean art, are man:d:alas, symbolizing the process leading to
Tucci, Giuseppe. The Theory and Practice of the Man:d:ala, with
the ultimate metamorphosis of humankind. Their colored
Special Reference to the Modern Psychology of the Subconscious.
light, circular shape, and geometric crystalization suggest the
London, 1969. An enlightening study by one of the world’s
attained final radiance of the “adamantine body.”
leading authorities in the field.
S
New Sources
EE ALSO Center of the World; Crossroads; Descent into
Artress, Lauren. Walking a Sacred Path: Rediscovering the Labyrinth
the Underworld; Knots; Man:d:alas.
as a Sacred Tool. New York, 1995.
BIBLIOGRAPHY
Attali, Jacques. Labyrinth in Culture and Society: Pathways to Wis-
Borgeaud, Philippe. “The Open Entrance to the Closed Palace of
dom. Berkeley, 1999.
the King: The Greek Labyrinth in Context.” History of Reli-
Bord, Janet. Mazes and Labyrinths of the World. London, 1976.
gions 14 (1974): 1–27.
Castleden, Rodney. The Knossos Labyrinth: A New View of the ‘Pal-
Coomaraswamy, Ananda K. “The Iconography of Dürer’s ‘Knots’
ace of Minos’ at Knossos. New York and London, 1990.
and Leonardo’s ‘Concatenation.’” Art Quarterly 7 (1944):
109–128. A brilliant essay on the symbolism of knots.
Doob, Penelope Reed. The Idea of the Labyrinth from Classical An-
tiquity through the Middle Ages. Ithaca, N.Y., 1990.
Cowen, Painton. Rose Windows. San Francisco, 1979. A valuable
recent book on the history and, especially, the symbolism of
Granger, Penny. “Religious Symbolism in Mazes.” Caerdroia 29
the man:d:ala-type rose windows of Western churches.
(1998): 11–13.
Deacon, A. Bernard. “Geometrical Drawings from Malekula and
Michell, John. The Dimensions of Paradise: The Proportions and
Other Islands of the New Hebrides.” Journal of the Royal An-
Symbolic Numbers of Ancient Cosmology. London, 1988.
thropological Institute 64 (1934): 129–175.
Pennick, Nigel. Sacred Geometry: Symbolism and Purpose in Reli-
Deacon, A. Bernard. Malekula: A Vanishing People of the New
gious Structures. Freshfields, U.K., 1994.
Hebrides. London, 1934. See pages 552–579.
Saward, Jeff. Magical Paths: Labyrinths and Mazes in the 21st Cen-
Deedes, C. N. The Labyrinth: Further Studies in the Relation be-
tury. London, 2002.
tween Myth and Ritual in the Ancient World. Edited by Samu-
el Henry Hooke. New York, 1935. An authoritative study
Saward, Jeff, and Kimberly Saward. “Is That a Fact?” Caerdroia
on the subject, with emphasis on Egyptian seals and the use
33 (2003): 14–28.
of labyrinths as a protection in Mesopotamian tombs.
LIMA DE FREITAS (1987)
Eliade, Mircea. Images and Symbols: Studies in Religious Symbolism.
Revised Bibliography
New York, 1961. See especially chapter 4.
Freitas, Lima de. O labirinto. Lisbon, 1975. A richly illustrated
general essay on the symbolic meaning of the labyrinth.
Hocke, Gustav René. Die Welt als Labyrinthe: Manier und Manie
LADY OF THE ANIMALS. The term Lady of the An-
in der europäischen Kunst. Hamburg, 1957. A scholarly con-
imals is a scholarly convention used to describe anthropo-
spectus of the labyrinthine complex through the evolution of
morphic images of Godesses with companion animals. The
Western art.
image of the Lady of the Animals is well known to readers
Kerényi, Károly. Labyrinth-Studien. Amsterdam, 1941. A brilliant
of the classics: Aphrodite riding a goose or in a chariot drawn
essay on the spiral labyrinth.
by doves, Athena with her owl, and Artemis with her deer.
Knight, W. F. Jackson. Cumaean Gates: A Reference of the Sixth
But the image goes back much further than the classical age
Aeneid to the Initiation Pattern. Oxford, 1936.
of Greece (fifth and fourth centuries BCE), even much further
Layard, John. “Labyrinth Ritual in South India: Threshold and
back than the times of Homer (before 700 BCE) and Hesiod
Tattoo Designs.” Folk-Lore 48 (1937): 115–182.
(c. 700 BCE). Female images with zoomorphic body parts
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5280
LADY OF THE ANIMALS
(wings, beaks, snakelike bodies, bear heads, and the like) are
dess of the sea and sea animals, especially seals, walruses, and
common in the Neolithic era in Old Europe (6500–3500
whales. To the Hopi she is Kokyanguruti, or Spider Woman,
BCE) and elsewhere. Their origins can probably be traced to
the creatress and guardian of Mother Earth, who presides
the Upper Paleolithic (30,000–10,000 BCE). The Lady of the
over emergence and return. To the Algonquin she is No-
Animals is found in almost all cultures.
komis, the Grandmother, who feeds plants, animals, and hu-
mans from her breasts. In Mexico she is Chicomecoatl, Heart
Because prehistory has left no written records, interpre-
of the Earth, with seven serpent messengers. In Africa she is
tation of the meaning of the earliest images called Lady of
Osun with peacocks and Mami Wata with snakes. In Chris-
the Animals cannot be certain. She was known to her earliest
tianity her memory remains in the images of Eve with the
worshipers as “Mother of All the Living” (a phrase used to
snake and Mary with the dove. She lingers, too, in such folk
refer to Eve in Genesis 3:20), as “Creatress,” “Goddess,” “An-
images as Mother Goose, the Easter bunny, and the stork
cestress,” “Clan Mother,” “Priestess,” by a place or personal
who brings babies.
name, or, simply, as “Mother,” “Ma,” or “Nana.” Whatever
she was called, the Lady of the Animals is an image of the
Composed between 800 and 400 BCE, the Homeric
awesome creative powers of women and nature. The term
Hymns, some of which may reflect earlier religious concep-
Mother of All the Living may in fact be more accurately de-
tions, provide two powerful written images of the Lady of
scriptive of the wide range of creative powers depicted in im-
the Animals that can help us interpret earlier drawn and
ages commonly called “Lady of the Animals.”
sculpted images. In the “Hymn to Earth” she is “well-
A very early sculpture of a Lady of the Animals was
founded Earth, mother of all, eldest of all beings. She feeds
found in Çatalhüyük, a Neolithic site in central Anatolia
all creatures that are in the world, all that go upon the goodly
(central Turkey), dating from 6500 to 5650
land, and all that are in the paths of the seas, and all that fly.”
BCE. Made of
baked clay, she sits on a birth chair or throne. She is full-
In the “Hymn to the Mother of the Gods” she is “well-
breasted and big of belly, and she seems to be giving birth,
pleased with the sound of rattles and timbrels, with the voice
for a head (not clearly human) emerges from between her
of flutes and the outcry of wolves and bright-eyed lions, with
legs. Her hands rest on the heads of two large cats, probably
echoing hills and wooded coombes.”
leopards, that stand at her sides. From Sumer (c. 2000 BCE),
In these songs the Lady of the Animals is cosmic power,
a Lady of the Animals appears in a terra-cotta relief, naked
mother of all. The animals of the earth, sea, and air are hers,
and winged, with two owls at her sides and her webbed feet
and the wildest and most fearsome animals—wolves and
resting on the backs of two monkeys. From Minoan Crete
lions, as well as human beings—praise her with sounds. The
comes a small statue unearthed in the treasury of the new pal-
Lady of the Animals is also earth, the firm foundation under-
ace of Knossos (c. 1700–1450 BCE); staring as if in trance,
girding all life. The hills and valleys echo to her. In these im-
she holds in her outstretched arms two striped snakes; her
ages she would not be called a “lady of the plants,” which
breasts are exposed, and a small snake emerges from her
suggests that the conceptions reflected in these hymns may
bodice.
have originated in preagricultural times. Jane Harrison
In Ephesus, an enormous image of a Lady of the Ani-
(1903) has suggested that the “lady of the wild things” be-
mals dominated the great temple of Artemis or Diana (re-
comes “lady of the plants” only after human beings become
built 334 BCE and known as one of the seven wonders of the
agriculturalists.
ancient world). Her many egg-shaped breasts symbolized her
THE PALEOLITHIC AGE. Marija Gimbutas, Gertrude R.
nurturing power, while the signs of the zodiac forming her
Levy, and E. O. James are among those who concur with
necklace expressed her cosmic power. Her arms were extend-
Harrison in tracing the Goddess symbolism of the Neolithic
ed in a gesture of blessing, and her lower body, shaped like
and later periods to the Upper Paleolithic, or Old Stone Age
the trunk of the tree of life, was covered with the heads of
(c. 30,000–10,000 BCE). Therefore, we must ask whether the
wild, domestic, and mythical animals. At her feet were bee-
image of the Lady of the Animals also goes back to the Paleo-
hives; at her sides, two deer. The city crowned her head.
lithic era.
In Asia Minor the Lady of the Animals is known as Ku-
Many small figures of so-called pregnant Venuses have
baba or Cybele and is flanked by lions. In Egypt she is Isis
been dated to the Upper Paleolithic. Abundantly fleshed
the falcon or Isis with falcon wings and a uraeus (snake)
with prominent breasts, bellies, and pubic triangles, they
emerging from her forehead; she is also Hathor the cow god-
were often painted with red ocher, which seems to have sym-
dess or Hathor with the cow horns. In Canaan she is Ashto-
bolized the blood of birth, the blood of life. These images
ret or Astarte holding snakes and flowers in her hands. In
have been variously interpreted.
India she is Ta¯ra¯ or Parvati astride a lion or Durga¯ riding a
lion into battle and slaying demons with the weapons in her
These images may be understood in relation to the cave
ten arms. In Japan she is Amaterasu, the sun goddess, with
art of the Paleolithic era. Paleolithic peoples decorated the
her roosters that crow at dawn and her messengers the crows.
labyrinthine paths and inner recesses of caves with abstract
In China she is Kwan Yin standing on a dragon that symbol-
line patterns and with drawings and paintings of animals,
izes good fortune. To the Inuit (Eskimo) she is Sedna, god-
such as bison and deer. Small human figures, both male 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
LADY OF THE ANIMALS
5281
female, were sometimes painted in the vicinity of the much
nature, Old Europeans honored humanity’s participation in,
larger animals. The drawings and paintings of these animals,
and connection to, nature’s cycles of birth, death, and renew-
and the rituals practiced in the inner reaches of the caves,
al. A combination of human and animal forms expressed her
have often been understood as hunting magic, done to en-
power more fully than the human figure alone. Many ani-
sure the capture of prey. But Gertrude R. Levy argues that
mals, such as the caterpillar-chrysalis-butterfly, the bird that
the purposes of these rituals cannot have been simple “magic
flies in the air and walks on the earth, and the snake that
compulsion” but must have involved a desire for a “participa-
crawls above and below the earth, have powers that humans
tion in the splendor of the beasts” (Levy, 1963, p. 20). If,
lack.
as was surely the case later, Paleolithic peoples also under-
stood the caves and their inner recesses to be the womb of
In Old Europe, the creator goddess who appeared with
Mother Earth, then is it not possible to recognize the ani-
animal characteristics was the primary image of the divine.
conic image of the Lady of the Animals in the womb-cave
According to Gimbutas, the “male element, man and animal,
onto which the animals were painted? And can we not also
represented spontaneous and life-stimulating—but not life-
see the Lady of the Animals in the well-known Paleolithic
generating—powers” (Gimbutas, 1982, p. 9). Gimbutas
carving found in Laussel of an unclothed full-bodied woman
stated that women were symbolically preeminent in the cul-
holding a bison horn? Must we not, then, interpret prehistor-
ture and religion of Old Europe. Although women were hon-
ic rituals in the labyrinthine recesses of caves as a desire to
ored, the culture itself was not “matriarchal,” as women did
participate in the transformative power of the creatress, the
not dominate men but shared power with them. It is general-
mother of all, the Lady of the Animals?
ly thought that women invented agriculture, which led to the
Neolithic “revolution.” As the gatherers of plant foods in Pa-
OLD EUROPE. Anthropomorphic images of the Lady of the
leolithic societies, women would have been the ones most
Animals appear in abundance in the Neolithic, or early agri-
likely to notice the connection between the dropping of a
cultural period, which began about 9000 BCE in the Near
seed and the springing up of a new plant. Women are also
East. Marija Gimbutas coined the term Old Europe to refer
the likely inventors of pottery and weaving in the Neolithic
to distinctive Neolithic and Chalcolithic (or Copper Age)
era, for pottery was used primarily for women’s work of food
civilizations of Central and Southern Europe that included
preparation and food storage, and weaving clothing and
the lands surrounding the Aegean and Adriatic Seas and their
other items for use in the home is women’s work in almost
islands and extended as far north as Czechoslovakia, south-
all traditional cultures. Each of these inventions of the Neo-
ern Poland, and the western Ukraine. There is reason to be-
lithic era is a mystery of transformation—seed into plant into
lieve that Neolithic-Chalcolithic cultures developed along
harvest, earth and fire into pot, wool and flax into clothing
similar lines in other parts of the world, including, for exam-
and blankets. If these mysteries were understood to have
ple, Africa, China, the Indus Valley, and the Americas.
been given to women by the goddess and handed down from
mother to daughter, this would have provided a material and
In Old Europe (c. 6500–3500 BCE), Gimbutas found
economic basis for the preeminence of the female forms in
a pre–Bronze Age culture that was “matrifocal and probably
religious symbolism.
matrilinear, agricultural and sedentary, egalitarian and peace-
ful” (Gimbutas, 1982, p. 9). This culture was presided over
ÇATALHÜYÜK. The culture of Çatalhüyük, excavated by
by a goddess conceived as the source and giver of all. Al-
James Mellaart, seems similar to that found by Gimbutas in
though originally this goddess did not appear with animals,
Old Europe. Like Gimbutas, Mellaart found a culture where
she herself had animal characteristics. One of her earliest
women and goddesses were prominent, a culture that he be-
forms was as the snake and bird goddess, who was associated
lieved to have been matrilineal and matrilocal and peaceful
with water and represented as a snake, water bird, duck,
and in which the goddess was the most powerful religious
goose, crane, diving bird, or owl or as a woman with a bird
image. In Çatalhüyük the Lady of the Animals was preemi-
head or birdlike posture. She was the creator goddess, the
nent. Wall paintings in the shrines frequently depict a god-
giver of life.
dess, with outstretched arms and legs, giving birth, some-
times to bulls’ or rams’ heads. Other shrines depict rows of
The goddess of Old Europe was also connected with the
bull heads with rows of breasts; in one shrine, rows of breasts
agricultural cycles of life, death, and regeneration. Here she
incorporate the lower jaws of boars or the skulls of foxes,
appeared as, or was associated with, bees, butterflies, deer,
weasels, or vultures. Besides the small figure, mentioned ear-
bears, hares, toads, turtles, hedgehogs, and dogs. The domes-
lier, of the seated goddess, hands on her leopard companions,
ticated dog, bull, male goat, and pig became her compan-
giving birth, Mellaart also found a sculpture of a woman in
ions. To the Old Europeans she was not a power transcen-
leopard-skin robes standing in front of a leopard. One shrine
dent of the earth but rather the power that creates, sustains,
simply depicts two leopards standing face-to-face.
and manifests itself in the variety of life-forms within the
earth and its cycles. Nor did the goddess represent “fertility”
Wall paintings of bulls were also frequent at the site.
in a narrow sense of human, animal, and plant reproduction;
Mellaart believes that the religion of Çatalhüyük was cen-
rather she was the giver of life, beauty, and creativity. Instead
tered on life, death, and rebirth. The bones of women, chil-
of celebrating humanity’s uniqueness and separation from
dren, and some men were found buried under platforms 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
5282
LADY OF THE ANIMALS
the living quarters and in the shrines, apparently after having
the power manifesting itself in the cycles of nature. Thus,
been picked clean by vultures. According to Mellaart, vul-
Cretan pottery and frescoes abound in rhythmical forms; im-
tures were also associated with the goddess, thus indicating
ages of waves, spirals, frolicking dolphins, undulating snakes,
that she was both giver and taker of life.
and graceful bull leapers are everywhere. The Minoans cap-
tured life in motion. Exuberant movement must have repre-
As Mellaart states in Earliest Civilizations of the Near
sented to them the dance of life, the dance of the Mother
East (1965), the land-based matrifocal, sedentary, and peace-
of All the Living, the Lady of the Animals.
ful agricultural societies of the Near East were invaded by
culturally inferior northern peoples starting in the fifth and
GREECE. Eventually all the Neolithic and (isolated) Bronze
fourth millennia
Age cultures in which the creator goddess was supreme fell
BCE. These invaders and others who fol-
lowed set the stage for the rise of the patriarchal and warlike
to patriarchal and warlike invaders. By the time of decipher-
Sumerian state about 3500
able written records, we begin to see evidence that societies
BCE. According to Gimbutas, the
patriarchal, nomadic, and warlike proto-Indo-Europeans in-
are ruled by warrior kings; goddesses are no longer supreme
filtrated the matrifocal agricultural societies of Old Europe
and women are subordinated by law to their husbands. On
between 4500 and 2500
mainland Greece, Apollo took over the holy site of Delphi,
BCE. As a result, in both the Near
East and Old Europe, the creator goddess was deposed, slain,
sacred first to Mother Earth and her prophetess, after slaying
or made wife, daughter, or mother to the male divinities of
the python, the sacred snake that guarded the sanctuary. This
the warriors. The Lady of the Animals did not disappear (re-
act can be compared to Marduk’s slaying of the female sea
ligious symbols linger long after the end of the cultural situa-
snake (or dragon) Tiamat, to the association of the formerly
tion that gave rise to them), but her power was diminished.
sacred snake with sin and evil in Genesis 2–3, to St. George’s
slaying the dragon-snake, and to St. Patrick’s driving the
MINOAN CRETE. In the islands, which were more difficult
snakes out of Ireland.
to invade, the goddess-centered cultures survived and devel-
oped into Bronze Age civilizations. In Crete the Lady of the
According to the Olympian mythology found in
Animals remained supreme until the Minoan civilization fell
Homer, Hesiod, and the Greek tragedies, Zeus, the Indo-
to the Mycenaeans about 1450 BCE. In the old and new pal-
European sky God, is named father and ruler of all the gods
ace periods of Minoan Crete (c. 2000–1450 BCE), a highly
and goddesses. Hera, an indigenous goddess whose sanctuary
developed pre-Greek civilization based on agriculture, arti-
at Olympia was older than that of Zeus, becomes his never
sanship, and trade emerged. From existing archaeological ev-
fully subdued wife. Athena is born from the head of Zeus,
idence (Linear A, the written language of the Minoans, has
but her mountain temples (for example, the Parthenon) and
not been translated), it appears that women and priestesses
her companions, the owl and snake, indicate her connection
played the prominent roles in religious rituals. There is no
to the mother of the living, the Lady of the Animals. Aphro-
evidence that women were subordinate in society. Indeed,
dite retains her connection to the dove and the goose. Arte-
there is no clear evidence that the “palaces” were royal resi-
mis is the goddess of the untamed lands, mountain forests,
dences. The celebrated throne of “King Minos,” found by
and wild animals such as bears and deer. Although she is
excavator Arthur Evans, is now thought by several scholars
named a virgin goddess, she aids both human and animal
(including Nano Marinatos, Jacquetta Hawkes, Stylianous
mothers in giving birth. Of all the Olympian goddesses, Ar-
Alexiou, Helga Reusch, and Ruby Rohrlich) to have been oc-
temis retains the strongest connection to the Mother of All
cupied by a priestess or a queen, while others suggest that it
the Living, the Lady of the Animals.
dates from the time of Mycenean occupation of Knossos.
What happened to the goddesses in ancient Greece hap-
In Minoan Crete the goddess was worshiped at natural
pened elsewhere. They were slain, tamed, made defenders of
sites, such as caves or mountaintops, and in small shrines in
patriarchy and war, or relegated to places outside the city.
the palaces and homes. She had attributes of both a moun-
Yet the attempt to banish the image of the Mother of All the
tain mother and a Lady of the Animals. In Crete the Lady
Living, the Lady of the Animals, was never completely suc-
of the Animals is commonly found in the company of snakes,
cessful. Like an underground spring, she burst forth in im-
doves, and trees, particularly the olive tree, which may have
ages of Mary and the female saints throughout Christian his-
first been cultivated in Crete. In a seal ring found in the Dic-
tory. In the twentieth and twenty-first centuries she has
tean cave, the goddess appears with bird or snake head be-
reemerged in the work of feminist artists and in a widespread
tween two winged griffins, the same animals that flank the
Goddess movement.
throne of “Minos.”
SEE ALSO Animals; Goddess Worship, overview article; Lord
Other pervasive symbols in Crete include the stylized
of the Animals; Megalithic Religion; Prehistoric Religions.
horns of consecration, which evoke not only the cow or bull
but also the crescent moon, the upraised arms of Minoan
BIBLIOGRAPHY
goddesses and priestesses, and the double ax, which may
The reconstruction of Old European religion and culture by
originally derive from doubling the sacred female triangle,
Marija Gimbutas can be found in The Language of the God-
the place where life emerges. Heiresses and heirs to Neolithic
dess (San Francisco, 1989) and The Civilization of the Goddess
religion, the Minoans continued to understand the divine as
(San Francisco, 1991); a summary of her conclusions can be
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAESTADIUS, LARS LEVI
5283
found in “Women and Culture in Goddess-Oriented Old
and a Swedish father. After Laestadius’s alcoholic father lost
Europe,” in The Politics of Women’s Spirituality, edited by
his job, the family went to live with Lars’s half-brother, Carl
Charlene Spretnak (Garden City, N.Y., 1982), pp. 22–31.
Erik, a Lutheran pastor in Kvikkjokk. Carl Erik was an also
Gimbutas’s work has incited scholarly controversy, some of
amateur botanist and encouraged his younger brother’s in-
which may reflect a backlash against feminist uses of her
terest in the subject.
work; see From the Realm of the Ancestors, edited by Joan
Marler (Manchester, Conn., 1997); Ancient Goddesses, edited
When Lars was 16, he entered the Härnösand Gymnasi-
by Lucy Goodison and Christine Morris (Madison, Wis.,
um. Three years later his avid interest in botany led him to
1998); and Varia on the Indo-European Past (Journal of Indo-
take part in a botanical excursion to Helgoland, Norway;
European Studies Monograph 19), edited by Miriam Robbins
when his report of the journey was published, the Swedish
Dexter and Edgar C. Polome (Washington, D.C., 1997).
Academy of Science and Letters was so impressed that it
The works of James Mellaart, particularly Çatal Hüyük: A
promised to underwrite his future excursions. In 1820 La-
Neolithic Town in Anatolia (New York, 1967) and Earliest
estadius enrolled at the University of Uppsala, where he stud-
Civilizations of the Near East (London, 1965), are essential
for understanding Goddess symbolism in Neolithic civiliza-
ied botany and theology—excelling in both.
tion. For a brief overview of reconsiderations of Mellaart’s
He was ordained in1825, and became the vicar of Kares-
work, see Michael Balter, “The First Cities: Why Settle
uando a year later. During his years as a minister, Laestadius
Down? The Mystery of Communities,” Science, November
continued his botanical studies, joining the scientific society
20, 1998, pp. 1442–1443; visit the website of the new exca-
of Uppsala publishing articles on the flora of Samiland, and
vation, “Çatalhöyük” at http://catal.arch.cam.ac.uk/catal/
catal.html. Gertrude R. Levy’s Religious Conceptions of the
serving as botanist during the years 1838 to 1840 on a
Stone Age (New York, 1963), originally titled The Gate of
French botanical expedition to the region.
Horn (London, 1948), remains a valuable resource on prehis-
In 1844, after nineteen years in the ministry, Laestadius
toric religion, especially on the question of cave symbolism.
underwent a significant “conversion” from inside the Luther-
Jane E. Harrison’s Prolegomena to the Study of Greek Religion
an Church from its “highly churchly” mainstream to the pi-
(1903; reprint, Atlantic Highlands, N.J., 1981) has never
been superseded as a comprehensive reference on Greek reli-
etist movement of the “Readers.” He became a revivalist
gion with particular emphasis on the prepatriarchal origins
minister, campaigning for temperance, organizing of educa-
of goddesses. Jacquetta Hawkes presents a dramatic contrast
tion for the Sami people, and serving as a newspaper editor.
between patriarchal and prepatriarchal Bronze Age societies
His dynamic evangelism won him many followers, and even-
in Dawn of the Gods (New York, 1968). Nano Marinatos
tually prompted a following that spread throughout the re-
presents an original scholarly reconstruction in Minoan Reli-
gion. This religious movement, now known as Laestadian-
gion (Columbia, S.C., 1993). For a general overview of God-
ism, began among the Sami Readers in Karesuando and
dess symbolism in many cultures, E. O. James’s The Cult of
spread to the Finns at Pajala in the Tornio river valley. Sami
the Mother Goddess (New York, 1959) remains extremely use-
and Finnish immigrants brought Laestadianism to America,
ful. Erich Neumann’s The Great Mother, 2d ed., translated
particularly northern states like Michigan, Minnesota, and
by Ralph Manheim (New York, 1963), contains a wealth of
Oregon. Laestadius’s role as founder of the biggest religious
information mired in androcentric Jungian theory. Buffie
Johnson’s Lady of the Beasts (San Francisco, 1998) is also
movement in northern Scandinavia eventually overshad-
written from a Jungian and therefore ahistorical perspective.
owed his scholarly career, which expanded into several disci-
Anthropological research on Goddess symbolism and ritual
plines:
in numerous cultures, most of them contemporary, can be
1. As an ecologist and botanist he was the successor to
found in Mother Worship, edited by James J. Preston (Chapel
Carolus Linnaeus; he took part in Prof. Wahlenberg’s botan-
Hill, N.C., 1982). The Book of the Goddess: Past and Present,
edited by Carl Olson (New York, 1983), presents research,
ical expeditions from Ska˚ne to Lapland. His unique herbari-
some of it feminist, on historical and contemporary Goddess
um, containing 6,700 plants, was sold to the French Acade-
religions. Women and Goddess Traditions in Antiquity and
my after his death.
Today, edited by Karen King (Minneapolis, 1997), addresses
2. As a theologian and religious philosopher Laestadius
the role of women in Goddess religions. The emergence of
used his considerable knowledge of Enlightenment psychol-
Goddess symbolism in contemporary women’s art and spiri-
tuality is discussed in Elionor Gadon, Once and Future God-
ogy, philosophy, and theology to preach forceful and dynam-
dess (San Francisco, 1989).
ic sermons against alcohol and other social eveils. He pub-
lished many of these, including his pastoral thesis Crapula
CAROL P. CHRIST (1987 AND 2005)
mundi (Hangover of the world, Hernoesandie, 1843), the
three-volume book Da˚rhushjonet (The madhouse inmate,
written before 1851), as well as sermons in Finnish, Swedish,
LAESTADIUS, LARS LEVI
and Sami. Many of these writings expressed his protest
(1800–1861), Sami
against the spiritually dead doctrinalism taught by traditional
minister, writer, ecologist, mythologist, and ethnographer
church leaders.
who became the founder of Laestadian Lutheran revivalist
movement. Laestadius was born January 10, 1800, in the
3. Laestadius was a philologist of some stature; in addi-
Swedish Lappland village town of Jäkkvik to a Sami mother
tion to his mother’s Southern Sami tongue, he spoke Pite
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5284
LA¯HOR¯I, MUH:AMMAD EAL¯I
Sami and Finnish. He learned the latter two to be able to
BIBLIOGRAPHY
preach in those languages. He transcribed Pite and Lulea˚
Franzén, Olle. Naturalhistorikern Lars Levi Laestadius. Tornedali-
Sami using his own “Lodge Lappish” Sami-based ortho-
ca 15. Lulea˚, 1973.
graphy.
Jonsel, Bengt, et al., eds. Lars Levi Læstadius: botaniker-lingvist-
4. Laestadius was an ethnographer, mythographer, and
etnograf-teolog. Oslo, 2000.
a mythologist of the Sami people. He collected information
Laestadius, Lars Levi. Da˚rhushjonet. In Suomen Kirkkohistorial-
about the ancient Sami, and compiled folk beliefs and leg-
lisen Seuran toimituksia L:1, 2, 3. Vasa (1949), A˚bo (1964).
ends into a system he called a mythology; and as mythogra-
Laestadius, Lars Levi. Fragmenter i lappska mythologien. In Svenska
pher used this mythology to write a history for the Sami. His
landsma˚l och svenskt folkliv, B 61. Uppsala, 1959.
achievement as mythologist and ethnographer, Fragmenter i
Laestadius, Lars Levi. Hulluinhuonelainen. Helsinki, 1968.
lappska mythologien (Fragments in Lapp mythology), was fi-
nally translated into English in 2002. This manuscript, writ-
Laestadius, Lars Levi. Katkelmia lappalaisten mythologiasta. Tal-
linn, 1994.
ten between1840 and 1845, was not even published fully in
Swedish until 1997.
Laestadius, Lars Levi. Fragments in Lappish Mythology. Edited by
Juha Pentikäinen, translated by Börje Vähämäki. Beaverton,
Laestadius did field work in the heart of Sami territory
2002.
as rector of Karesuando and inspector of Sami parishes in
Larsson, Berngt. Lars Levi Laestadius—Hans liv och verk & den la-
Sweden. In these capacities, he visited every lodge in Swedish
estadianska väckelsen. Skelleftea˚, 1999.
Lapland, as he stated in the Fragmenter preface. Both this
work and Crapula mundi were written during his religious
Norderval, O⁄ivind og Nesset, Sigmund, ed. Vekkelse og vitenskap.
conversion.
Lars Levi Læstadius 200 a˚r. Tromso⁄, 2000.
Pentikäinen, Juha. “Lars Levi Laestadius Revisited: A Lesser-
As a religious man he lived wholeheartedly inside the
Known Side of the Story.” In Exploring Ostrobothnia, edited
“interior household of the Sami,” as he called their world
by Börje Vähämäki (Special Issue of Journal of Finnish
view—or more properly their religion. His 1845 letter to an-
Studies Vol. 2). Toronto, 1998.
other Lapp mythologist, Jacob Fellman (1795–1875), rector
of Utsjoki, offers evidence of the change already begun with-
JUHA PENTIKÄINEN (2005)
in him: “I can no longer undertake any further actions with
regard to this worthy manuscript, because my attention has
become directed elsewhere and been overwhelmed by mat-
LA¯HOR¯I, MUH:AMMAD EAL¯I (1874–1951),
ters belonging to the sphere of religion, which seem to me
scholar of Islam and founder of the La¯hor¯ı branch of the
to be considerably more important than mythology.”
Ah:mad¯ıyyah movement. Born in Murar (Kapurthala),
Laestadius’s writings in Latin, Swedish, Finnish and
India, La¯hor¯ı completed advanced degrees in English (1896)
Sami are extensive. His Sami-language works, Ha˚laitattem
and law (1899) in Lahore. His life and works are closely in-
Ristagase ja Satte almatja kaskan (1839), a talk between a
tertwined with the Ah:mad¯ıyyah (also known as Qa¯diya¯n¯ı)
Christian and an ordinary man, and Ta˚luts Suptsahah, Jub-
movement, a minor sect of Islam founded in 1889 by
mela pirra ja Almatji pirra (1844), an ancient tale about God
Ghula¯m Ah:mad (c. 1839–1908), at whose suggestion
and man, make him one of the first Sami writers. Fragmenter
La¯hor¯ı undertook his two major works, a translation of the
i lappska mythologien was originally produced for J. P. Gai-
QurDa¯n and The Religion of Islam. In 1902, La¯hor¯ı was ap-
mard, leader of Laestadius’s 1838 royal French arctic expedi-
pointed co-editor of the Ah:mad¯ıyyah periodical, Review of
tion to Scandinavia, the Faroes, Iceland, and Spitzbergen.
Religions, through which he propagated the movement’s
Both Gaimard and historian Xavier Marmier recognized La-
news and views to the non-Muslim world. This appointment
estadius’ knowledge of Lappish history and lore. Mythology
marked the beginning of La¯hor¯ı’s prolific career. He translat-
and history are intermingled in Fragmenter; the borderline
ed Ghula¯m Ah:mad’s writings into English, defended his
between the two was extremely vague.
views in the face of the Sunn¯ı majority’s growing opposition,
Part I of Fragmenter, “Gudalära” (Doctrine on divinity),
and wrote on various aspects of Islam.
was written in 1840; the next three chapters, including one
In 1914, with the death of Ghula¯m Ah:mad’s successor,
called “Comments to Fellman” were completed five years
Nu¯r al-D¯ın—a prominent scholar of QurDa¯n considered the
later. The other parts are offer-lära (sacrifice), spa˚domslära
mastermind of the Ah:mad¯ıyyah movement by its oppo-
(prophesy), Lapp na˚jdtro (shamanism), and valda stycken af
nents—the community split over doctrinal issues such as
Lapparnes Sagohäfde (selection of Lappish folk tales).
Ghula¯m Ah:mad’s claim of prophethood. La¯hor¯ı headed the
Laestadius’s Fragmenter details his vast knowledge of the
splinter group, the Ah:mad¯ıyyah Anjuman-i IshaEat-Islam,
Sami people, languages, and religion. His careful criticism
Lahore, known as the La¯hor¯ı group, which regarded Ghula¯m
and field observations make him one of the founders of the
Ah:mad a reformer (mujaddid), not the prophet. This group
Northern Ethnography school.
was more liberal and closer to the mainstream of Sunn¯ı
Islam, but also more aggressive in its outreach and more
SEE ALSO Finno-Ugric Religions; Sami Religion.
vocal in explaining its doctrinal differences with the parent
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAIMA
5285
group. Muh:ammad EAl¯ı was the main force behind the liter-
and its Medieval Background (Berkeley and Los Angeles,
ary and missionary activities of this group (directed to the
1989), pp. 147–162.
converts to Islam not to the group itself), including the open-
For the issue of prophethood and renewal (nubuwwat va tajd¯ıd),
ing of new centers in Western Europe and North America.
see Muh:ammad Ali La¯hor¯ı, The Call for Islam (Lahore,
1926, 2d ed.), pp. 7–34. For a scholarly discussion, see
La¯hor¯ı wrote profusely in Urdu and English. Equipped
Friedmann, Prophecy Continuous, pp. 105–146.
with Western research methodology and linguistic tools, he
explained and defended various precepts of Islam to counter-
For an insider appraisal of the movement, see Muh:ammad Ali
La¯hor¯ı, True Conception of Ahmadiyyat (Lahore, n.d.), trans-
balance criticism of Christian missionaries and to help devel-
lated by S. M.T:ufail from Tah:rik-i Ah:madiyyat (in Urdu).
op a sense of pride among Western-educated Muslims in
Muh:ammad EAl¯ı La¯hor¯ı, Mirza Ghula¯m Ah:mad of Qadian:
their heritage. He was the first Muslim to publish an English
His Life and Mission (Lahore, 1951). For a judicious histori-
translation, with explanatory notes, of the entire text of the
cal survey of the movement and references to the primary
QurDa¯n (1917), followed by Muh:ammad the Prophet (1924),
and secondary sources, see Yohanan Friedmann, cited above,
and a sequel, Early Caliphate (1932). He also addressed issues
pp. 1–46. For critical views on the movement, see
of the time. Responding to the crisis of the Ottoman caliph-
Muh:ammad Iqbal, Islam and Ahmadism (Meerut, n.d.).
ate, for example, he wrote a short monograph entitled The
AbuDl-Hasan EAl¯ı Nadw¯ı, Qa¯diya¯n¯ıyat, in Urdu, translated
Khilafa¯t in Islam (1920). His major work, The Religion of
by Zafar Ishaq Ansari as Qadianism: A Critical Study (Luck-
Islam (784+ pages), was written in response to a book of the
now, 1967), and Ehsan Elahi Zaheer, Qadiyaniat, An Analyt-
ical Survey (Lahore, 1972).
same title published in 1906 by F. A. Klein. The abridged
and third edition of this work was published with two addi-
SAJIDA S. ALVI (1987 AND 2005)
tional chapters, “Muslim State” and “Ethics of Islam”
(1971).
The tenor of La¯hor¯ı’s writings reflects the mood of the
LAIMA is one of the few goddesses of the Baltic peoples
times—polemical, apologetic, and missionary—Islam and
who can be said to personify a number of elemental concepts.
the Present War (n.d.); Muh:ammad and Christ (1921); The
She incorporates a wide variety of both individual and soci-
New World Order (1944); Islam the Religion of Humanity;
etal functions, of which two are particularly noteworthy: ar-
The Living Thoughts of the Prophet Muh:ammad (1947), to
chitect of destiny and agent of fertility. In connection with
name only a few. La¯hor¯ı clearly ranks with the intellectuals
the former, the etymological link should be noted between
of the period, such as Sayyid Ah:mad Kha¯n (d. 1898), Syed
the name Laima and the common noun laime, which in its
Ameer EAl¯ı (d. 1928), Alt:a¯f H:usayn H:a¯l¯ı (d. 1914), Chira¯gh
general sense means “happiness.” Notwithstanding the ap-
EAl¯ı (d. 1895), and Shibl¯ı NuEma¯n¯ı (d. 1914). Among his
parent restrictions of this definition, Laima embraces a wide
followers he is considered the most prominent scholar of the
range of functions. As goddess of destiny, Laima holds su-
century and, according to Mumta¯z Ah:mad Faru¯q¯ı, the “sav-
preme power to determine an individual’s life. Her decisions
ior of the Ah:mad¯ıyyah movement.” Through the efforts of
in this context are not rationally motivated; they are radical
various centers established in Western Europe, North Ameri-
and unchangeable.
ca and Indonesia, La¯hor¯ı’s works have received wide recogni-
In Baltic religion, Laima’s role became prominent at
tion. It is claimed that a copy of his translation of the QurDa¯n,
life’s critical moments. The first and most significant of these
presented to Elijah Muhammad, had far-reaching effects on
was birth. Here Laima acted as determiner of the individual
the Black Muslim movement in North America. In the Indo-
life of both mother and child. Her concern for the woman
Pakistan subcontinent, however, the controversial character
in childbirth began before the onset of labor. Traditionally,
of the movement and ensuing polemic debates, and his split
the place appointed for childbirth was the sauna, and in
from the parent movement have adversely affected the popu-
preparation for the event the woman was ritually cleansed,
larity of his works among the non- Ah:mad¯ıyyah Muslims as
as was the route to the sauna, so that Laima could make her
well as his among fellow Ah:mad¯ıyyahs belonging to the par-
way unimpeded to aid the woman. As childbirth was fre-
ent Qa¯diya¯n¯ı group.
quently a life-threatening event, the woman would offer
prayers to Laima before giving birth, asking her assistance in
BIBLIOGRAPHY
ensuring that both mother and infant would survive the
For Muh:ammad EAl¯ı La¯hor¯ı’s life and works, see Mumta¯z Ah:mad
birth. The prayer was accompanied by offerings to Laima
Faru¯q¯ı and Muh:ammad Ah:mad, Muja¯hid-i Kab¯ır (Lahore,
(generally in the form of dyed threads and woven braids of
1962) in Urdu, translated in an abridged version as Muham-
wool or flax). On a religious level, the most significant mo-
mad Ali: The Great Missionary of Islam (Lahore, 1966).
ment occurred after successful childbirth: it took the form
Muh:ammad EAl¯ı La¯hor¯ı, The Ahmadiyyah Movement, trans-
lated by Muh:ammad T:ufail with a biographical section and
of a thanksgiving meal, held in the sauna and consisting of
bibliography (Lahore, 1973).
flat cakes, honey, and ale. Only married women were allowed
to participate, with the place of honor reserved for Laima.
For the split of the movement, see Muh:ammad Ali La¯hor¯ı, True
Facts about the Split (Lahore, 1966). Yohanan Friedmann,
A similarly fateful moment was marriage, and Laima
Prophecy Continuous: Aspects of Ah:mad¯ı Religious Thought
traditionally was held responsible for a happy as well as an
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5286
LAITY
unhappy married life. It is understandable, therefore, that an
of wealthy farmers on festive occasions. On her head is a
unmarried girl turned directly to the goddess with prayers
splendid garland and on her shoulders a colorful shawl held
that she be provided with a good and suitable husband so
together with one or more silver brooches. Only on rare oc-
that her life might be happy. As determiner of the future,
casions does she disguise herself as a poor old woman.
Laima alone was responsible if the girl was later unhappy be-
The interpretation of the essential qualities of Laima is
cause her husband was a drunkard or because he had died
nevertheless complicated by certain unresolved questions,
an untimely death, leaving her a young widow with sole re-
one of which concerns the source of her frequent description
sponsibility for young children. In such cases, the conflict be-
as Laimas ma¯te (“mother fortune”). On the one hand, it
tween the unfortunate woman and Laima could grow into
could be argued that the idea of “mother,” one of the funda-
an open feud. Folklore material shows that in these circum-
mental notions of religion, is clearly linked with Laima. Yet
stances a woman might demand that Laima carry a heavy
on the other hand, it is also true that for centuries the Baltic
load of stones as punishment or even threaten to “drown”
peoples were subject to the influence of Christianity, particu-
the goddess.
larly the Marian cult. Hence it could be held that Laima’s
Laima also determined a person’s death. Two forms of
description as “mother” is a later development based on this
dialogue took place around the time of death. The first in-
influence.
volved the dying person, who attempted to persuade Laima
Another problem concerns Laima’s creative role. In the
that it was not yet time to die because important work still
sources she is occasionally described as laid¯eja (“main-
had to be accomplished, of which the care of children was
spring”), from the verb laist (“to let,” in the dynamic sense
the most compelling. This form of appeal was generally un-
of “to cause to happen”; its synonym is rad¯ıt, “to create”).
successful. In the other type of dialogue, the dying person
The epithet laideja and the name Laima are etymologically
was represented by Dievs, the Baltic god of the heavens. An
derived from the same root (lei), and this common derivation
argument took place between Dievs and Laima over the issue
suggests that the act of creation is one of Laima’s basic func-
of the person’s death and whether it should occur at that par-
tions. Precise statements to this effect are sparse, however.
ticular moment. Clearly, Laima was one of the most rigid
and extreme of the goddesses of destiny, and the extent of
BIBLIOGRAPHY
her radicalism was demonstrated by her inability to alter her
Biezais, Haralds. Die Hauptgöttinnen der alten Letten. Uppsala,
own decisions. If the individual’s future was determined at
1955. An exhaustive critical monograph, including a bibliog-
any one moment, it then remained unaltered, whatever the
raphy.
circumstances. If a man was destined to suffer all his life,
Velius, Norbertas. Mitines lietuviu˛ sakmiu˛ butybes. Vilnius, 1977.
then Laima could do no more than weep with him. A possi-
Analyzes the texts of Lithuanian legends and discusses rele-
ble explanation for the evolution of this fatalist conception
vant problems. An English summary is included on pages
in Baltic religion is what many have seen as the centuries-
294–302.
long enslavement of these peoples by the German colonialist
New Sources
Christian church.
Kokare, Elza. Latvieˇsu galvenie mitolog‘iskie t¯eli folkloras atveid¯e.
In addition to her role as determiner of the future,
Riga, 1999. Major Latvian mythological figures as depicted
Laima’s obligations included the encouragement of fecundi-
in folklore.
ty and of well-being in general. This is comprehensible in
Kurs¯ıte, Jan¯ına. Latvieˇsu folklora m¯ıtu spogul¯ı. R¯ıga, 1996. Latvi-
light of the structure of Baltic religion, which is that of an
an folklore as reflected by myth.
agrarian community. The basis of existence and well-being
Kurs¯ıte, Jan¯ına. M¯ıtiskais folklora¯, literatu¯ra¯, ma¯ksla¯y (The mythi-
was determined by the fertility of the fields and animals. As
cal in folklore, literature, art). Riga, 1999.
Laima’s name indicates, her primary raison d’être was happi-
Latvieˇsu tautas dz¯ıveszin¸a 2, ed. by Anta Rudz¯ıte. Riga, 1990.
ness. Consequently she alone could make the farmer happy,
Mitolog‘ijas enciklop¯edija II. Riga, 1994. Encyclopedia of myth-
and by dint of this she takes her place alongside the other
ology.
fertility gods of Baltic religion. In this context she is further
differentiated. Depending on which animals she was consid-
HARALDS BIEZAIS (1987)
Revised Bibliography
ered to aid, Laima was given an attributive qualification: thus
she became Laima of Zirgu (“horses”), Laima of Govu
(“cows”), Laima of Aitu (“sheep”). In the oldest agricultural
tradition, the horse was held to be of particular worth; hence
LAITY is a term that has emerged in the Western religious
Laima was linked most closely with horse rearing. Yet she
and theological traditions to refer to those members of a reli-
also aided crop cultivation by participating in hoeing and by
gious community who, as a group, do not have the responsi-
circling the farmer’s fields to protect them from evil spirits.
bilities of fulfilling the priestly functions appropriate to the
The iconography of Laima is very clearly delineated in
offices of the clergy or ordained ministers.
the sources. She is represented as a beautiful young blonde
ETYMOLOGY AND ORIGINS OF CONCEPT. The adjective lay
woman dressed in clothes such as those worn by the wives
is derived from the Greek word laikos (Lat., laicus) meaning
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAITY
5287
“of or from the people.” In early Christianity the term came
clergy and the laity is held to be divinely established. The
to connote “the chosen people of God,” a meaning derived
priesthood, set apart by the sacrament of “holy orders” or or-
from the Greek laos (“people of unknown origin”). In the
dination, is commissioned to fulfill the threefold function of
New Testament a distinction is made between the Jewish
the priestly office: teaching, directing and administering, and
“people” (laos) and their priests and officials (as in, for exam-
sanctifying. Thus, the priest as a member of the episcopate
ple, Acts 5:26, Matthew 26:23, Hebrews 7:5, 7:27).
fulfills the divinely established mission of the church as
teaching authority and sacramental agent, making available
Before the end of the first century CE the term laos took
to the laity the means of God’s grace through the sacraments.
on a more ecclesiastical connotation. The term laikos is used
The laity, in turn, receive the teaching and the grace of God
by Clement of Alexandria (c. 200 CE) to distinguish a layman
by participation in the worship and liturgy of the church and
from a deacon and a presbyter. In the Apostolic Canons, laity
share the responsibility of fulfilling the church’s mission in
(laikoi) are distinguished from clergy. The early Christian
the world, the sphere of their activity. Through their partici-
distinction between laity and clergy was informed by a politi-
pation in the affairs of the world, the truth and values of the
cal differentiation of Greek origin, that is, that between the
church are to permeate society.
kl¯eros (from which clergy is derived) and “the people” (laos),
the two groups that comprised the administration of the
The distinction between laity and clergy in the Roman
polis. As the Christian community continued to develop ec-
Catholic tradition is correlative with a distinction between
clesiastically, the kl¯eros, the leaders or those with an “office,”
church and world. The church is conceived as a societas per-
became the ones through whom the means of grace were ex-
fecta but inequalis, with the status clericalis and the laicalis,
tended to the believers, “the people” (laos). By the time of
each group having its respective rights and responsibilities.
the Council of Nicaea (325) the organization and structure
The clergy, with the right and responsibility of administering
of the church was understood basically in terms of the clerical
the sacraments, is ordained to a sacred vocation. The laity,
order, with authority vested in the bishops and the councils
who are to receive the sacraments and teaching and to obey
as distinguished from the laity.
the teaching, are to pursue their work in the world, the pro-
fane realm. Ecclesiastically, the church, the realm of the sa-
While the notion of laity, derived as it is from Western
cred, is given priority over the profane. Implied in this dis-
sources, is not relevant to the study of all religious communi-
tinction is a valorization of the office of the clergy. The
ties, it is a helpful heuristic category for the study of those
monastics, who renounce ordinary participation in the world
traditions in which a fundamental distinction is drawn be-
(i.e., the profane) by taking the vows of celibacy, poverty,
tween two styles of the religious life, two modes of pursuing
and obedience, are committed to the pursuit of spiritual per-
spiritual fulfillment. One mode, for the majority of persons
fection and fulfillment.
within a given tradition, involves the religious quest in con-
In the Eastern Orthodox church a similar distinction is
junction with full participation in the ordinary life of society.
made between clergy and laity, with ecclesiastical authority
In this mode one will assume the responsibilities of some role
and the responsibility for administering the sacraments resid-
as a member of a functioning society while at the same time
ing in the clergy. The designated roles of clergy and laity are
pursuing the goals of the religious life. A second mode is
manifest during the weekly ritual drama of the Divine Litur-
characterized by a different way of life, involving total ab-
gy, in which the most sacred area of the sanctuary behind
sorption in the religious quest, generally in association with
the iconostasis is entered by the priest as mediator between
a renunciation or turning away from full participation in the
God and the people but is not accessible to laypersons. In
ordinary life of society. The following discussion will explore
at least two regards, however, the demarcation between laity
such a distinction in these two basic styles of the religious
and clergy was qualified. First, the formulation of the inter-
life as they are manifest in selected religious traditions: Chris-
pretation and explanation of the truth affirmed to have been
tianity (Roman Catholic, Eastern Orthodox, Protestant),
revealed by Jesus Christ and contained in the Bible is accom-
Therava¯da Buddhism, and Jainism. I shall then proceed to
plished through the ecumenical councils. This truth com-
suggest the possibilities and limits of the category “laity” with
prises the “holy tradition,” as distinguished from the church
respect to some other traditions: Hinduism, the religions of
tradition that developed through the centuries of church life.
Japan, and Islam.
The authority of the councils rests on the understanding that
CHRISTIANITY. The Roman Catholic tradition makes a clear
they represent the consensus of the faithful and the con-
differentiation between “laity” and “religious.” The religious
science of the entire church, viewed as a sacramental unity
are those who take orders, and they comprise two groups,
of love inclusive of the laity as well as the clergy. Second, al-
priests and monastics. The ecclesiastical use of the term
though since the seventh century CE only the celibate clergy
order, which had been a designation prevalent in Roman civil
and monks have been eligible for the episcopate, ordination
life, included reference in the time of Tertullian (c. 155–220
through the holy orders of the priesthood may be conferred
CE) to both clergy and laity. By the sixth century CE, howev-
on married men, thus qualifying the distinction between
er, order was used to specify appointment by a bishop to a
clergy and laity.
given office, with both authorization and responsibility to
A significantly different approach to the status and role
carry out the duties thereof. The distinction between the
of laity was evident in the Protestant Reformation that began
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5288
LAITY
in the sixteenth century. Martin Luther (1483–1546), in his
bhikkhus and laity. The laity, by assuming responsibility for
To the Christian Nobility, rejected the hierarchical structure
maintaining a stable civil and political order as well as by fill-
of the Roman Catholic church as well as the distinction be-
ing the basic needs of the monastics, provide the bhikkus
tween clergy and laity. The principle of the universal priest-
with the opportunity to seek spiritual perfection (liberation,
hood of all believers, viewed as an essential teaching of the
mokkha, nibba¯ba) by being free from the struggle to provide
word of God, provided a basis for insistence on the preemi-
the necessities of samsaric existence. The laity, by their merit
nence of the laity in Protestant churches. The vocation of
making, make progress toward fulfillment themselves by as-
ministry, viewed as necessary for the life and practice of the
suring a favorable rebirth. It should be noted that there are
church, was the delegated responsibility of persons from the
two orders of laity in Therava¯da Buddhism, those who have
community of believers who were commissioned by the con-
never taken the full monastic orders and former bhikkus,
gregation to teach, to preach, to lead in worship, and to ad-
who are extended higher status than laypersons of the first
minister Holy Communion and baptism.
category. (It is customary in certain Southeast Asian societies
for young men to be ordained for a brief period prior to as-
Although the administering of Holy Communion and
suming the economic and social responsibilities of adult-
baptism were held to be the right of every baptized Christian,
hood.) Such former bhikkus preside at certain ritual occa-
those who were commissioned to minister became the offici-
sions that do not require an active bhikku as officiant.
ants for ritual occasions. John Calvin (1509–1564) stressed
the importance for all members of the church, who collec-
JAINISM. In Jainism a definitive distinction is made between
tively were the laity, to so live that the reality of their state
the laity and monastics, the vows of the latter requiring the
of election by God would be evident in their work in the
practice of a rigorous asceticism in a disciplined effort over
world, which was to be pursued diligently. While the theo-
numerous existences to free the j¯ıva (soul) from contaminat-
logical principle of the universal priesthood of all believers
ing karman. Because this asceticism involves the practice of
has been central to Protestantism, in practice the ordained
ahims:a¯ (noninjury to any living thing), the support of the
ministry is accorded a priority in keeping with the impor-
laity in providing the necessities of life for Jain monks and
tance of its teaching, preaching, and liturgical responsibili-
nuns is indispensable. The principles of Jainism necessitate
ties, for which special training and education were needed.
the avoidance of professions or vocations that involve the vi-
olation of ahims:a¯, and the nurturing of the qualities of hon-
The changes associated with the Protestant Reformation
esty and industry is commended. As a consequence, Jain
in social and political as well as religious life required the ex-
laypersons have generally pursued business and professional
ercise of power and authority on the part of political officials,
occupations, at which they have been very successful. Among
providing opportunity for them, as laity, to exercise influ-
the vows taken by the laity are those commending the shar-
ence in church affairs. Also, it was necessary for practical rea-
ing of wealth and the providing of support for monks and
sons for those set apart (i.e., the ministers) to assume respon-
nuns. Although they are a comparatively small religious com-
sibility for church administration. It should be noted that in
munity (between two and three million adherents) that has
the churches of the more radical “left-wing” Reformation
never spread beyond India, the Jains have maintained their
and in free and dissenting churches (Anabaptists, Baptists,
tradition over a millennium and a half, largely because of the
Congregationalists, Methodists, Universalists, and Unitari-
vital interdependent relationship of the monastics and the
ans), even greater prominence was given to the laity.
laity.
BUDDHISM. The relationship between the bhikkhus (monks)
and the upa¯sakas/upa¯s¯ıka¯s (laymen/laywomen) in the
OTHER TRADITIONS. As has been noted earlier, the category
Therava¯da Buddhism of the countries of Southeast Asia (e.g.,
“laity” has limitations with respect to its capacity to illumi-
Thailand, Laos, Myanmar, and Sri Lanka) is characterized
nate the structures and dynamics of certain religious tradi-
by a full measure of reciprocity. Just as the members of the
tions. It has little to contribute, for example, to a discussion
bhikkhu sangha provide exemplary models for the laity, teach
of Judaism in the common era. To be sure, there did develop
the Dhamma, and fulfill priestly functions by presiding at
among the ancient Israelites a priestly group (as members of
festival and ritual occasions, so the laity provide for the mate-
the tribe of Levi came to be regarded, and later, at the time
rial support of the monastic community. Indeed, reliance of
of the Babylonian exile, the Jerusalem priests, or Zadokites)
the bhikkhu sangha on the laity for daily provisions of food,
distinct from those who were not involved in performing
for the erecting and maintenance of the buildings within the
priestly functions, hence laity. After the destruction of the
monastic compound, for the supplying of basic necessities
Temple by the Romans (70 CE), the continuity of a priestly
(especially through lay offerings during the Uposatha rituals)
order became moot, and the tradition of a rabbinate devel-
provides cherished opportunities for merit making on the
oped. The rabbinic tradition in Judaism is a learned tradi-
part of the laity.
tion. Rabbis may be viewed as scholars of the Jewish texts
and traditions—a learned laity—whose authority as teachers
The support of the laity, so rendered, invites the bhik-
rests in their competence as scholars of the tradition.
khus to sustain and extend their compassionate service to so-
ciety. In this way the life of the sangha (the all-encompassing
With respect to Confucian China also, the notion of
Buddhist community) is sustained through the reciprocity of
laity has limited applicability. Although religious Daoism
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAITY
5289
and the schools of Maha¯ya¯na Buddhism (especially Pure
nied, along with outcastes and women, entry into the
Land, Tiantai and Zhenyan) observed distinctions between
a¯´sramas, and so forth. Below the ´su¯dras are those outside the
priests and laity, the Confucian tradition looked upon the
caste system altogether, whose work includes the undesirable
secular as sacred, and authority was vested in the sage and
occupations of leather worker, hunter, latrine cleaner, han-
the educated Confucian gentry. However, it may be useful
dler of corpses, etc. Each of these social groupings is divided
to explore briefly the relevance of the notion of laity with ref-
into subcastes or subgroups, each with its own duties and re-
erence to Hinduism in traditional India, the religio-social
sponsibilities. Although this religio-social structure appears
context of Japan, and the tradition of Islam.
to be rigidly entrenched, it must be remembered that it
Hindu traditions. The most highly structured and hi-
served traditional India well over many centuries, providing
erarchical social organization in which there is a definitive
for stability, order, and the sure accomplishment of the many
distinction between those who have responsibility for specific
and diverse tasks essential to the effective functioning of soci-
and formal religious functions and other members of society
ety. In no society have differentiated groups of laity been ad-
who do not (hence, “laity”) is the caste system of traditional
dressed by more specifically assigned duties and responsibili-
India, a system that is inseparably interwoven with classical
ties. While changes in the caste system are occurring in
Hinduism. The four basic divisions of society had their roots
contemporary urban India, largely in the direction of in-
in the Vedic era (1500–800 BCE) and assumed definitive
creased fluidity, its major characteristics persist in Indian vil-
form by the sixth century BCE. The Ma¯nava Dharmasa¯´stra
lages, which comprises about 75 percent of the subcontinent.
(Laws of Manu; 200 BCE–200 CE) is a codification of the nor-
Japanese religions. The sociological expression of reli-
mative behavior and duties of castes that has informed tradi-
gious community in the distinctive religio-social context that
tional Hindu society. The varn:as are hereditary; one’s birth
is Japan invites an exploration of the possible relevance of the
in a particular caste is determined by a repository of karmic
notion of laity in interpreting Japanese religious traditions.
consequences from previous lives in accordance with the law
Although a diversity of religions has emerged in Japanese cul-
of karman (often referred to as the law of moral retribution).
ture, there is among Japanese people a permeating and en-
Each caste has its duty (dharma); it is one’s social as well as
compassing sense of sacred community that is coextensive
religious responsibility to fulfill the dharma of one’s caste.
with national identity. Rooted in the indigenous traditions
Caste may thus be viewed as class undergirded by religious
of Shinto¯, a sense of the continuity between the people, the
sanction and metaphysical principle.
land, the ancestors, the nation, and kami (sacred and myste-
The inequality of the castes is evident in the definition
rious power) provides a cosmic orientation that sustains and
of rights and responsibilities of each as well as in the restric-
informs the Japanese whatever the particularities of religious
tions concerning the relationships between persons of differ-
affiliation. To be Japanese is “to participate in the task of un-
ent castes. The bra¯hman:as, for example, whose duty it is to
folding the underlying meaning of the national community
study the sacred texts (the Vedas), to teach, to perform sacri-
which is their sacred trust” (Kitagawa, 1968, p. 309). There
fices and other rituals, and to see that the stipulations con-
are, of course, priestly officials who are distinguished from
cerning caste are honored, are at the top of the religio-social
lay members of the major religions, including Sectarian and
hierarchy. They are thought to be superior by virtue of their
Shrine Shinto¯, Pure Land (Jo¯do and Shin), Shingon, Tendai,
karmic repository and spiritual accomplishment.
and Nichiren Buddhism, and Christianity. But the vitality
The other groups of the social structure comprise what
of these particular religions is dependent upon the participa-
may be termed the laity. The ks:atriyas, next in descending
tion and support of the laity associated with each.
hierarchical order, are the ruling, bureaucratic, and warrior
In addition to the sense of identity and meaning that
caste. The third caste, the vai´syas, is composed of artisans,
is derived from participation in these particular religious
merchants, traders, and farmers (although farming has been
communities, there is an encompassing sense of what it
largely turned over to the ´su¯dras). These three castes com-
means to be Japanese. This feeling is grounded in a historic
prise the “twice-born” groups, that is, those who may study
apprehension of Japan as “a communal manifestation of the
the Vedas as they pass through the four a¯´sramas, or stages
sacred” (Kitagawa, 1968, p. 309). In this latter sense, all of
of spiritual progression: student, householder, forest dweller
the people of Japan can be viewed as participants in the cor-
(one in retreat), and sam:nya¯sa (holy person). Persons in each
porate manifestation of sacrality. One question addressing
of these top three castes may pursue an occupation of a lower
contemporary Japan is whether this corporate sense with a
caste, should circumstances require it. The fourth caste, the
cosmic dimension can be maintained alongside the continu-
´su¯dras, are to do the manual labor of society and to serve the
ing development of Japan as a modern nation-state within
needs of the castes above them.
which there is a plurality of particular religions. A phenome-
There is considerable distance—social, economic, and
non of considerable interest has been the emergence of new
religious—between the vaisyas and the ´su¯dras. For example,
religious movements (shinko¯ shu¯kyo¯) in Japan during the
the ´su¯dras are prohibited from participating in Vedic cere-
nineteenth and twentieth centuries, and especially after
monies, traditionally are not to marry persons of a higher
World War II. These new religions have been, in the main,
caste, may not engage in the duties of other castes, are de-
lay movements. It is not incidental that they have developed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5290
LAITY
during a time of rapid cultural and political change. The new
of the thought and practice of Jainism that is worthy of care-
religious movements, whether of Shinto¯ (Tenrikyo¯,
ful attention even though it does not profit from the findings
Konko¯kyo¯, Tensho¯ Ko¯tai Jingukyo¯), Buddhist (So¯ka Gakkai
of the most recent scholarship.
or Nichiren Sho¯shu¯, Reiyu¯kai, Rissho¯ Ko¯seikai) or Christian
Hodgson, Marshall G. S. The Venture of Islam. 3 vols. Chicago,
origin, have frequently been inspired by a shamanistic mani-
1974. A comprehensive and accomplished treatment of
festation of kami in a charismatic leader (who usually be-
Islam as a religion and of Islamic culture and history.
comes a primary source of authority); they also provide a
Kitagawa, Joseph M. Religion in Japanese History. New York,
strong sense of corporate solidarity, emphasize the active par-
1966. One of the most complete and authoritative accounts
ticipation of laity, and assure the realization of lay values
of the religions of Japan portraying their historical develop-
(e.g., health and prosperity).
ments.
Kitagawa, Joseph M. Religions of the East. Enl. ed. Philadelphia,
Islam. Because there is no clergy as such in Islam, there
1968. An interpretation of the major religions of Asia focus-
is technically no laity either. The sources of authority in
ing on the theme of religious community.
Islam—QurDa¯n, sunnah, analogical reasoning (qiya¯s), and
Kraemer, Hendrik. A Theology of the Laity. Philadelphia, 1958. A
consensus (ijma¯ E)—are the foundation of all Muslim teach-
Protestant interpretation of the role and status of the laity
ing, and there is the need for commentary and interpretation
within the Christian tradition.
of these authoritative sources as well as of the shar¯ı Eah (di-
Latourette, K. S. A History of Christianity. New York, 1953. A
vine law). For Sunni Islam (the normative religion of about
competent and informative account; a work of careful schol-
85 percent of Muslims, dominant in the Muslim world out-
arship and artful, judicious interpretation.
side of Iran and southern Iraq) there are the imams (preach-
Lester, Robert C. Theravada Buddhism in Southeast Asia. Ann
ers and teachers of the Muslim law) and the jurists (specialists
Arbor, Mich., 1973. This study, informed by field experi-
in figh, or jurisprudence, and the study of the shar¯ı Eah). They
ence, depicts the modern situation and dominant features
have a special responsibility to the ummah (the community
of Theravada Buddhism in the countries in which it is
of Muslims) but no special privileges before God.
strongest.
For Sh¯ıE¯ı Islam (dominant in Iran and southern Iraq,
Maclean, A. J. “Laity, Laymen.” In Encyclopaedia of Religion and
with minorities in Yemen, India, Pakistan, and Lebanon)
Ethics, edited by James Hastings, vol. 7. Edinburgh, 1914.
Although dated, this article presents in a concise and lucid
there is held to be a line of divinely ordained and authorita-
manner the origins and derivations of the concept “laity” in
tive successors (imams) of Muh:ammad through his cousin
early Christianity.
and son-in-law, EAl¯ı, as teachers of the faithful. Although
Rahman, Fazlur. Islam. 2d ed. Chicago, 1979.
there are variations among the Sh¯ıE¯ıs with respect to the spe-
cific figures accepted as legitimate in the line of succession,
Rahner, Karl. Theology for Renewal: Bishops, Priests, Laity. New
York, 1964. A provocative theological statement about the
there is a general expectation that the authentic imam, now
responsibilities of and opportunities afforded the various of-
hidden, will return as the Mahdi to establish justice. Mean-
fices and constituent groups of the Roman Catholic church
while, authority is vested in leaders of the various Sh¯ıE¯ı
in the contemporary era.
groups, who are thought, in the interim, to act on behalf of
Seltzer, Robert M. Jewish People, Jewish Thought: The Jewish Expe-
the hidden imam. All Muslims, in submission and commit-
rience in History. New York, 1980. An account of Jewish in-
ment to God, are to be obedient to the revelation contained
tellectual history by a foremost scholar of the basic texts and
in the QurDa¯n and are to follow “the straight path.” All are
seminal figures of the tradition.
equal before God, with no distinctions in this regard among
Zimmer, Heinrich. Philosophies of India. Edited by Joseph Camp-
those within the ummah. Thus, to speak of “laity” and “cler-
bell. Princeton, 1951. Zimmer’s study remains one of the
gy” within the community of Islam is to introduce categories
most illuminating treatments of the classical thought systems
that are more likely to distort than to illuminate the religio-
of India.
social dynamics of this tradition.
New Sources
Ahir, D. C. The Status of the Laity in Buddhism. Delhi, 1996.
SEE ALSO Merit, article on Buddhist Concepts; Sam:gha.
Astell, A. W. Lay Sanctity, Medieval and Modern: A Search for
B
Models. Notre Dame, Ind., 2000.
IBLIOGRAPHY
Chatterjee, Satischandra. The Fundamentals of Hinduism. 2d ed.
Boisvert, L. Laïcs Associés à un Institut Religieux. Saint-Laurent,
Calcutta, 1970. A basic discussion of the cardinal aspects of
Québec, 2001.
traditional Hinduism.
Carré, O. L’islam laïque, ou, Le retour à la Grande Tradition. Paris,
Fingarette, Herbert. Confucius: The Secular as Sacred. New York,
1993.
1972. A discerning interpretation of the formative influence
Harris, Elizabeth J. “Internal and External Authority among Lay
of Confucius and Confucianism on traditional China.
Buddhist Women in Contemporary Sri Lanka.” Scottish
Ghurye, G. S. Caste and Class in India. 2d ed. Bombay, 1950. A
Journal of Religious Studies 18, no. 1 (1997): 51–75.
definitive presentation of the history and features of the caste
Lancaster, L. R., R. K. Payne, and K. M. Andrews. Religion and
system in India.
Society in Contemporary Korea. Berkeley, 1997.
Glasenapp, Helmuth von. Der Jainismus, eine indische Erlösung-
Sauvage, M. Vie religieuse laïque et vocation de frère: recueil
sreligion. Berlin, 1925. A classic and unsurpassed treatment
d’articles. Rome, 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
LAKES
5291
Schopen, G. Bones, Stones, and Buddhist Monks: Collected Papers
visited the islands of Titicaca and Koati on the lake and com-
on the Archaeology, Epigraphy, and Texts of Monastic Bud-
missioned shrines there. Inca interest in the lake was ex-
dhism in India. Honolulu, 1997.
pressed in religious art and architecture, the location of
F. S
major shrines, and the incorporation of ancient myths con-
TANLEY LUSBY (1987)
Revised Bibliography
cerning the lake into their own mythology. By these means
the lake’s ancient significance continued to remain part of
an imperial sacred geography.
In Andean religion the border between the notion of de-
LAKES. Water, essential to life on earth, has occupied a
ities and the phenomena of nature was entirely open, with
preeminent place in religious thought and imagery, together
emphasis placed on direct communication with the elements
with the land and sky. In many cultures it is considered to
of nature. The worship of huacas and major nature deities
be procreative, a source of forms and of creative energy. The
was a basic theme of Andean religion. A huaca was an object
life-giving property of water has been projected in its almost
or phenomenon that was perceived to have unusual presence
universal perception as fons et origo, “spring and origin,” the
or power beyond the range of everyday life, where the sacred
element that preceeds solid form and is the support of all
may have been manifested or where the memory of some past
earthly creation. In this context, from remote times to the
momentous event resided. It could be the locus of an oracle,
present, among peoples who have perceived the world in
a cave, or a curiously indented boulder where a people were
terms of sacred and profane phenomena, springs, ponds, and
thought to have emerged from the earth during the time of
lakes have figured importantly in the realm of water symbol-
creation. This belief system was closely tied to the formation
ism. In many regions of the world where lakes are major geo-
of sacred geographies and formed part of a cosmological reli-
graphic features, they often have been the setting of cosmo-
gion with an array of gods associated with natural epiphanies.
gonic myths and have been invested with many meanings,
The island of Titicaca, about seven miles long, serves as
historical associations, and ritual functions.
a good example of how a lake figured in Andean sacred geog-
The importance of sacred lakes in cultural context will
raphy. Adolph Bandelier’s explorations and interpretive re-
be discussed by examining the ritualistic and mythic signifi-
port of 1910 remain fundamental to an understanding of the
cance of two American lakes, Titicaca and Texcoco, associat-
island and its ruins. Toward the northern end of the island
ed with the Andean and Mexican civilizations respectively.
there is a construction, and it was across this isthmus that
The areas around both these lakes have been heavily populat-
a precinct wall was built to separate sacred from proface
ed in ancient, colonial, and modern times. Accounts of the
space. Early Spanish accounts record that three gates were ar-
ancient ceremonial pageantry, mythology, and human-made
ranged in succession here and that confessions were required
or natural sacred places in and around these lakes have been
of all who sought to pass through. The religious and ritual
reported since the sixteenth-century Spanish conquest. Their
focus of the site lay beyond the gates. The sacred feature was
meanings and functions in the evolution of native American
comprised of a great rock about 25 feet high and 190 feet
civilizations continue to form an expanding field of inquiry
long, with a broad plaza or assembly ground built in front.
in archaeology, art history, and ethnology, as well as in the
This was the chief huaca of the island, named in Aymara titi
history of religions.
(“wild cat”) kaka (“rock”), the latter word a substitution for
LAKE TITICACA. Lake Titicaca lies between southern Peru
kala (“stone”). The shrine rock was thus the source for the
and northwestern Bolivia, where the Peruvian intermontane
name of the lake itself. Also included within this sacred pre-
valleys and rugged cordilleras give way, at the 12,500-foot
cinct were burial cysts with offerings and paraphernalia,
level, to the spacious Altiplano. This lake is impressive in its
storehouses, and residences for cult priests, officers, and
size and is the highest navigable body of water in the world.
aides. In this context it is important to mention the Pilco-
It sustained the agricultural and economic life of the sur-
Kayma building on Titicaca Island, which corresponds to an-
rounding areas. As the mainstay of complex societies, the re-
other structure called Inyak-Uyu on Koati Island nearby.
ligious meaning of the lake was most dramatically defined
The design and siting of these two buildings reveal an impor-
in the case of the civilizations of the Tiahuanaco (c. 100 to
tant aspect of Andean religion. Both buildings stand near the
1000 CE) and the Inca (c. 1400 to 1532 CE). Near Lake Titi-
eastern shores of their respective islands, and the principal
caca, the principal archaeological ruins are those of Tiahua-
apartments in each ruin, with the most elaborate entrances
naco, located in Bolivia a few miles inland from the southern
and prominent niches, open toward the majestic snow-
shore. This was an important political and religious center
capped peaks of Sorata and its neighbors across the lake on
whose influence spread over large section of Bolivia and
the Bolivian (eastern) side. These grand mountains even
southern Peru. The Titicaca basin came again within the
today continue to be worshiped by the people in their vicini-
orbit of an imperial state during the fifteenth century, when
ty. Considered in relation to Lake Titacaca and the island of
the Inca nation extended political control from the capital
Titicaca with its huge rock huaca, the mountains complete
of Cuzco, some 200 miles to the north. At this time the Inca
the imago mundi of Altiplano peoples.
nation affirmed a spiritual and historical connection with the
The Inca people paid homage to Titicaca Rock as the
earlier Tiahuanaco state, and the Inca ruler Tupac Yupanqui
dominant and central feature associated with the lake. This
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5292
LAKES
is illustrated by Spanish written accounts of an annual pil-
of ordinary life. On the ridges, marine fossil strata underscore
grimage made to the island across the straits from a shrine
the theme of aquatic emergence at this unusual site. The
on nearby Copacabana Peninsula. In that festival, which cen-
placement of the huaca and the relationship of buildings to
tered around solar events, two principal idols were brought
the distant mountains are joined with ritual and mythic im-
in reed boats from Copacabana: a statue of the sun father,
agery in a powerful metaphor of humanity and land. The
Inti, and one of the moon mother, Mama Quilla. These two
sense of place, of being “at the center,” is also linked to no-
effigies were regarded as husband and wife, and they were
tions of history, for the ancient myths and the architectural
transported with other idols dedicated to thunder and other
features of the Pilco-Kayma building (designed in an archaic
natural forces. The sun was represented in the form of an
style) reminded the Inca of Tiahuanaco and established a
Inca of gold embellished with much brilliant jewelry; the
succession to that old imperial tradition. In this respect, the
moon was represented as a queen of silver; and thunder was
Inca shrine incorporated a sense of the past and signaled ter-
a man of silver, also very brilliant. Once landed, they were
ritorial possession. Woven into these levels of meaning was
placed in splendid litters decorated with flowers, plumage,
a still more fundamental theme. Most of all, the setting was
and plates of gold and silver, and they were carried to the sa-
designed to bring to mind the time and place of the begin-
cred enclosure. The idols were set up in a plaza, almost cer-
nings. The sacred lake was the primordial natural icon, a re-
tainly in front of the sacred rock. After having placed the
minder of illud tempus. Passive in the mythic imagery, the
idols, the attendant Inca priests and nobles prostrated them-
lake formed the fluid cosmogonic field from which all forms
selves, first worshiping the effigy of the sun, then that of the
came forth in darkness. Upholding the island birthplace of
moon, afterward that of the thunder, and then the others.
the sun and moon, Lake Titicaca, as the home of Viracocha,
The prostrations were concluded by blowing kisses to the im-
who gave form to mountains, plains, and people, was the ele-
ages and to the huaca itself. Dances, banquets, and amuse-
ment from which the world itself was made.
ments were then held to close the festival.
LAKE TEXCOCO AND THE VALLEY OF MEXICO. Rimmed by
Even today, Titicaca Island is known as the “island of
mountains and snowcapped volcanoes, the Valley of Mexico
the sun,” while Koati is the “island of the moon.” Yet it is
is a spacious basin that formerly contained a system of shal-
clear that, although the cult of these celestial bodies was
low interconnected lakes. The central lake, known as Texco-
maintained upon the islands by the Inca, they remained sub-
co, was saline from evaporation, but the southern lakes of
ordinate to the primary cult of Titicaca Rock itself.
Chalco-Xochimilco were fed by abundant aquafers that is-
What then, was the meaning of the sacred rock, the
sued from the base of the steep Ajusco Mountains. To the
dominant icon of the island? What was its relationship to the
north, lakes Zumpango-Xaltocán depended more on season-
surrounding waters of the lake? The answers lie in mytholo-
al rain, but there is evidence that in ancient times the sur-
gy. Bandelier’s compilation of myths recorded by the six-
rounding hills and open fields were watered by abundant
teenth-century Spanish chronicler Cieza de León include a
springs and streams. In a collective sense, the entire set of
text in which the Indians tell of an event that occurred before
lakes may be referred to as Lake Texcoco.
the Incas ruled in these lands. Long ago, they went without
seeing the sun for a long time and suffered greatly, so they
By the first century CE, the city of Teotihuacan began
prayed to their gods, begging them for light. The sun then
to dominate the lesser settlements in the Texcoco lakeshore
rose in great splendor from the island of Titicaca, within the
region. A powerful manufacturing, trading, and religious
great lake of the Collao (the ancient name of province), so
center of some one hundred thousand people, Teotihuacan
that all were delighted. Then from the south there came a
became the center of a trade network that ramified to the
white man of large size who showed great authority and in-
most distant parts of Mesoamerica. With the violent eclipse
spired veneration. This powerful man made heights out of
of this metropolis in the seventh century, power was trans-
level plains and flat plains out of great heights, and created
ferred to other capitals throughout the neighboring high-
springs in live rock. Recognizing in him such power, they
lands. The old ascendancy of the Valley of Mexico was not
called him Maker of All Created Things, Beginning Thereof,
restored until the fifteenth century with the rise of the Méxi-
and Father of the Sun. They also said that he gave humans
ca-Aztec capital of Tenochtitlán and its allied neighbor, the
and animals their existence and that they derived from him
city of Texcoco. Built on an island and reclaimed marshes
great benefits. This being, called Ticciviracocha, was regard-
near the western shore of Lake Texcoco, Tenochtitlán be-
ed as the supreme creator. Another myth, recorded by Juan
came the most feared and powerful city, the seat of the most
de Betanzos before Ceiza, also connects two successive “cre-
powerful empire in Mesoamerican history.
ations” of the world by “Con Tici Viracocha” to Lake Titica-
An agricultural economy, supplemented by fishing and
ca (Bandelier, 1910, pp. 298–299). In yet another version,
the gathering of natural products, remained fundamental to
the sun and moon were said to have risen from Titicaca itself.
urban life throughout the long history of the valley, and the
In this mythological context, “wild cat rock” must be seen
problem of maintaining fruitful relationships between hu-
as a cosmogonic place of origin.
mans and nature formed an underpinning of religious life.
Rising from the windswept sheet of reflecting water, the
To express this relationship in symbolic form, monumental
island hills and promontories are removed from the sphere
works of art and architecture were built as stage sets and me-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAKES
5293
morials for seasonal rites as well as the important ceremonies
such places it was common practice to offer green stones and
of government and war. The ruined pyramids of Teotihua-
jewelry as well as sacrifices. A preoccupation with fertility was
can were the largest in Mesoamerica, and long after the city
paramount among the reasons why water was so widely ven-
was destroyed they were visited in pilgrimage by the rulers
erated. Nowhere was this more apparent than in an elaborate
of the later Méxica-Aztec state. In the middle of the Méxica-
annual pilgrimage made by the ruler of Tenochtitlán and
Aztec capital, Tenochtitlán, a new pyramid and attendant
three allied rulers to shrines on the summit of Mount Tlaloc
temples were built in a great quadrangular enclosure, with
and in the middle of Lake Texcoco. The relationship be-
gates at the cardinal directions. The main pyramid, repre-
tween these two water shrines shows that no part of the natu-
senting a symbolic mountain with dual shrines to the rain
ral setting could be considered in isolation, and that the im-
god, Tlaloc, and the Méxica national ancestor hero, Huitz-
agery of sacred geography, based upon the ecological
ilopochtli, established the vertical axis mundi of the cosmo-
structure of the land, established fundamental integrating
logical design. A similar but smaller ritual center was con-
bonds between society and nature.
structed in the allied city of Texcoco.
The bonds between humans and nature are evident with
In addition to such urban monuments, other shrines
the sequence of rituals, beginning at Mount Tlaloc. The ar-
and temples were scattered throughout the valley on moun-
chaeological ruins of the Tlaloc temple are located below the
taintops, in caves, by springs and rivers, and in the waters
summit of this mountain, close by a grassy vale where springs
of the lake itself. These places were the shrines of nature dei-
are still located. Here the ruins of a square courtyard enclosed
ties whose cults were also represented in the temples of the
by masonry are entered via a long narrow walkway that had
city. These cults, in addition to those of conquered nations,
a controlling function in ritual procedure. Within, there was
were woven into the religious fabric of the city in an effort
a flat-roofed chamber housing the main Tlaloc effigy, around
to form an embracing state religion. The many divinities
which were clustered a group of lesser idols. These were in-
were impersonated by ritual performers on festival occasions.
tended to represent the other mountains and cliffs surround-
The costumes often visually corresponded to the cult names
ing Mount Tlaloc. Thus the arrangement was a microcosm
themselves: For example, Chalchiuhtlicue, a female deity of
of the land itself, the symbol of a geographical setting where
water on the ground, that is, a lake, river, or spring, would
rain and springs were seen to originate.
appear with a green-painted skirt or a skirt sewn with pieces
This shrine was visited in late April, at the height of the
of jade. Chalchiuhtlicue means “jade skirt” in the Nahuatl
dry season, by the ruler of Tenochtitlán and the allied rulers
language. Thus the costume was an ideogram, and the im-
of Texcoco, Tlacopán, and Xochimilco (the number four
personator became a living, moving metaphor naming the
was a ritual requirement). The pilgrimage was the duty and
element of nature that she represented.
privilege of royalty alone. The ceremonies opened with the
An illustration of this custom is recorded by the six-
sacrifice of a male child, followed by a hierarchical procession
teenth-century chronicler Alvarado Tezozomoc, who de-
in which the kings approached the idol in order of rank (Te-
scribes a ceremony that took place to inaugurate an aqueduct
nochtitlán first). One by one, they proceeded to dress the
built from mainland springs to the island of Tenochtitlán.
idols with splendid headdresses, breechcloths, various
The emperor Ahuizotl instructed two high priests to be at-
mantles, jewelry, and so on, according to the status of each
tired as Chalchiuhtlicue and go welcome the incoming
monarch.
water. As the water arrived, they sacrificed quail and burnt
The next phase again involved a procession in order of
copal incense. After drinking, the chief priest spoke directly
rank, as the rulers approached with food for a sumptuous re-
to the water: “Be very welcome, my lady, I come to receive
past. After the food was put before the images, a priest en-
you because you shall be coming to your home, to the middle
tered to sprinkle everything with blood from the sacrificed
of the reeds of Mexico-Tenochtitlan” (Alvarado Tezozomoc,
child. The blood offering at Mount Tlaloc had a contractual
1975). The passage shows how a deity impersonator would
function. As chief ritualists of their respective nations, the
also address the natural element whose symbolic form he rep-
rulers set in motion a vital principle that unified the rain and
resented. In this way of thought, the elements themselves
mountains with their people, circulating life and energy
were seen to have life-force and were considered inherently
throughout the social and ecological orders. Corresponding-
sacred. Lake Texcoco was spoken of as Tonanhueyatl, “our
ly, the structure of political alliances was reinforced through
mother great water,” a provider of moisture to agricultural
sacramental rites.
fields who was teeming with edible algae, aquatic plants of
various kinds, mosquito eggs (also edible), shrimp, a diversity
While these events were taking place, another rite was
of fish, as well as frogs, ducks, and other aquatic birds. As
unfolding in the main religious precinct of Tenochtitlán. A
a sustainer of life, the lake was looked upon as the mother
large tree was brought in and erected in the courtyard of the
of Tenochtitlán.
dominating pyramid, on the side of the Tlaloc shrine. This
tree, called Tota (“father”), was surrounded by four smaller
Pilgrimages were made by the Aztec and their neighbors
trees in a symbolic forest designed according to the center
to sources of water at springs, streams, and lakes, as well as
and the cardinal directions. A girl attired as Chalchiuhtlicue
in hidden caves and ravines on cloudy mountaintops. At
to represent the great lake and other springs and creeks 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
5294
LAKES
brought to sit within the forest. A long chant with drums was
namic relationship of lakes and other features of the natural
then begun around the seated figure, until news was finally
and human-fashioned environment.
received that the rulers had completed the Mount Tlaloc of-
These concerns were fundamentally bound with fertility
ferings and were now at the Texcocan lake-shore, ready to
and agriculture, but the imagery of lakes was also creatively
embark in their canoes. At this time, the Chalchiuhtlicue im-
employed by ruling elites in building imperial domains.
personator was placed in a canoe at Tenochtitlán, and the
Myths, rites, and monuments affirmed territorial claims,
Tota tree was also taken up and bound upon a raft. Accom-
consolidated alliances, and validated the larger interests and
panied by music and chanting, a vast fleet of canoes filled
policies of state organizations. Rooted in cosmogony and the
with men, women, and children embarked with the symbolic
seasonal cycle, the symbolism of lakes was inseparably inter-
figures to a sacred place within the lake called Pantitlan. This
woven with the imagery of history. In New World Indian
was the site of a great spring, an aquifer that welled up from
religions, the order of the cosmos and the structure of the
the lake bottom with remarkable turbulence. At this site the
state were inseparably bound.
two processions met and, as the rulers and population
watched, the Tota tree was unbound and set up in the
SEE ALSO Caves; Mountains; Water.
muddy lake bottom by the spring. The Chalchiuhtlicue child
was then sacrificed and her blood was offered to the waters,
BIBLIOGRAPHY
along with as much jewelry as had been given on Mount
Alvarado Tezozomoc, Fernando de. Crónica mexicana. Mexico
Tlaloc. The theme of water as fons et origo was strikingly ex-
City, 1975.
pressed, incorporating the renewal of vegetation and of life
Bandelier, Adolph F. The Islands of Titicaca and Koati. New York,
itself at the height of the dry season. The ceremonies were
1910.
then concluded and everyone departed, leaving the Tota to
Barlow, Robert Hayward. The Extent of the Empire of the Culhna
stand along with others of previous years. Diego Durán
Mexica. Berkeley, 1949.
(1971) remarks that the peasantry went on to the preparation
Bastien, Joseph W. Mountain of the Condor: Metaphor and Ritual
of the fields, continuing to make offerings at local springs
in an Andean Ayllu. Saint Paul, 1978.
and rivulets.
Bennett, W. C. Excavations at Tihuanaco. New York, 1934.
Betanzos, Juan de. Suma y narración de los Incas. Edited by Márcos
The imagery of this long and remarkable sequence of
Jiménez de la Espada. Madrid, 1880.
ceremonies was directly based on the ecological structure of
Carrión, Rebecca C. “El culto al agua en el antiguo Perú.” Revista
the highland basin. The relationship of mountains to rain,
del Museo Nacional de Antropología y Arqueología (Lima) 11
mountains to springs, and springs to the great lake was sym-
(1955).
bolically acknowledged in covenants and pleas for water,
Cieza de León, Pedro de. Segunda parte de la crónica del Perú, que
crops, and vegetation. This communal ceremony, in which
trata del senorió de los Incas Yupanquis y de sus grandes hechos
the major rulers and lords of the valley participated, affirmed
y gobernación, vol. 5. Edited by Márcos Jiménez de la Espada.
a topographic metaphor: atl tepetl (lit., “water-mountain”),
Madrid, 1880.
which means “city” or “community.” In the Nahuatl lan-
Cobo, Bernabé. Historia del Nuevo Mundo. 4 vols. Edited by Mar-
guage, the habitat of humanity was defined in terms of land-
cos Jiménez de la Espada. Seville, 1890–1895.
scape elements that made life possible. The structure of the
Demarest, Arthur Andrew. Viracocha: The Nature and Antiquity
ceremony and the metaphor it brought to mind represent a
of the Andean High God. Cambridge, Mass., 1981.
powerful integrating principle that was known and recog-
Díaz del Castillo, Bernal. The Discovery and Conquest of Mexico.
nized by everyone. Rooted in what was seen and experienced
Translated by A. P. Mandslay. Edited by Eudora Garrett.
in the land itself, the imagery of the Tlaloc-Chalchiuhtlicue
Mexico City, 1953.
rites represented a sense of order in the highland way of life
Durán, Diego. Book of the Gods and Rites and the Ancient Calen-
and symbolically legitimized the governments with which it
dar. Translated and edited by Fernando Horcasitas and
was identified.
Doris Heyden. Norman, Okla., 1971.
CONCLUSION. In the Andes and Mexico, sacred lakes formed
Eliade, Mircea. Patterns in Comparative Religion. New York, 1958.
part of religious systems that grew out of landscapes. The
Kolata, Alan L. “The South Andes.” In Ancient South Americans,
patterns become evident upon considering the ethnohistoric
edited by Jesse D. Jennings, pp. 241–285. San Francisco,
texts, archaeological monuments, and new ethnological re-
1983.
ports of religious practices in the context of topography. At
Million, René, ed. Urbanization at Teotihuacán, Mexico, vol. 1,
the time of the Inca and Méxica-Aztec empires, lakes were
The Teotihuacán Map. Austin, 1973.
seen as sources of life where the generative, procreative quali-
Posnansky, Arthur. Tiahuanacu, the Cradle of American Man. 4
ties of water were especially concentrated. The properties of
vols. Translated by James F. Shearer. New York, 1945–1958.
lakes were acknowledged in myths and metaphors, as in An-
Reinhardt, Johan. The Nazca Lines: A New Perspective on Their
dean cosmogonic stories and the atl tepetl theme of highland
Origin and Meaning. Lima, 1985.
Mexico; in the powerful imagery of ritual; and in the design
Rowe, John Howland. “Inca Culture at the Time of the Spanish
and disposition of monuments in the city and the country.
Conquest.” In Handbook of South American Indians, vol. 2,
These symbolic forms of representation celebrated the dy-
pp. 183–330. Washington, D. C., 1946.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAKOTA RELIGIOUS TRADITIONS
5295
Sahagún, Bernardino de. Historia general de las cosas de la Neuva
movement of the sun and stars. They acquired the horse
Espana (compiled 1569–1582; first published 1820). Trans-
around 1700 and became a dominating force within the Mis-
lated by Arthur J. O. Anderson and Charles E. Dibble as
souri River Basin by virtue of their skills as mounted eques-
Florentine Codex: General History of the Things of New Spain.
trians. In 1851, Lakota bands, along with other Plains tribes,
13 vols. in 12. Santa Fe, N. Mex., 1950–1982. See especially
signed a treaty with the federal government at Fort Laramie,
book 1, The Gods; book 2, The Ceremonies; and book 12, The
Wyoming, creating an aboriginal territory that encompassed
Conquest.
parts of Nebraska, Wyoming, North Dakota, and South Da-
Soldi, Ana Maria. “El agua en el pensamiento andino.” Boletín de
kota. In 1868, they signed another treaty that established the
Lima (1980).
entire western portion of modern-day South Dakota as a res-
Sullivan, Thelma D. “Tlaloc: A New Etymological Interpretation
ervation for their “undisturbed and exclusive use.”
of the God’s Name, and What It Reveals of His Essence and
Nature.” In Proceedings of the Fortieth International Congress
Included in Lakota-held lands was He Sapa, the Black
of Americanists, vol. 2, pp. 213–219. Rome, 1974.
Hills. After the discovery of gold by Custer’s forces in 1875,
Townsend, Richard F. “Pyramid and Sacred Mountain.” In Eth-
He Sapa was taken illegally for white settlement, something
noastronomy and Archaeoastronomy in the American Tropics,
still contested and in litigation today, although in the early
edited by Anthony F. Aveni and Gary Urton, pp. 37–62.
1980s the U.S. Supreme Court established once and for all
New York, 1982.
that the Lakota hold exclusive title to the Black Hills. He
Townsend, Richard F. “Deciphering the Nazca World.” Museum
Sapa, sometimes known as Paha Sapa, is land considered sa-
Studies 11 (1985): 116–139.
cred by the Lakota and other Plains tribes. It is known as wa-
maka ognaka y cante (the heart of everything that is).
New Sources
Demarest, Arthur A. Ideology and Pre-Columbian Civilizations.
During the westward movement by gold seekers and
Santa Fe, 1992.
immigrants, the Lakota actively participated in the defense
Los Misteros del Lago Sagrado (Mysteries of the sacred lake). Marco
of their lands under such leaders and strategists as Red
A. Ninamango Jurado, editor. Lima, 1998.
Cloud, Crazy Horse, Sitting Bull, Gall, American Horse, and
Palao Berastain, Juan. La Religión del Titikaka: Revelaciones del Ya-
Rain in the Face. The Lakota were notably present at the vic-
tiri. Puno, Peru, 2001.
tory of Greasy Grass (the Little Bighorn) and the subsequent
Salles-Reese, Veronica. From Viracocha to the Virgin of Copaca-
defeat of George Armstrong Custer and the Seventh Calvary
bana: Representation of the Sacred Lakes at Lake Titicaca. Aus-
on June 25, 1876.
tin, Tex., 1997.
By 1888, intense suffering, starvation, and death on the
Smith, Michael E. The Aztecs: The Peoples of America. Cambridge,
reservations prompted people to participate in the Ghost
Mass., 1998.
Dance movement in an effort to restore lost relatives and the
Stuart, Gene S. The Mighty Aztecs. Washington, D.C., 1981.
traditional way of life. Allegedly for their participation in the
Townsend, Richard F. The Aztecs. New York, 1992.
movement, over three hundred disarmed Lakota men,
women, and children of Chief Big Foot’s band of Mnicoujou
RICHARD F. TOWNSEND (1987)
Revised Bibliography
were massacred by the Seventh Calvary, Custer’s reconstitut-
ed force, on December 29, 1890, at Wounded Knee, South
Dakota. In 1986, Birgil Kills Straight and several other des-
cendents of the Bigfoot Band survivors led the first Big Foot
LAKOTA RELIGIOUS TRADITIONS. Lakota,
Memorial Horseback Ride, which led up to a spiritual cere-
meaning “friends or allies,” are Plains Indian peoples. They
mony called istamniyanpi wasigla “to wipe the tears” of the
represent the largest of three divisions within the political
people for this sorrowful event. In December of 1990 the
body known as the Titonwan, along with the Dakota and
fifth and final ride took place, marking the hundred-year an-
Nakota. The Lakota are also known as the Western Sioux,
niversary of the massacre.
although the latter is a pejorative name meaning “snakes in
RELIGIOUS SYSTEM. The notion of a religious system is more
the grass,” applied to them by Algonquian-speaking neigh-
applicable to Western ideology and Christian missionaries’
bors to the east. Lakota also designates the language spoken
efforts to understand a spiritual philosophy different from
by the seven bands of the Oceti Sakowin (seven council
their own than it is to the beliefs of the Lakota. For the La-
fires): Oglala, Sicangu, Mnicoujou, Itazipco, Oohenumpa,
kota, religion is not compartmentalized into a separate cate-
Sihasapa, and Hunkpapa. In the past, the Lakota occupied
gory. More appropriately, Lakota traditions can be character-
areas of what are now Montana, Wyoming, North and South
ized as a system of spirituality that is fully integrated into a
Dakota, and Nebraska. As of the 2000 census, over 108,000
rhythm of life that includes all aspects and patterns of the
U.S. residents identify as Lakota, many living on or near res-
universe. At the center of this rhythm is Wakan Tanka or
ervations in South Dakota, North Dakota, and Minnesota.
Tunkashila, sometimes translated as Grandfather and often
Often represented in media and film as the typical Indi-
as Great Spirit or Great Mystery, but better left untranslated.
ans of the Plains, the Lakota have historically been a nomadic
Cannupa Wakan (the sacred pipe) and the subsequent smoke
people who organize their lives and ceremonies around the
carries messages from humans to Wakan Tanka. The system
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5296
LAKOTA RELIGIOUS TRADITIONS
is based on respect and emphasizes that the virtues or values
Lakota and of how these rites came to the people. Many years
of bravery, fortitude, wisdom, and generosity be followed
ago, during a period of starvation, there appeared to the La-
and perpetuated.
kota a beautiful woman who was met by two hunters. One
hunter lusts for her, and is covered by a mist and reduced
James R. Walker, a physician at Pine Ridge, South Da-
to bone. The other hunter, who possesses a good and pure
kota, between 1896 and 1914, was one of the most influen-
heart, is instructed to return to camp and tell the chief and
tial non-Indian revisers of Lakota spirituality. Ella Deloria
people that she, Ptehincalaskawin (White Buffalo Calf
expressed her skepticism in the 1930s about his work, and,
Woman), will appear to them the next day for she has some-
more recently, his interpretations have been considered spe-
thing of importance to tell them. He obeys, and a great coun-
cious by William K. Powers. It has been hypothesized that
cil tipi is constructed. Ptehincalaskawin presents to the peo-
George Sword, an Oglala Lakota, gave Walker an explana-
ple a bundle containing the sacred pipe and tells them that
tion of the Lakota system in Christian theological terms to
in time of need they should smoke and pray with the pipe
make it understandable to him, and Walker misinterpreted
for help. The smoke from the pipe will carry their prayers
and further changed some of Sword’s descriptions based on
upward.
his own Christian notions and ideology.
She then instructs them in the great Wicoh’an Wakan
Some of Walker’s work accurately reflects Lakota belief
Sakowin (Seven Sacred Rites), the basis of Lakota spirituali-
and information from Sword. His work describes a number
ty, which have been recorded by Joseph Brown in the words
of Lakota spirits who inhabited the earth prior to humans.
of Nicholas Black Elk in The Sacred Pipe: Black Elk’s Account
Takuskanskan (that which moves-moves); Wi (Sun), who is
of the Seven Sacred Rites of the Oglala Sioux. Ptehincalaskawin
married to Hanwi (Moon), with whom he has one daughter,
pledges to watch over the people and to return someday.
Wohˇpe (Falling Star); Old Man and Old Woman, whose
Upon leaving, she walked a short way off and lay down in
daughter Ite (Double Face) is married to Tate (Wind), with
the grass. When she stood again she had turned into a white
whom she has four sons, Tate Topa (the Four Winds). An
buffalo calf, and walked over the hill, out of sight. The Sa-
important spirit is Iktomi the trickster. Iktomi conspires with
cred Buffalo Calf Pipe remains among the people today.
Old Man and Old Woman to increase their daughter’s status
by arranging an affair between the Sun and Ite. The discov-
First rite. The first of the Seven Sacred Rites (though
ery of the affair by the Sun’s wife leads to punishments by
they are not chronological) is Inikagapi or Inipi (to renew
Takuskanskan, who gives the Moon her own domain, and
life). A sweat lodge is held in a dome-shaped structure made
in the process separates her from the Sun. Old Man, Old
of saplings and covered with hide or tarps that symbolizes
Woman, and Ite are sent to earth, but Ite is separated from
the shape of the universe and/or the womb of a pregnant
Tate, who, along with the Four Winds and a fifth wind es-
woman. Heated stones are placed in a central hole in the
tablishes space as the universe known today. The daughter
lodge and water is poured over them by an itancan (leader)
of the Sun and the Moon, Wohˇpe, falls to earth and later
to create steam. The purpose of the ceremony is to pray for
resides with South Wind.
health and well-being, spiritually and physically. The lodge
“utilizes all the Powers of the universe: earth, and the things
The emergence. Alone on the newly formed earth, Ite
which grow from the earth, water, fire, and air” (p. 31).
prevails upon Iktomi to find her people, Pte Oyate (the Buf-
falo People or Nation). In the form of a wolf, Iktomi travels
Second rite. The second rite is Hanbleceyapi (crying for
beneath the earth and discovers a village of humans. Iktomi
a vision). The vision quest is undertaken by an individual
tells them about the wonders of the earth and convinces one
with the help and guidance of a holy man. A person elects
man, Tokahe (the first), to accompany him to the surface.
to go on a vision quest to pray, communicate with the spirits,
Tokahe does so and upon reaching the surface through the
and attempt to gain knowledge, strength, and understand-
emergence place, located in Wind Cave in the Black Hills
ing. The person pledges to stay on an isolated hill for one
of South Dakota, marvels at the green grass and blue sky. Ik-
to four days with a blanket and a pipe, but without food or
tomi and Ite introduce Tokahe to buffalo and show him
water. Upon returning, the vision may be discussed with the
tipis, clothing, and hunting utensils. Tokahe returns to the
wicasa wakan (holy man). Often the meaning of the vision
village and appeals to six other men, and their families to
is not readily apparent and the individual may be told to wait
travel with him to the earth’s surface. When they arrive, they
for knowledge and understanding.
discover that Iktomi has deceived them. The weather has
Third rite. The third rite is Wanagi Wicagluha (keeping
turned bad, and they find themselves starving. Unable to re-
of the spirit). Spirit keeping is a rite performed by a mourner
turn to their home, but armed with a new knowledge about
for one year to grieve for a lost loved one. When a person
the world, they survive with the help of their relative the buf-
dies the spirit can linger around the family and community.
falo. The skull of this animal is a significant symbol that rep-
According to Black Elk, “this rite purifies the souls of our
resents Lakol Wicoh’an (the traditional way of life).
dead, and our love for one another is increased” (p. 10). A
The Seven Sacred Rites. According to contemporary
special place is set up for the spirit, who is fed every day.
Lakota oral historical accounts and discussions with elders,
Members of the family and community can come and visit,
the following is a description of the Seven Sacred Rites of the
eat, and sit with the spirit and family. After one year the spirit
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAKOTA RELIGIOUS TRADITIONS
5297
is ceremonially released and the mourning period is formally
and considered sacred. Twins are particularly auspicious and
ended. It is usual among the Lakota for the mourning family
considered intellectually mature at birth. Many rites help de-
to refrain from attending or participating in secular activities,
velop the proper behavior of children through observation
gatherings, or events during this formal grieving period.
and listening.
Fourth rite. The fourth rite is Wiwanyang Wacipi (sun
The sacred is the domain of the wicasa wakan (holy
dance). The Sun Dance is often considered the most impor-
men), who conduct all spiritual ceremonies. The most im-
tant rite, and it is held during the summer when the moon
portant symbol is the sacred pipe, whose smoke represents
is full. In times past a number of Plains bands of the Lakota
prayers offered to Wakan Tanka. In addition to its general
would gather at a prearranged location for the annual meet-
interpretation as something like “great spirit,” this single
ing of the Oceti Sakowin; this was the occasion prior to
name refers to important beings and powers, half of which
Greasy Grass. It was during this annual gathering that the
existed prior to the creation of the earth, and half as a result
Sun Dance ceremony was held. During the ceremony, danc-
of it. Wakan Tanka, in the sacred language of the medicine
ers pledge to make offerings of their flesh so that “much
men, underscores the belief that all sacred things come in
strength would be given to the nation” (p. 99) and to fulfill
fours. The root wakan (sacred) is a dynamic concept indicat-
personal vows. The choice to participate is solely that of each
ing the potentiality of anything to transform from the secular
individual. It is usually the result of receiving a sacred dream
to sacred. Iktomi the trickster named all things, taught cul-
or is undertaken to seek assistance in healing a sick loved one.
ture to humans, and remains on the earth to continually de-
The sacred tree that is placed at the center of the dance area
ceive them. The trickster is smart and works to fool humans
symbolizes Wakan Tanka, the center of the universe.
for his own benefit. His is the power to deceive. Iktomi sto-
ries frequently are told with humor and serve as lessons for
Fifth rite. The fifth rite is Hunkapi (making relatives).
young children as well as adults since Iktomi often plays the
It establishes a “relationship on earth, which is a reflection
fool. But he is capable of bringing real danger and destruc-
of that real relationship” with Wakan Tanka (p. 101). It was
tion, as well.
usually performed to unite a younger person with a family,
and it can be a way of solidifying relationships with other in-
Contemporary religion. All of the Seven Sacred Rites
dividuals as well as Wakan Tanka. This ceremony represents
are still performed, with the exception of Tapa Wan-
the formal adoption of people as relatives.
kayeyapi. In addition, a vital religious practice known as Yu-
wipi became popular in the twentieth century. It encompass-
Sixth rite. The sixth rite is Isnati Awicalowanpi (puberty
es a number of cultural concepts related to traditional life
ceremony). The ceremony takes place after a girl’s first men-
and problems confronting contemporary Lakota peoples.
ses, and prayers are said to ensure the girl will grow up to
This rite is performed in a darkened room under the supervi-
have all the virtues of a Lakota woman and understand the
sion of a Yuwipi man or wicasa wakan. The object is to cure
meaning of her new role, and to formally announce her eligi-
a person and at the same time to pray for the general welfare
bility as a potential wife and mother.
of all Indian people and for long life for the kinship group.
Seventh rite. The seventh rite is Tapa Wankayeyapi
Some Yuwipi men possess an exceptional ability that allows
(throwing the ball), a game “which represents the course of
them to locate lost items or people.
a man’s life” (p. 127). A young girl stands at the center and
throws a ball upward and to the four corners as people vie
BIBLIOGRAPHY
to catch it. The person to catch the ball is considered more
Brown, Joseph Epes, ed. The Sacred Pipe: Black Elk’s Account of
fortunate than the others, for the ball is symbolically equated
the Seven Sacred Rites of the Oglala Sioux. Norman, Okla.,
with knowledge.
1953. An interview during the winter of 1947 with the La-
kota medicine man Nicholas Black Elk on the Seven Sacred
Essential beliefs. For the Lakota, the nature of the uni-
Rites, inspired by earlier interviews by John G. Neihardt.
verse is a whole, and above, below, and around are all part
Deloria, Ella C., ed. Dakota Texts. New York, 1932. The best bi-
of that whole. Life is seen as a series of recurrent travels, and
lingual compilation of Lakota mythological texts by an au-
each person has a purpose to fulfill, one that will support and
thor who was both Lakota and an anthropologist.
benefit the community.
Densmore, Frances. Teton Sioux Music. Washington, D.C., 1918.
People live through four generations: childhood, adoles-
Contains a number of interviews with Hunkpapa medicine
cence, maturity, and old age. When a person dies, one of his
men, transcriptions and translations of sacred songs, and
four souls travels southward, along the Wanagi Tacanku
vivid ethnographic accounts of most of the sacred cere-
(spirit path, identified with the Milky Way), where it meets
monies.
with an old woman who examines its earthly virtues, direct-
Garrett, James J. “The Cheyenne River Tribal College Tatanka
ing the soul either to the spirit world, where there is an un-
(Bison-bison) Management Program.” Masters of Science
ending supply of buffalo and where people rejoin their kin,
Thesis, Humboldt State University, Acata, Calif., 2001.
or back to earth where they are reborn and given another
Neihardt, John G. Black Elk Speaks (1932). Lincoln, Neb., 1979.
chance to live in harmony. Because of this the birth of chil-
Although only a few chapters relate to Lakota traditions, this
dren is a joyful event since they are closest to the spirit world
interview between Nicholas Black Elk and John Neihardt 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
5298
LAKSM¯I
a popular reference for American Indian spirituality. The
Catholic priest, Lamotte was a professor at the Catholic Uni-
problem lies in the reader’s inability to distinguish between
versity of Louvain. His two most significant achievements in
what is Neihardt’s and what is Black Elk’s. Brown’s interview
the field of Buddhist studies were his Histoire du bouddhisme
with Black Elk is much more authentically Lakota.
indien des origines à l’ère S´aka (1958), the most elaborate
Powers, William K. Yuwipi: Vision and Experience in Oglala Ritu-
work thus far on the history of early Buddhism, and his Le
al. Lincoln, Neb., 1982. A translation of a Yuwipi ceremony
traité de la grande vertu de sagesse (1944–1980), an annotated
indicating the relationship between Yuwipi, sweat lodge, and
translation of a large portion of the Ta chih tu lun (Skt.,
vision quest. Includes a chapter on the history of Yuwipi at
*Maha¯prajña¯pa¯ramitopade´sa), which is an encyclopedic trea-
Pine Ridge.
tise on Maha¯ya¯na Buddhism attributed to Na¯ga¯rjuna and
Rice, Julian. Before the Great Spirit: The Many Faces of Sioux Spiri-
translated into Chinese by Kuma¯raj¯ıva.
tuality. Albuquerque, N.M., 1998. A publication on Sioux
spirituality with chapters that examine a variety of aspects,
His ten years of collaborative work with Louis de La
including tricksters, symbols, the Thunders, and James
Vallée Poussin (1869–1938) were more decisive in the for-
Walker in light of Ella Deloria’s writings.
mation of Lamotte’s thought than were his short periods of
Valandra, Edward Charles. “Lakota Buffalo Theology: Implica-
study in Rome (1926–1927) and Paris (1931–1932). If the
tions for Buffalo Reintroduction into the Great Plains.” Mas-
monumental writings of these two masters of the French-
ters Thesis, University of Colorado, Boulder, Colo., 1993.
language school of Buddhist philology are compared, one re-
Walker, James R. The Sun Dance and Other Ceremonies of the
alizes a great complementarity in their achievements. La Val-
Oglala Division of the Teton Dakota. New York, 1917. An
lée Poussin’s glittering genius is swift and full of illuminating
early publication on the cosmology and rituals of the Oglala.
and often paradoxical insights into every part of his field of
Some of the myths should be read judiciously as they are ob-
study. Lamotte’s genius is reflected in the remarkable organi-
vious romantic reconstructions of Lakota myth from a classi-
zation of the exegetical work that formed his voluminous
cal Greco-Roman perspective.
books. Each element of his books—chapter, paragraph, foot-
Walker, James R. Lakota Belief and Ritual. Edited by Raymond
note (often constituting a comprehensive monograph)—
J. DeMallie and Elaine Jahner. Lincoln, Neb., 1980. Previ-
ously unpublished papers of J. R. Walker, mainly interviews
contributes to the brightness of the synthesis of a broad range
with Oglala men, some of whom were medicine men.
of information by diffusing its own particular light.
White Hat, Albert, Sr. Reading and Writing the Lakota Language.
Lamotte’s exegetical work centered on doctrinally im-
Edited by Jael Kampfe. Salt Lake City, 1999. Well-written
portant texts, mostly of the ´sa¯stra (treatise) type preserved
and adapted language text that presents the interplay be-
primarily in Tibetan or Chinese. At first attracted to the
tween culture and language through stories as well as the im-
Yoga¯ca¯ra (Idealist) school, he produced a study (1935) on
portance of language in reflecting the characteristics of the
the Sam:dhinirmocana Su¯tra and a commentary (1938–1939)
people.
on Asan˙ga’s Maha¯ya¯nasam:graha titled La somme du grande
Wissler, Clark. Societies and Ceremonial Associations in the Oglala
véhicule d’Asan˙ga (Maha¯ya¯nasam:graha). His interest shifted
Division of Teton Dakota. New York, 1912. One of a number
to Vasubandhu’s Karmasiddhiprakaran:a and to the seven-
of monographs by the former curator of the American Muse-
teenth chapter of Candrak¯ırti’s Prasannapada¯, a commentary
um of Natural History on Lakota religion. This monograph
addresses the nature and function of dream cults and the
to the Madhyamakaka¯rika¯s by Na¯ga¯rjuna. This last work ini-
modern Yuwipi.
tiated his choice of Ma¯dhyamika texts for the remainder of
Young Bear, Severt, and R. D. Theisz. Standing in the Light: A La-
his career. In addition to the already mentioned Traité
kota Way of Seeing. Lincoln, Neb., 1994. Documents the
(Maha¯prajña¯pa¯ramitopade´sa), he translated two related
founder and for many years lead singer of the Porcupine
Maha¯ya¯na su¯tras: the Vimalak¯ırtinirde´sa (1962; translated
Singers, Severt Young Bear. His narrative presents Lakota
into English as The Teaching of Vimalak¯ırti, 1976) and the
culture, the importance of names, and rich detail on the sig-
S´u¯ram:gamasama¯dhi (1965).
nificance of music in Lakota life.
Lamotte’s Histoire du bouddhisme indien des origines à
WILLIAM K. POWERS (1987)
l’ère S´aka is an epoch-making synthesis based on multilingual
JAMES GARRETT (2005)
documents (including Greek and Chinese) and incorporat-
KATHLEEN J. MARTIN (2005)
ing the latest developments in Indian epigraphy, archaeolo-
gy, and linguistics. The first volume traces the development
LAKSM¯I
of Buddhism up to the emergence of the Maitreya cult. The
SEE GODDESS WORSHIP, ARTICLE ON
second volume was never finished. Some parts of this pro-
THE HINDU GODDESS
jected second volume, however, have been published sepa-
rately, including “Mañju´sr¯ı,” T’oung pao 48 (1960): 1–96,
LAMAISM
and “Vajra¯pan:i,” in Mélanges Demiéville, vol. 1 (1966),
SEE TIBETAN RELIGIONS
pp. 156–168.
BIBLIOGRAPHY
LAMOTTE, ÉTIENNE (1903–1983), Belgian spe-
Biographical and bibliographical information on Lamotte is avail-
cialist in Indian Buddhist doctrine and history. A Roman
able in the Notice published by the Imprimerie Orientaliste
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LANG, ANDREW
5299
(Louvain, 1972). This work has been supplemented by D.
SEE ALSO Sagas.
Donnet’s “L’œuvre de Mgr É. Lamotte,” in Indianisme et
bouddhisme: Mélanges offerts à Mgr Étienne Lamotte (Louvain,
BIBLIOGRAPHY
1980), pp. vii–xvi.
There is no comprehensive treatment of the landvættir, although
Lamotte, É. S´u¯ram:gamasama¯dhisu¯tra. The Concentration of Heroic
the literature on similar beings in recent Scandinavian lore
Progress. Translated by Sara Boin-Webb. Surrey, U.K., 1998.
is extensive. The fullest treatment is in the chapter
“Landvættir,” in Ólafur Briem’s Heid-inn sid-ur á Íslandi
HUBERT DURT (1987 AND 2005)
(Reykjavík, 1945), pp. 71–90.
JOHN LINDOW (1987 AND 2005)
LANDVÆTTIR in Old Norse means literally “land
wights,” the guardian spirits of an area. The Landnámabók
(the Icelandic “book of settlements,” extant in thirteenth-
LANG, ANDREW (1844–1912), was a Scottish an-
century redactions but based on still older traditions) tells of
thropologist and folklorist. Born in Selkirk, Scotland, Lang
a tenth-century settler who struck a deal with one of the
received his education at Saint Andrews, Glasgow, and Ox-
landvættir and thereafter became a wealthy man. The same
ford universities. For seven years he was a fellow of Merton
text cites an ancient law warning that the dragon-head orna-
College, where he was regarded as a brilliant and promising
ment on a ship’s prow should be removed before land is
classicist. After his marriage, he left Oxford, embarked upon
sighted, so as to avoid frightening off the landvættir. The
a career as a literary journalist, and became widely known for
early-thirteenth-century Egils saga tells that Egill once erected
his editions of fairy tales, his contributions to folklore and
a pole with a horse’s head and uttered a magic formula in-
anthropology of religion, and his literary essays and reviews.
tended to arouse the landvættir to drive off the land’s king.
Although Lang’s range of interests and learning was consid-
The Óláfs saga helga (Saga of Olaf the Saint, in Snorri Sturlu-
erable, his scholarly work was devoted to topical intellectual
son’s Heimskringla), reports that Harald II once sent a man
issues, and he made no major contribution to the develop-
of magic powers on an out-of-body journey to Iceland; there
ment of knowledge. He was an astute critic of the theories
the man saw that the mountains and mounds were full of
of others rather than an original thinker. He was among the
landvættir, both large and small.
founders of the British Folklore Society and near the end of
The emphasis on landvættir in Icelandic sources, partic-
his life was president of the Society for Psychical Research.
ularly the Landnámabók, may have to do with Iceland’s sta-
As a professional man of letters, Lang wrote prodigious-
tus as a newly discovered and settled land where, according
ly. He was the author of 120 books (including pamphlets)
to folk tradition, the supernatural “owners” of nature had
and was involved in more than 150 others either as editor
previously ruled unhindered by humans. The Landnámabók
or as contributor, and his periodical articles number in the
tells also about a man killed by the landvættir. Insofar as Ice-
thousands. At a time when the growing British and American
land was unknown and hence mysterious, its supernatural
intelligentsia were intensely interested in issues of science and
beings were threatening; but as people settled the land and
scholarship, Lang’s penetrating intellect and skillful writing
made it theirs, these beings became increasingly friendly and
made him a leading figure, especially in the newly developing
potentially helpful. The distinction may be viewed in the
fields of anthropology, folklore, and history of religions.
modern Scandinavian descendants of the landvættir: nisser
Lang is credited with demolishing the great Max Mül-
and tomtar live on and about farms and are helpful if treated
ler’s philological approach to the study of myth and his pop-
with respect, whereas trolls and similar creatures live in unin-
ular theory that all myth was the result of a “disease of lan-
habited forests and mountains and are always dangerous.
guage.” In Modern Mythology (1897) Lang used his extensive
Icelandic folklore tells of a “hallowing” of the island
knowledge of comparative mythology to show that the
Drangey by the thirteenth-century bishop Gud-mundr the
themes in Indo-European mythology that Müller explained
Good, in which he drives off the landvætttir, here understood
in terms of Indo-European philology, many of them con-
as evil spirits and trolls; he leaves a small portion of the island
cerning solar phenomena, were also present in myths from
for them to inhabit. The landvætttir seem therefore to belong
other parts of the world and could be accounted for by the
more to pre-Christian than to Christian Iceland. The term
more universal tendency to personify nature. Although Lang
is not common in more recent folklore; when encountered,
did not himself offer a new theory of myth, he regarded my-
it seems to be a collective for supernatural nature beings.
thology as the key to the “actual condition of the human in-
Even so, belief in the landvætttir may have persisted even
tellect” (Myth, Ritual, and Religion, 1887, vol. 1, p. 29), and
after the conversion to Christianity. This is indicated by a
he thought that myth had to be understood according to its
prohibition of such belief in medieval Norwegian law. Al-
own form of rationality. In this respect, Lang anticipated
though one cannot truly speak of “worship” of the landvættir,
major developments in the contemporary study of myth in
ritual activity to ensure their cooperation and protection
anthropology and history of religions.
(such as leaving out food for them in uninhabited areas) per-
In Magic and Religion (1901) Lang wrote a detailed crit-
sisted as part of this belief.
icism of the illustrious James G. Frazer’s theory of magic 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
5300
LANGER, SUSANNE
religion. He exposed the flaws in Frazer’s evolutionary theory
thology (1897; New York, 1968); and Magic and Religion
that magic preceded religion and that religion arose from the
(1901; New York, 1969). His two works on parapsychologi-
perceived failures of magic. Lang also took Frazer to task for
cal phenomena are Cock Lane and Common-Sense (1894;
explaining the divinity of Christ in terms of ritual king-
New York, 1970) and The Book of Dreams and Ghosts (1897),
killing and myths of dying-rising gods, and he produced a
rev. ed. (1899; New York, 1970). A useful source for infor-
devastating criticism of Frazer’s theory of ritual regicide and
mation regarding Lang’s life and his enormous literary out-
put is Roger L. Green’s Andrew Lang: A Critical Biography
his comparative method in The Golden Bough, questions on
with a Short-Title Bibliography of the Works of Andrew Lang
which later scholarly opinion agreed.
(Leicester, 1946).
Although Lang was a proponent of E. B. Tylor’s evolu-
New Sources
tionary theory of animism, he rejected Tylor’s view that the
Turner, Bryan S., ed. The Early Sociology of Religion, vol. 4: The
idea of God arose as a late development from the animistic
Making of Religion by Andrew Lang. London, 1997.
notions of souls, ghosts, and spirits. He pointed out in Myth,
Ritual, and Religion that the concept of a creator god who
BENJAMIN C. RAY (1987)
Revised Bibliography
is moral, fatherly, omnipotent, and omniscient is found
among the most culturally primitive peoples of the world.
Hence, on the evolutionists’ own grounds, the idea of God,
having been found among the culturally simplest peoples,
LANGER, SUSANNE. Susanne Katherina Knauth
could not have arisen from ideas of ghosts and souls as a later
Langer (1895–1985) was a German-American philosopher.
development. Lang’s criticism on this point was among the
She was born the second of five children in an affluent bank-
first of many that eventually led to the downfall of evolution-
ing family. Educated at the Veltin School in Manhattan,
ism in anthropology. Lang’s own view was that the idea of
Langer primarily spoke German as a child. Nurtured in a cul-
the soul-ghost and the idea of God had totally different
turally rich environment, she developed an interest in aes-
sources and that the idea of God may have preceded ani-
thetic forms that would mark her philosophy. Educated at
mism, though he recognized that the issue of priority could
Radcliffe College, she tutored there (1927–1942) and held
never be historically settled. Lang thought, however, that the
positions at the University of Delaware (1943), the Dalton
idea of God may have been prior and that it may have been
School (1944–1945), New York University (1945–1946),
corrupted and degraded by later animistic ideas and pushed
Columbia University (1945–1950), Northwestern Universi-
out of its originally central position. Although Lang’s em-
ty (1951), Ohio State University (1951), the University of
phasis upon the presence of “high gods” among culturally
Washington (1952–1953), the New School (1950), the Uni-
primitive peoples was largely ignored in England, it was
versity of Michigan (1954), and Wesleyan University
taken up by other scholars and made the subject of major
(1954). Her first permanent appointment was at Connecti-
investigation in anthropology (Wilhelm Schmidt, E. E.
cut College for Women (1954–1962) in New London. In
Evans-Pritchard) and history of religions (Nathan Söder-
her later years (1962–1985), she lived alone in a farmhouse
blom, Raffaele Pettazzoni, Mircea Eliade).
in Olde Lyme, Connecticut, and her research was funded by
In later life, Lang developed an interest in psychic phe-
the Edward J. Kauffmann Foundation. By this time in her
nomena—ghosts, telepathy, crystal gazing, fire walking, ap-
life, she had been honored with many degrees, the Radcliffe
paritions, spiritualism—and he wrote two books on the sub-
Founders Award, and election to the American Academy of
ject. Although he treated ghost stories as a form of folklore,
Arts and Sciences. She died at the age of eighty-nine, only
he thought that the psychological experience that gave rise
three years after her final book appeared.
to them might have some foundation in reality and that it
Although Langer was a philosopher, her later insights
might have been the original source of religious belief. In this
on symbols, myth, and aesthetic experience made her influ-
matter, however, Lang stood alone and somewhat in disgrace
ential throughout all of the humanities. Langer’s early writ-
among his folklore colleagues. What Lang seems to have
ing demonstrates her interest in symbols and their relation-
been groping for was a way of documenting and exploring
ship to human potential. Influenced by Alfred North
the experience of what Rudolf Otto was later to call “the nu-
Whitehead’s earlier work on symbols, Langer’s Practice of
minous,” which Otto and subsequent phenomenologists of
Philosophy (1930) considers the nature of revolutionary
religion held to be both the ancient source and the continu-
thinking, anticipating paradigm theories of science. An Intro-
ing foundation of religious belief.
duction to Symbolic Logic (1937) argues that logic is a concept
central to philosophy, not mere tautology, but part of
SEE ALSO Supreme Beings.
meaning.
BIBLIOGRAPHY
Langer’s mature work begins with Philosophy in a New
Noteworthy among Lang’s many contributions to the study of re-
Key: A Study in the Symbolism of Reason, Rite, and Art (1942).
ligion and mythology are Custom and Myth (1885), 2d rev.
Here she names the symbolic as the defining mark of human-
ed. (1893; Oosterhout, 1970); Myth, Ritual, and Religion, 2
ity and develops a theory that originates symbolic action in
vols. (1887), rev. ed. (1899; New York, 1968); Modern My-
feeling rather than logic. In doing so, she frees the binaries
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LANGUAGE: SACRED LANGUAGE
5301
of mind and body, reason and impulse, autonomy and law.
ing and Form: A Theory of Art Developed from Philosophy in
According to Philosophy in a New Key, from the flux of bodily
a New Key (New York, 1953); Problems of Art: Ten Philosoph-
sensation (the sense data), human minds constantly abstract
ical Lectures (New York, 1957); Philosophical Sketches (Balti-
the forms that affect them. Symbols are far more than com-
more, Md., 1962); and Mind: An Essay on Human Feeling,
municative devices or descriptions of the empirical world;
3 vols. (Baltimore, Md., 1967–1982). Langer’s papers are
the brain endlessly makes them, as evidenced by dreams, reli-
housed at the Houghton Library at Harvard University; a
large collection of her annotated books are archived at Con-
gious experience, art, ritual, and even science. For Langer,
necticut College. For the most complete bibliography, see
symbols worked as both an end and an instrument, a human
Rolf Lachmann, “Der Philosophische Weg Susanne K. Lang-
characteristic and compulsion. All of one’s conceptions are
er (1895–1985),” Studia Culturologica 2 (1993): 65–114.
only held through symbols. While the biological and social
Donald Dryden’s biography in Dictionary of Literary Biogra-
origin of the symbolic is inflected differently in myth, reli-
phy, vol. 270: American Philosophers before 1950, edited by
gion, art, or science, the human drive to symbolize character-
Philip B. Dematteis and Leemon B. McHenry (Farmington
izes every form, and they are equally human acts of meaning-
Hills, Mich., 2003), pp. 189–199, offers a full picture of her
making.
intellectual life. A centennial retrospective symposium on
Langer appears in Transactions of the Charles S. Peirce Society
An account of human emotion, Feeling and Form: A
33 (1997): 131–200.
Theory of Art (1953) extends the symbolic into forms that
are less linguistic, and it offers a fuller account of expression
ARABELLA LYON (2005)
and reception. Langer extends the earlier example of music
to develop an aesthetic theory that includes the place of time,
virtual space, magic, poesis, and traumatic forms. She argues
LANGUAGE
that art is a symbolic form that through its dynamic structure
This entry consists of the following articles:
expresses the forms of experience that language is unfit to
SACRED LANGUAGE
convey. Language—limited by its discursive, sequential
BUDDHIST VIEWS OF LANGUAGE
form—cannot express the emotional content as well as can
presentational forms, such as music and painting. The cre-
ation of aesthetic forms, however, is not an emotional experi-
LANGUAGE: SACRED LANGUAGE
ence; it is an intellectual one of understanding and objectify-
Language, as a fundamental form of human expression, is a
ing emotions.
central element in every religious tradition and can be exam-
ined from a variety of perspectives. This article will not be
Langer’s philosophy is often connected to that of the
concerned with the theological issue of how to assess the
German philosopher Ernst Cassirer. Although they were
truth of religious statements; that is, rather than dealing with
friends—she translated Cassirer’s Language and Myth
language’s function of making propositions about a sacred
(1946)—too frequently their philosophical systems are col-
reality, the focus will be on the kinds of sacral functions to
lapsed and fruitful distinctions lost to the detriment of each.
which language has been put, such as consecration and
Unlike Cassirer, who values science over art, and reason and
prayer, and on the ways in which language itself has been re-
numbers over feeling and language, Langer offers a nonhie-
garded as a manifestation of the sacred.
rarchical model of symbolic forms, one based in biological
evolution (Mind, 1967–1982), and she avoids a communica-
The enormous advances made in the disciplines of lin-
tive model of language, instead conceiving language as form-
guistics and the philosophy of language over the last few dec-
ing and expressing concepts. Furthermore, Langer developed
ades have provided the scholar of religion with the means for
a full aesthetic theory and, through it, a more complex sense
more precise characterization of sacred language and its func-
of symbolic reception and production.
tions. Traditional terms used to describe the forms of sacred
language—such as prayer, praise, and magic spell—though
Langer’s own influence has been significant if underre-
they stand for important thematic concerns, are too broad
cognized. Although women philosophers faced resistance in
and imprecise by themselves to express adequately the rich
the mid-twentieth century, Langer’s books were widely read.
variety of religious functions performed by language and the
Her work remains vital to theology, rhetoric, and aesthetic
complexities involved in accomplishing those ends. The key
philosophy, and references to her writings continue to appear
to the modern understanding of language is to see it as an
in anthropology, psychology, education, and communica-
integrated system of components that are concerned with
tions.
form and purpose, as well as with meaning. Spoken language
manifests itself in the speech act, a type of purposeful human
BIBLIOGRAPHY
activity that can be analyzed in terms of its intended effect
Langer’s books include a collection of German children’s stories,
The Cruise of the Little Dipper and Other Fairy Tales (Green-
within a social context. A speech act involves (1) a language
wich, Conn., 1923); as well as The Practice of Philosophy
in which to embody a message, (2) a speaker to send the mes-
(New York, 1930); An Introduction to Symbolic Logic (Bos-
sage, (3) a hearer to receive it, (4) a medium by which it is
ton, 1937); Philosophy in a New Key: A Study in the Symbol-
transmitted, and (5) a context to which it makes reference.
ism of Reason, Rite, and Art (Cambridge, Mass., 1942); Feel-
Sacred language can be examined in terms of how it gives
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5302
LANGUAGE: SACRED LANGUAGE
distinctive treatment, in turn, to each of these elements of
It was a demiurge that mediated between the created cosmos
a speech act situation. Then we will see how these compo-
and the transcendent god, in whose mind existed the eternal
nents are combined to achieve the various goals of sacred
forms. This idea was taken over by Hellenistic Judaism (in
speech acts.
the writings of Philo Judaeus, 30 BCE–50 CE), where logos was
LANGUAGE AS A MANIFESTATION OF THE SACRED. Perhaps
identified with the biblical “Word of God”; from there it
the most interesting examples of the intersection of religion
came to influence Christianity, which around 150 CE began
and language are those cases in which language has been
to refer to Jesus as the Logos. The Christian view of the Logos
viewed not just as a means for referring to or communicating
seems to stress its quality as language, word, and message,
with the sacred realm but as an actual manifestation of a sa-
rather than as mere thought; and besides the world-ordering
cred power. Some of the most sophisticated understandings
function, there is the idea that the Logos is a principle of sal-
of language as a sacred power entail the belief that it was a
vation as well, delivering the message that shows the way to
fundamental force in the creation of the cosmos. Such ideas
return to the condition of original cosmic purity. Such a con-
are widespread.
ception of the double movement of creative language is
found within the Indian Tantric system also.
Language and creation. The Karadjeri of Australia, for
example, say that it was only from the moment that the first
The widely influential Tantric philosophy (which began
two humans gave names to all the plants and animals, on the
to reach its classical articulation around 1000 CE) developed
first day of creation, that those things really began to exist.
earlier strands of Indian speculation on language into a full-
The texts of ancient Sumer provide the first example of the
blown cosmogonic and soteriological system. The supreme
commonly found Near Eastern doctrine of the creative
deity of Hindu Tantrism, S´iva, is pure consciousness and
power of the divine word. The major deities of the Sumerian
thus silent. But in his first manifest form he unites with his
pantheon first plan creation by thinking, then utter the com-
consort, Va¯c (“speech”), who is also termed S´iva’s ´sakti
mand and pronounce the name, and the object comes into
(“power”), the female agency through which the process of
being. Well-known is the biblical version of this same theme,
creation will proceed. Creation begins with a subtle vibration
in which God brings order out of chaos by simply speaking
that develops into the “mothers of the letters” of the Sanskrit
(“Let there be light,” Gn. 1:3) and by naming (“God called
alphabet, then into the words of speech, and finally into the
the light Day, and the darkness he called Night,” Gn. 1:5).
referents of those words, namely, the concrete objects of the
Adam’s giving of names to the plants and animals in the sec-
world. Certain monosyllabic vocables, called b¯ıja mantras
ond chapter of Genesis, like the Australian example above,
(mantras are syllables, words, or whole sentences that serve
confirms mere physical existence with linguistic existence.
as both liturgical utterances and meditational devices), are re-
garded as the primordial forms of this linguistic evolution
The religions of India, extending back into the earliest
and, therefore, as sonic manifestations of basic cosmic pow-
recorded forms of Hinduism in the Vedic period (c. 1000
ers: literally “seeds” of the fundamental constituents of the
BCE), contain the most developed speculations about the cos-
universe. For example, ya¯m: is equivalent to wind, ra¯m: to fire.
mic role of language. Several of the Vedic texts record the
Importantly, the Tantric adept who masters the use of man-
story of a primordial contest between speech and mind to
tras is felt to know how to control the process of cosmic evo-
see which is the most fundamental and essential force. While
lution, and to be able to reverse that process to take himself
mind always wins, there is still the acknowledgement that
back to the condition of primordial unity and silence that
speech is a basic cosmic force. One Vedic god, Praja¯pati, who
constitutes the goal of Tantric practice.
in the Bra¯hman:as (c. 800 BCE) figures most prominently as
the god of creation, speaks the primal syllables bhu¯r, bhuvah:,
A very similar conception of cosmic evolution as identi-
svar to create the earth, atmosphere, and heaven. He is said
cal with linguistic evolution was developed in Qabbalah, the
to give order to the world through name and form
medieval tradition of Jewish mysticism. The main idea here
(na¯maru¯pa), which are elsewhere called his manifest aspects.
was that God himself was totally transcendent, but flowing
These two terms are key elements in much of later Hindu
forth from him were a series of ten emanations of light (sefi-
philosophy, standing for the two basic dimensions of reality.
rot) that were his manifest and knowable aspects. However,
The single most important term from this earliest stratum
parallel to the emanation doctrine existed the conception of
of Indian thought on language is va¯c. Meaning “speech,” it
creation as the unfolding of the divine language. Instead of
has been personified as an independent deity, the goddess
realms of light, there issued forth a succession of divine
who is Praja¯pati’s wife and who is, in some places, given the
names and letters, namely, the twenty-two consonants of the
role of the true active agent in creating or, more accurately,
Hebrew alphabet. As in Indian Tantrism, such a belief led
becoming the universe.
to a tradition of powerful word-magic; the initiate into the
practices of Qabbalah was supposedly capable of repeating
Among the Western religious traditions, a comparable
acts of cosmic creation through proper combination of the
idea has been expressed in the doctrine of the logos. It was
Hebrew letters.
developed in the ancient world through a combination of
Platonic, Aristotelian, and Stoic ideas. Logos was viewed as
Language as a sacred substance. A hallmark of the
the rational principle that pervaded and gave order to nature.
modern understanding of language is the realization 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
LANGUAGE: SACRED LANGUAGE
5303
meaning rests on a conventional relationship between the
deity gave them the best of all the languages of mankind;
signified and the signifier. The latter (e.g., a word) is com-
thus they call it “true language.”
prised of both form (e.g., phonological and grammatical
rules of proper formation) and substance (e.g., its sounds, if
Furthermore, the Chamula distinguish three different
a spoken word). The meaning of a word, however, is not in-
forms of their own language, the most important of which
herent in either its form or substance. In premodern attitudes
is “ancient words,” those which were given to their ancestors
toward language, such distinctions were not usually made.
during the first stages of world creation. These are the formal
In particular, to regard some linguistic manifestation as sa-
phrases used in ritual. This example well illustrates a general
cred did not imply that it was exclusively, or even primarily,
principle. Many traditional peoples, as well as high cultures,
the meaning that was taken to be holy. More often it was
recite sacred doctrines and rituals in an archaic form of
the exact form or even the veritable substance in which it was
speech that is only barely comprehensible to contemporary
expressed that was felt to be the locus of the sacrality. This
speakers. But the language is regarded as sacred, not primari-
is seen most clearly in the reluctance or refusal to allow trans-
ly because it is different from the vernacular, but because it
lation of certain religious expressions into equivalent state-
contains the doctrines of revered figures from the past, such
ments. Religious traditions have often held the position that
as gods, prophets, or ancestors. The desire to express the un-
synonymy does not preserve sacrality. After a brief look at
changing, eternal validity of some scripture or liturgy by not
some examples of language substance that are regarded as sa-
allowing any change over time in its language will necessarily
cred, we will turn to some of the important ways in which
result in the language becoming largely unintelligible to
language form has taken precedence over meaning in various
those without special training. Such is the case for many of
religions.
the prayers (norito) that are spoken by the priests in Shinto¯
shrines, having been preserved in their original classical Japa-
The Dogon of Africa believe that the speech used by the
nese of the tenth century CE. The further passage of time can
priest during ritual action contains a life force, or nyama, that
yield a fully distinct, now “sacred,” language, as the offspring
is conveyed by his breath and becomes mixed with the life
vernaculars develop into independent forms. Such was the
force of the invoked gods and the sacrificial offerings that are
case for Sanskrit in relation to its vernacular offshoots, the
to be redistributed for the benefit of all the people. The
Prakrits, as well as for Latin in relation to the Romance lan-
nyama is given to the priest by a snake deity who appears at
guages.
night and licks his body, thereby conveying the moisture of
the word—the same creative power used by God at the be-
The most prominent place a sacred language will be
ginning of the world to fertilize the cosmic egg. The Cha-
found, aside from in the scriptures, is in the cult. Here the
mula, a Maya community of Mexico, have a similar notion
preservation of archaic forms of language is part of the gener-
of the useful power inherent in the substance of sacred speech
al conservatism of liturgical practice. The inclusion in the
used in ritual, believing that this more formal and redundant
Latin Mass of such ancient and foreign-sounding elements
language contains a “heat” that is consumed by the gods
as the Hebrew and Aramaic formulas “Halleluja,” “Amen,”
along with the other offered substances.
and “Maranatha” and the Greek prayer “Kyrie eleison”
added an element of mystery and sense of connectedness to
Sacred languages. It is well known that many religions
a religiously significant past, which even the Latin phraseolo-
have developed the idea that an entire language, usually other
gy would eventually come to represent.
than the vernacular, is sacred. Such languages are then often
reserved for liturgical or for other functions conveying sacred
Whenever language has become mere form to the com-
power, such as healing or magic. A sacred language usually
mon person, having lost the ability to convey any message
begins as a vernacular through which a revelation is believed
beyond its symbolic representation of a particular manifesta-
to have been received. This can lead to the belief that that
tion of sacrality, there will be a reaction by those who see a
language is particularly suited for revelation—that it is supe-
need for a scripture or liturgy that can once again speak and
rior to other languages and thus inherently sacred. For exam-
teach. Many religious movements have begun on this note,
ple, Sanskrit, the language of the Vedas, the earliest sacred
railing against frozen formalism and demanding—and usual-
scriptures of Hinduism, means literally “perfected,” or “re-
ly producing—vernacular expressions of their religious feel-
fined” (sam:skr:ta). In Islam, the Arabic wording of the QurDa¯n
ings. Buddhism began in this manner, as did many bhakti
is regarded as essential to its holiness; as is said in many pas-
movements in medieval India. The latter stressed vernacular
sages of the book itself, “we have sent it down as an Arabic
compositions—devotional poetry—that often became the
QurDa¯n.” This has sometimes led to the inference that trans-
foundation for the flowering of literature in the regional lan-
lations of the QurDa¯n are not themselves sacred scriptures,
guage. In the West, Luther’s insistence on hearing, under-
but more like mere commentaries. Such belief in the sacrality
standing, and responding to the divine word led to the Prot-
of what originally was a vernacular seem to be special cases
estant use of vernaculars and to the elevation of liturgical
of the widespread idea that one’s people and culture are the
practices, such as the sermon, that stressed not just presenta-
best, superior to others by virtue of a special closeness to the
tion of the scriptural forms but interpretation of the scriptur-
gods. For example, the Chamula of Mexico say that the sun
al message.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5304
LANGUAGE: SACRED LANGUAGE
Sets of sacred words. While not every religion develops
high status will enhance the effectiveness of one’s speech.
the idea of an entire language as sacred, many—perhaps
Thus the Dinka of Africa believe that their priests’ words are
most—do regard some special subset of speech as an embodi-
more effective in invoking, praying, and cursing because they
ment of the sacred. The mere uttering or hearing of words
have within themselves the power of the deity Flesh, who
from this set, which usually takes the form of a collection of
manifests himself in their trembling while they speak.
sacred scriptures, will be believed efficacious, whether or not
At some point in their history, most religions have
the meaning is understood. This emphasis on formulaic, as
struggled with the problem of keeping their tradition of rites
opposed to spontaneous, language brings with it a stress on
and prayers from becoming an empty formalism. One ap-
techniques of preservation and precise recitation of the given
proach has been to insist that a certain quality of heart or
texts, rather than on methods for inspiration and creation of
mind accompany the recitation of the sacred formulas. This
new expressions. The sacred words of scripture are a divine
usually involves a greater attention to the meaning of the lan-
gift to man, which relieve him of the burden of inventing
guage and requires a different attitude on the part of the
his own, merely human, response to the sacred.
speaker than does mere exactness in the repetition of the
Within the set of sacred scriptures, a single passage may
forms. In Vedic India, where precise articulation of the man-
stand out as the holiest of all, and therefore the most effica-
tras became an essential ingredient of an effective ritual, there
cious. Hinduism recognizes the mystic syllable om: as the es-
also developed the idea that the priest who had esoteric
sence of all the Vedas, and the hymn known as the Ga¯yatr¯ı
knowledge of the symbolic import of the ritual, and who si-
(R:gveda 3.62.10), has achieved a place of preeminence
lently rehearsed that knowledge during the performance, had
among all mantras. The smallest unit of sacred language is
the most effective ritual of all. In Indian Tantrism, the man-
the single word, and there have been many candidates for the
tra became a meditational device that had to be uttered with
one that should be regarded as the holiest. However, the
the proper consciousness to be effective. The goal was to have
most widely recognized sacred word is the name of a god.
the worshiper’s consciousness blend with the thought-power
This stems from a common association of the name of some-
represented by the mantra. A final example is the Jewish con-
one with that person’s soul. Utterance of the name was felt
cept of kavvanah. In Talmudic writings, this was a state of
to give power over the being. So the name of God in various
mental concentration appropriate for prayer. But in the sys-
religions has alternately been taboo—to be avoided because
tem of the Qabbalah, this became, during the recitation of
likely to incite the awesome power of the deity—and a focal
a prayer, a form of single-minded meditation on the cosmic
point of prayer, meditation, or magic. The Igbo of Africa try
power to which the prayer was addressed. This gave one
to avoid using the names of gods they consider particularly
power over that cosmic element or allowed one’s soul to as-
capricious, employing instead such circumlocutions as “The
cend to that cosmic realm.
One Whose Name Is Not Spoken.” On the other hand, for
THE HEARER. There may be a great difference in perspective
the S:u¯f¯ıs, the mystics of Islam, the intense repetition of the
on the issue of the sacrality of language between the speaker
divine name over and over again in the practice of dhikr is
and the hearer or audience. The characterization of a sacred
regarded as one of the most effective means of achieving the
language as unintelligible and valued only for its form, dis-
highest state of pure, undivided consciousness of God.
cussed above, would apply, then, only to the untutored audi-
THE SPEAKER. Just as form may take precedence over con-
ence, and not to the priestly speaker who had been taught
tent, so too the messenger may be a more important determi-
that language. Often, however, even a priest will be ignorant
nant of the sacrality of language than the message. Certainly
of the meaning of the words he uses, as is the case today, for
the characteristics possessed by the speaker have often been
example, among many of the Hindu brahmans who use San-
regarded as significant factors contributing to, or detracting
skrit recitations in their rituals, or the Buddhist monks who
from, the sacral impact of the words uttered. The greatest
chant the Pali scriptures.
impact comes when the speaker is regarded, in effect, as
In many applications of sacred language, the intended
being a god. Very dramatic are those cases where a god is be-
hearer is a god. However, unlike the addressee in ordinary
lieved to talk directly and immediately through a person in
conversational situations, the addressed gods seldom speak
the present. Here we have what has been called prophetic or
back. The pattern of use most typical for sacred language—as
charismatic speech, which stands in contrast to liturgical
in ritual or prayer—is not dialogue, with responsive ex-
speech by representing a fresh and instantaneous infusion of
changes between a speaker and hearer who alternate roles,
sacrality. It may take such forms as speaking in tongues (glos-
but monologue. Or, in a ritual, there may be multiple speak-
solalia), or acting as a medium, oracle, or prophet.
ers, but seldom are they responding to or addressing one an-
For human speakers, in any case, their status will affect
other; rather they are prompted by cues of form to utter what
the sacrality attributed to their words; particular status may
the text calls for next, in a pattern that could be called orches-
even be a necessary precondition for the use of sacred words.
trated.
Priests, for example, may have exclusive rights to the use of
THE MEDIUM. The spoken word uses the medium of sound
liturgical utterances. In India, only the three upper classes
for its transmission. This gives it qualities that make it quite
were allowed to perform rites with Vedic mantras. Certainly
distinct from the written word, conveyed through the 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
LANGUAGE: SACRED LANGUAGE
5305
um of print. This article focuses on sacred language as spo-
THE CONTEXT. Full understanding of any speech act re-
ken, leaving to others the discussion of sacred forms of writ-
quires knowledge of the context in which it occurs. Language
ten language.
regarded as sacred quite often has for its context a ritual set-
ting. In that case, the intended effects of the speech acts are
Many scholars in the past few decades have come to un-
largely confined to the domain of the ritual. Some rituals do,
derstand and emphasize the numerous differences between
of course, intend their effects to carry over into the nonritual
oral cultures and literate cultures. One key difference is that
environment as, for example, when the priest says “I now
preliterate peoples regard the speaking of an utterance as an
pronounce you man and wife.” Sacred language may also
act that manifests power; the word is viewed as an active
find expression in settings other than ritual, in the case of
force that is immediately involved in shaping the world. In
spontaneous prayers or the occasional use of magic spells, for
contrast, the written word comes to stand for lifeless abstrac-
example.
tion from the world.
The relationship between ritual language and its context
The medium of sound has a number of flexible qualities
is much different from that between ordinary language and
that can be manipulated to express nuances of power and sa-
its context. Since ritual language is, for the most part, the
crality in ways that go beyond the meaning of the words.
repetition of a fixed text, it precedes and, in effect, creates
These range from variation in tone and speed to the use of
its context rather than reflecting and representing in speech
sound patterns such as rhythm and rhyme. The simplest of
a context regarded as prior and already defined. Therefore,
these vocal but nonverbal (or paralinguistic) features is varia-
much ritual language is directed toward defining the charac-
tion in loudness. In the high cult of Vedic India, for example,
teristics of the participants and the nature of the ritual situa-
three major variations were used for the mantras: (1) aloud,
tion. The rich symbolism of both object and action that
for the priest who recited the hymns of praise; (2) muttered,
marks off ritual behavior from ordinary behavior will add yet
for the priest who performed most of the physical handi-
another distinctive trait to ritual language. Its message is
work; and (3) silent, for the priest who sat and watched for
often paralleled in the symbolic systems of those other
errors in the performance. The loud recitations of praise were
media—the visual and tactile properties of the physical ob-
further divided into high, medium, and low tones, with the
jects, the kinesthetic sensibilities of gesture and movement—
louder portions also spoken at a faster pace. The instructions
which then serve to reinforce, enhance, or even complete the
for the traditional (Tridentine) Mass of Catholicism also
verbal meaning. For example, as the Dinka priest recites an
called for three different tones, from aloud to inaudible.
invocation over the animal victim during a sacrifice, he ac-
companies each phrase with a thrust of his sacred spear to
While heightened sacrality, as in a liturgical climax, is
ensure that his words “hit the mark” and weaken the beast
sometimes marked by the loudest dynamic, often it is just
for the final physical act of killing. During the reciting of the
the opposite. Silent speech or pure silence have often been
Institution in the Mass, the priest breaks bread and offers the
regarded as the highest forms of religious expression. Thus,
cup of wine to reenact the Last Supper and, thus, give parallel
many times in the history of the Mass, the Canon—the cli-
reinforcement to the words that make reference to the same
mactic hallowing and offering of the sacraments—has been
event.
recited inaudibly, or so softly that only those immediately
around the celebrant can hear. In Indian Tantra an explicit
LANGUAGE IN SACRED FUNCTION. The several speech act
doctrine developed according to which “prayer without
components just surveyed, from language itself to the con-
sound is recommended as the most excellent of all.” Among
text in which it is spoken, combine to achieve the final prod-
the Zuni of North America, a person’s most prized prayers
uct of the sacred utterance. There has been a wide variety of
are said only “with the heart.”
terms used to describe the possible intended effects (or, in
linguistic terminology, illocutionary forces) of words used in
Other modifications of sound may be used to set off
the service of religious ends. However, it seems possible to
some speech as particularly sacred. For example, the Zuni
reduce this multiplicity to two basic categories of purpose:
have another category of nonordinary language, used primar-
(1) transforming some object or state of affairs and (2) wor-
ily in ritual, that they say is “raised right up.” In this form
shiping spiritual beings. These categories correspond, in
they give strong stress and high pitch to ordinarily weak and
some measure, to the traditional views of sacred language as
low syllables. The most refined way of giving form to the
either magic spell, the self-effective word of power, or prayer,
sounds of language is to craft them into poetry or song. Ad-
the petitionary communication with a god. That phrasing,
herents of many religions have felt that these forms possessed
however, overstates the dichotomy. It is all too customary to
more magical power than prose or are more fitting modes
regard the formulas in one’s own religion as prayers and
of expression for the very solemn. For example, the tradition-
those of another’s as spells.
al distinction between low and high Mass is based primarily
on the use in the latter of a sung or chanted liturgy. In the
There is, in fact, an important trait held in common by
Vedic high cult, the more lavish and important rituals were
both transforming and worshiping forms of language when
marked by the addition of a sung portion taken from the
they are employed in the context of ritual. As remarked earli-
Sa¯maveda.
er, most ritual language comes from a preexisting text 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
5306
LANGUAGE: SACRED LANGUAGE
is repeated verbatim during the performance. It conveys little
between ritual activity and desired end is expressed in the
or no information to any of the ritual participants, since
Catholic Mass by a third-person optative: “May the body of
nothing new is being said. Therefore, it might be best to
our Lord Jesus Christ preserve my soul for everlasting life.”
characterize the overall purpose of ritual language as creating
This is said by the priest when he takes communion himself.
and allowing participation in a valorized situation, rather
But when he offers the sacrament to others he turns the wish
than communicating information.
into a blessing: “May the body of our Lord Jesus Christ pre-
serve your soul for everlasting life.” When one utters a wish
Language and transformation. It has already been
that some negative condition may come about for another,
noted above that there is a significant difference between sa-
it is a curse.
cred language uttered within the context of a ritual and that
spoken outside of such a setting. A ritual is a self-contained
One may also direct the ritual objects to bring about a
and idealized situation in which the participants and objects
goal, as when the Vedic priest calls on the firmly fixed baking
momentarily take on changed identities in order to play out
tile: “You are firm. Make the earth firm. Make life firm.
sacred roles. The words of the liturgy are the chief instru-
Make the offspring firm.” Or, finally, past-tense indicative
ments by which these transformations take place.
utterances may be used simply to declare that the wished-for
state of affairs has indeed come about. Navajo blessing
The human participants. First of all, the human obser-
prayers regularly conclude on such a note of verbal accom-
vants need to express their pious qualifications for undertak-
plishment.
ing the ritual. First-person indicative utterances are most fre-
quently used to accomplish this task. In Christianity, for
There are some transformations that are supposed to
example, the proper identity of a repentant sinner and believ-
carry over into, or take place in, nonritual settings. The mar-
er in the correct doctrine becomes manifest through the reci-
riage pronouncement is one such instance. These verbally ac-
tation of the Confession, “I confess to almighty God . . .
complished acts that bring about a change in status were
that I have sinned,” and the Creed, “I believe in one
closely studied first by the philosopher J. L. Austin, who
God . . .”
called them “performative utterances.” Following his lead,
some scholars have interpreted the magic spell as a simple
Some ritual traditions involve transforming the human
case of a performative act that is felt to bring about a change
into a divine being, in many cases by using language that
in condition through the proper application of wholly con-
states an identity between parts of their bodies. This is a com-
ventional rules—just as turning two single people into a mar-
mon theme in Navajo healing rites. One prayer, for example,
ried couple requires only the recitation of the correct set of
describes the deeds of two Holy People at the time of cre-
words under stipulated circumstances. Others, however,
ation, and then continues: “With their feet I shall walk
have pointed out that there is a difference between the con-
about; . . . with their torso I shall walk about.” The priest
ventional, socially recognized condition of being married and
in a Vedic ritual must also establish his partial identity with
the brute, physical facts of illness or even death, which magic
the gods, using such mantras as, “I pick you [grass bundle]
spells have regularly been employed to bring about. Thus
up with the arms of Indra.”
when the priest at a Vedic sacrifice thrusts a wooden sword
The ritual objects. The transmundane character of the
into the ground and says “O gods, he who hates me . . . his
ritual objects is, in a parallel fashion, often conferred or made
head I cut off with Indra’s thunderbolt,” words are being
explicit by indicative phrases. Most of the implements at a
used to connect a ritual or magical action with a desired end
Vedic sacrifice are addressed by the priest with second-
that is more than just a conventional reality.
person utterances, such as this one to a wooden sword: “You
Language and worship. The most prominent sacred
are the right arm of Indra.” The words spoken over the sacra-
task to which language is put is the worship of the gods. The
ments of the Christian Eucharist (“This is my body”) also
transformation of the ritual setting is usually an activity pre-
typify utterances of this category, whose function could ap-
paratory to the climactic offering of praise. The service of the
propriately be labeled consecration.
gods demands a complex verbal etiquette. Interaction with
the gods cannot be a matter of simple manipulation; instead,
The ritual goals. Once the ritual setting has been trans-
every act must be cushioned with words of explanation and
formed into an assemblage of divine or cosmic personages
concern. Furthermore, the intangible nature of the gods de-
and forces, the transforming language of the liturgy will be
mands a linguistic means to make their presence take on a
directed to the task of prompting those powers to bring
more concrete reality.
about some desired end. At the simplest level, there are the
wishes that the ritual will produce a positive result. These
Most religious traditions have decided that worship of
may be first-person optatives (the optative is the grammatical
the gods must follow a particular form. The topics of the lit-
mood for expressing a wish) of a condition one desires for
urgy have a proper order. In Judaism there is the principle
oneself, as in this mantra said by the patron of a Vedic sacri-
enunciated by the rabbis: “A man should always utter the
fice: “By the sacrifice to the gods for Agni may I be food-
praises of God before he offers his petitions.” The opening
eating.” The patron will utter a wish in the same form after
lines of the official worship service dedicated to the Chinese
each offering is poured onto the fire. A similar connection
earth god display a typical pattern: “She [the earth god] 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
LANGUAGE: SACRED LANGUAGE
5307
fends the nation and shelters the people. . . . Now during
Offering. The high point of many worship services is the
the mid-spring, we respectfully offer animals and sweet wine
act of offering some gift to the invoked and praised gods.
in this ordinary sacrifice. Deign to accept them.” Indicative
Words are necessary accompaniments to the physical act to
statements of the god’s praiseworthy activity are followed by
define it as an act of offering, motivated by the appropriate
a first-person announcement of the act and objects of offer-
intention on the part of the worshiper. There must also be
ing. Last comes the request to the god to accept the sacrifice.
statements expressing the proper concern for the god’s feel-
Most of the fundamental themes of worship will be found
ings. Again, the simplest way to establish an act as one of of-
within the structure: invocation, praise, offering, and
fering is to say “I offer.” This is usually accompanied by an
petition.
enumeration and description of the objects offered. Almost
always there will be a request that the god accept the offer-
Invocation. Logically the first topic of any service of
ings. In the Mass one finds “Holy Father . . . accept this un-
worship, securing the gods’ presence at the rite—usually with
blemished sacrificial offering.” Hindu worship includes such
second-person imperatives requesting them to come—will
phrasing as “What has been given with complete devotion,
form an elaborate early portion of many liturgies. Hindu
. . . do accept these out of compassion for me.”
Tantric ritual, for example, uses an invocation to bring about
the presence of the god in the concrete image that is the focus
Petition. The logically final act of worship, petition is
of worship: “O Lord who protects the world, graciously be
in many cases the motive force behind the entire service.
present in this lingam [phallic image of S´iva] until the end
There are religious traditions, however, that downplay this
of worship.”
goal. The worship service (pu¯ja¯) of Hindu Tantra, for exam-
ple, is intended primarily as a spiritual discipline to be valued
Praise. Essentially to praise means to pronounce public-
in its own right, rather than for any boon that might be ob-
ly and thereby acknowledge recognition of a god’s praisewor-
tained by prayer to the worshiped deity. The liturgy of Islam
thy characteristics. If these involve deeds accomplished in the
also has little in the way of petition. However, in the stan-
past that were of benefit, one expresses thanksgiving. There
dard weekday service of rabbinic Judaism, the central ele-
is always the hope, and probably expectation, that mention-
ment, the Amidah, contains a set of twelve supplications, the
ing such deeds of benevolence will prompt the deity to act
tefillot, accompanied by praise. And in the traditional Mass,
again on the celebrant’s behalf. Certainly uttering praise is
the most prominent single type of utterance is a second-
intended to make the god favorably disposed, or even to fill
person imperative addressed to God the Father—for exam-
the god with renewed energy.
ple, “Deliver us from every evil” or “Grant us this day our
daily bread.” The term prayer, though often used in the wid-
The simplest way to give linguistic expression to praise
est sense to refer to almost any form of language used in deal-
is to say “I praise,” as in the Christian Gloria: “We praise
ing with the gods, might best be restricted to this function
thee, we bless thee, we adore thee, we glorify thee. . . .”
of petition.
Also typical are optative phrases, hoping that praise will be-
come the universal response to the god. There is, for exam-
SEE ALSO Alphabets; Calligraphy; Glossolalia; Incantation;
ple, the Lesser Doxology: “Glory be to the Father, the Son,
Logos; Magic; Mantra; Names and Naming; Oracles;
and the Holy Ghost.” That is a common form for Hindu
Prayer.
mantras of praise as well. The most basic verbal expression
of piety for followers of S´iva is the “root mantra”
BIBLIOGRAPHY
(mu¯lamantra), “Namo S´iva¯ya,” meaning “[Let there be] rev-
erence to S´iva.” This Sanskrit form was carried by Buddhism
General Works
all the way to Japan, where the favorite way of showing devo-
Still the only major general and cross-cultural treatment of forms
tion in the Pure Land sects became the constant repetition
of sacred language is Friedrich Heiler’s Prayer: A Study in the
History of Psychology and Religion (London, 1932). Its useful-
of “Namu Amida Butsu,” meaning “[Let there be] reverence
ness is limited, however, because it gives primary emphasis
to Amida Buddha.”
to the psychology of spontaneous prayers and downplays the
A further development of the theme of praise comes
worth of liturgical compositions. Overviews of the tradition-
al ways of characterizing religious conceptions and uses of
through indicative statements of a god’s praiseworthy charac-
language, with examples drawn from around the world, can
teristics, either present-tense declarations of constant attri-
be found in Heiler’s Erscheinungsformen und Wesen der Reli-
butes or past-tense statements of a god’s great deeds. Both
gion (Stuttgart, 1961), chap. 7, “Das Heilige Wort”; and in
help to give a vivid sense of the god’s actual presence, espe-
a number of chapters in Gerardus van der Leeuw’s Religion
cially when made in the intimate form of second-person di-
in Essence and Manifestation, 2d ed., 2 vols. (Gloucester,
rect address. The Jewish berakhot (“blessings”) combine the
1967).
two methods of praise just presented. They usually have the
Theoretical Studies
form “Blessed are You O Lord, who has done [or does] such-
In order to appreciate the newer studies of sacred language that
and-such.” The phrase “Blessed are You O Lord” (“Barukh
employ the insight of modern linguistics, it would be useful
attah Adonai”) is equivalent to the optative expression “Let
to consult the seminal work on speech acts by J. L. Austin,
there be reverence (or glory) to you.”
How to Do Things with Words, 2d ed. (Cambridge, Mass.,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5308
LANGUAGE: BUDDHIST VIEWS OF LANGUAGE
1975), or the sophisticated development of his ideas in John
tendency to identify language with “discursive or conceptual
Searle’s Speech Acts: An Essay in the Philosophy of Language
thought,” and to identify the latter with erroneous knowl-
(London, 1969). One of the first and most successful at-
edge. The Nika¯yas and A¯gamas suggest—certainly not as
tempts to clarify the category of prayer, using contemporary
strongly as in Maha¯ya¯na—the ineffable character of the Bud-
linguistic tools, is Antti Alhonsaari’s Prayer: An Analysis of
dhist religious goal. The Buddha is beyond the “paths of
Theological Terminology (Helsinki, 1973). Some of the most
speech” (Suttanipa¯ta 1076), he cannot be conceived in visual
insightful applications of speech act theory to religious lan-
or auditory images (Theraga¯tha¯ 469).
guage have come from anthropologists. Of particular signifi-
cance is the work being done by Stanley J. Tambiah, particu-
Buddhist scholastics, on the other hand, downplay the
larly his article “The Magical Power of Words,” Man, n. s.
nonconceptual. For them, liberating wisdom (prajña¯) has
3 (June 1968): 175–208, and chapter 12, “Liberation
discursive, as well as nondiscursive, dimensions. Still, their
through Hearing,” in Buddhism and the Spirit Cults in North-
view of Buddhism unquestionably pictures the religion as a
East Thailand (Cambridge, 1970). The former gives some
critique of conventional perceptions and descriptions of real-
important new discussion to the concept of the magic spell,
and the latter proposes useful ways for understanding sacred
ity. The dharma theory of the Abhidharma can be interpret-
languages and sacred scriptures. The relevance of much lin-
ed as an attempt to establish a technical language of libera-
guistic theory to the understanding of ritual language is sum-
tion—a set of concepts that will replace the misconceptions
marized in Wade T. Wheelock’s “The Problem of Ritual
inherent in the ways of speaking about the world. These re-
Language: From Information to Situation,” Journal of the
flections find expression in the Abhidharmic concept of praj-
American Academy of Religion 50 (March 1982): 49–71.
ñapti, as developed in particular in the Sautra¯ntika school.
Groundbreaking work in examining the factors that make sa-
Prajñapti, or “conventional designation,” is the term used to
cred language distinctive in its actual context of use, in both
explain the role and function of conventional language in
tribal societies and high cultures, has been done in the several
contrast to the language of truth (parama¯rtha), which de-
fine studies in Language in Religious Practice, edited by Wil-
scribes accurately the nature of reality as seen by the en-
liam Samarin (Rowley, Mass., 1976).
lightened.
Studies of Specific Traditions
Sam D. Gill’s Sacred Words: A Study of Navajo Religion and Prayer
Prajñapti is also the key link between Abhidharmic
(Westport, Conn., 1981) represents both an important theo-
thought and the philosophy of the Ma¯dhyamika school. In
retical study on methods for the thematic analysis of liturgi-
the latter school human experience of reality is seen as being
cal texts and a fine introduction to Navajo religious practices.
of two kinds: conventional views and the perception of ulti-
The fascinating and complex theory of sacred language of the
mate reality. Language is an important aspect of the former,
Dogon of West Africa is presented in Marcel Griaule’s Con-
and as such it is perceived as a tool for the construction of
versations with Ogotemmêli (London, 1965). Pedro Laín En-
a mock reality. Yet language also serves to express, or point
tralgo’s The Therapy of the Word in Classical Antiquity, edited
at, the nonlinguistic sphere, that is, at the nature of things.
and translated by L. J. Rather and John M. Sharp (New
Haven, 1970), gives a comprehensive discussion of the views
The Sautra¯ntika logicians also sought to attack what
on the power of charms and prayers in ancient Greece and
they perceived as reification of language in the philosophy
Rome. The language theory of the Jewish mystical tradition
of their Hindu rivals. The extremes to which these Buddhist
is best presented in Gershom G. Scholem’s On the Kabbalah
philosophers went in trying to show the deceptive nature of
and Its Symbolism (New York, 1965). The best discussion of
language are particularly obvious in their theory of apoha—
the difficult philosophy of language of Indian Tantrism, as
language as “exclusion.” According to this theory, words do
well as a useful overview of other Indian speculations on lan-
not correspond or refer to objects, for their meaning is the
guage, is André Padoux’s Recherches sur la symbolique et
exclusion of whatever is not the object of reference. The
l’énergie de la parole dans certaines textes tantriques (Paris,
1963).
word cow, for instance, means only “the absence of non-
cow.” Among Buddhist philosophers after the eighth century
WADE T. WHEELOCK (1987)
(e.g., S´a¯ntiraks:ita, Kamala´s¯ıla, Ratnak¯ırti) several refine-
ments and qualifications of this view became the standard
theories of meaning. Application of these theories to the reli-
LANGUAGE: BUDDHIST VIEWS OF LANGUAGE
gious sphere, however, does not seem to have occurred to
Any tradition that seeks mystical silence becomes intensely
their formulators.
involved with the question of the role of language in religion.
Nevertheless, it is difficult to imagine that doctrines of
Silence presupposes speech; concern with the former reflects
meaning and negation could remain unconnected to Bud-
a concern with the latter. Even a brief survey of Buddhism
dhism as a religious practice—that is, as a type of apophatic
would reveal a number of important strands within its tradi-
mysticism. In the Su¯tra literature the connection is estab-
tion that depend heavily, or focus primarily, on some con-
lished explicitly. For instance, the Lan˙ka¯vata¯ra Su¯tra sees the
cept of sacred language.
world of speech as the world of delusion, which is identical
DOCTRINAL BACKGROUND. Pre-Maha¯ya¯na Buddhist litera-
with the world of the disturbed and illusory mind. Accord-
ture tends to subsume all forms of discourse into the category
ingly, the Buddha is said to have abided in “the silence of
of discursive thought. At this early stage there is already a
the sage.” He never spoke a word. The Vimalak¯ırtinirde´sa
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LANGUAGE: BUDDHIST VIEWS OF LANGUAGE
5309
Su¯tra likewise, while asserting that everything is language,
word—including the literal text and the material book—are
claims that only silence can express ultimate reality.
also well attested in Maha¯ya¯na traditions. For example, the
“perfection of wisdom” (prajña¯pa¯ramita¯) stands not only for
It is impossible, however, to remain in the realm of pure
the “highest experience” of absolute nonduality, but also rep-
silence yet claim to practice a religion in a religious commu-
resents the expression of this experience in words. The words
nity. The Buddhist must therefore find a doctrinal bridge
themselves, and even the material “book” in which the words
that will reach out beyond the sphere of mystical silence.
Two doctrines are selected for this purpose by the scriptural
are preserved, embody the prajña¯pa¯ramita¯, they are the
and scholastic traditions: the doctrines of conventional truth
prajña¯pa¯ramita¯. Thus, scripture, as the “embodiment” of the
(sam:vr:ti) and “skillful means” (upa¯ya). These are in part a
Buddha as Dharma, becomes a living relic of the Buddha,
theoretical recognition of the fact that Buddhism as a living
so that every place where the text is made known becomes
religion is seldom a practice of literal silence. The silence of
a sacred location, a reliquary, as it were (Vajracchedika¯
the Buddha is manifested in his speech; his words take the
12.15c; As:t:asa¯hasrika¯ Prajña¯pa¯ramita¯ 3.57). The preserva-
form that is understood by his listeners. Language is there-
tion of the sacred word, therefore, is tantamount to the pres-
fore not necessarily false. It is not misleading under all cir-
ervation of the Buddha’s own being.
cumstances, because it can be used “skillfully” as a “means”
The ritual recitation of the scriptures as a source of merit
(upa¯ya). This is the ultimate statement on language made in
is a common practice throughout Buddhist Asia. This prac-
texts such as the Lan˙ka¯vata¯ra Su¯tra and the Tatha¯gataguhya
tice can extend from the actual study and expounding of the
Su¯tra.
Su¯tra as doctrinal discourse to the cult of the collection of
RELIGIOUS PRACTICE. Concern with the sacred word and ac-
scriptures (cult of the Tripit:aka), from the study of extensive
ceptance of language as a practical tool play a much more
collections of texts to the symbolic repetition of the text by
significant role in Buddhist religious life than does the philo-
copying it, or merely by turning a revolving bookcase con-
sophical understanding of Buddhist silence, although they
taining the whole canon of scriptures or a praying wheel with
are never understood as contradicting the apophatic
copies of a short incantation. The enshrinement of texts—a
doctrine.
common practice in Tibetan Buddhism—is not qualitatively
The importance of language and “the word” in the gen-
different from the acceptance of a single fragment of text as
eral history of religions in India is well attested (e.g., the
an embodiment of the Dharma.
Hindu kirtan, the pan-Indian mantra, and the school of
Incantation. The concept of words as summary or em-
M¯ıma¯m:sa¯). What is characteristic of Buddhism is its con-
bodiment of the sacred has its most extreme manifestation
cern with a critique of language. This concern is often found
in the symbolization of the Dharma in short segments of
mixed, paradoxically, with a strong sense of the importance
of the invariant word, the holy manifested in utterance, si-
speech that are either fragments of natural expressions (the
lence embodied in words. There are, however, many in-
title of su¯tras, the Prajña¯pa¯ramita¯ in a Single Syllable), or
stances in which the sacred word is just that—its immutable
strings of phonemes with little or no signification in the nat-
character endowing it with power to protect and redeem.
ural language (mantra, dha¯ran:¯ı). These texts are also regard-
ed as a condensation of the sacred power of the enlightened,
Typology of the word. One can speak of a typology of
and can be protective formulas as well as instruments of med-
the sacred word in Buddhism as ranging from the canon of
itation. The latter function is reserved primarily, although
scriptures, through the book, the sacred phrase, the (single)
not exclusively, for the mantra.
sacred word, the sacred syllable, and the sacred sound or let-
ter. The following are a few major examples of the use of sa-
The use of sacred texts or fragments of sacred speech
cred words in Buddhism.
(e.g., paritta and dha¯ran:¯ı) as incantations to guard off evil
or eliminate negative influences or as propitiatory formulas
The vow. Perhaps the most important of these beliefs
plays an important role in both popular and “great tradition”
are the Maha¯ya¯na doctrines of the bodhisattva’s solemn utter-
Buddhist practice. A mysterious Dha¯ran:¯ı Pit:aka seems to
ance of a vow (pran:idha¯na), to follow the path of buddha-
have formed part of the canon of the Dharmaguptaka Bud-
hood, and the ritual formulation of the vow and the precepts
dhists in Andhra (in Southeast India), and may have been
(sam:vara-grahan:a). The vow is a kind of “act of truth,” in
the repository of many of these formulas, otherwise attested
which the will of an extraordinarily virtuous human being
in inscriptions, in anthologies (e.g., S´a¯ntideva’s S´iks:a¯sa-
cooperates with the power of truth inherent in any statement
muccaya), and as part of su¯tras (e.g., the dha¯ran:¯ı sections of
of fact.
the Saddharmapun:d:ar¯ıka, chap. 21, and Lan˙ka¯vata¯ra, chap.
The book. Even in the sober Therava¯da there is a strong
9). In the same way that the book comes to stand for the
sense of the authority of scriptural pronouncement as the ip-
source of Buddhahood, the dha¯ran:¯ı, as epitome of the wis-
sissima verba of Gautama the Buddha. As such, the sacred
dom and power of the Dharma, can be conceived as a protec-
text is sacred regardless of the devotee’s capacity to under-
tive deity. The word becomes personified power in the my-
stand the conceptual content of the text. Concrete manifesta-
thology of figures, for example, the “Five Protective Deities”
tions in ritual of this Buddhist reverence for the sacred
(pañcaraks: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
5310
LANGUAGE: BUDDHIST VIEWS OF LANGUAGE
Sectarian manifestations. The importance of these reli-
title (daimoku) of the Lotus Su¯tra recited in the formula
gious phenomena becomes even more obvious when one
“Namu Myo¯ho¯-renge-kyo¯” becomes the powerful source of all
considers their central role in the development of some of
spiritual and material well-being. Nichiren himself is said to
the most successful sectarian traditions of Buddhist Asia. In
have inscribed the phrase on a scroll. This inscription is con-
all of the examples given below, a practice connected with
sidered the primary object of veneration in the sect. It is con-
the sacred word has become the characteristic doctrinal or
ceived—following Japanese esoteric tradition—as a man:-
practical axis of a distinct school.
d:ala.
Pure Land. Pure Land Buddhism, as a generalized reli-
Tantra. Perhaps the most obvious manifestation of con-
gious ideal in India, epitomizes Buddhist doctrines of grace
cern with the sacred character of language within Buddhism
and the sacred word. The bodhisattva or the Buddha is the
is in the phenomena encompassed by the broad term Bud-
source of grace, the savior who can be reached by merely call-
dhist Tantra or Tantric Buddhism. In the Tantric tradition
ing his name. The classical examples of this tradition are the
the sacred word is at the same time the embodiment of mul-
chapters on the bodhisattva Avalokite´svara in the Gan:d:a-
tiple dimensions of the holy. Tantric texts such as the
vyu¯ha Su¯tra and the Saddharmapun:d:ar¯ıka Su¯tra.
Guhyasama¯ja Tantra develop homologies linking the Bud-
dha’s silence (the ineffable), his mind (the experience of
The practice of the recitation of the name of Buddha
meditation), his speech (the expression of his experience),
Amita¯bha, on the other hand, is usually not separated from
and his power (apotropaic formulas).
the traditions of faith and meditation, as found, for instance
in the Sukha¯vat¯ıvyu¯ha. The mythology behind the practice
The sacred formula (mantra) or syllable (b¯ıja) serves
reveals that it can be conceived as something more than faith
both as a powerful tool of incantation and a vehicle for visu-
in the magical power of words. Amita¯bha, in a former exis-
alization. A sacred and esoteric language or code
tence as the bodhisattva Dharma¯kara, pronounced a solemn
(sam:dha¯-bha¯s:a¯, sam:dhya¯-bha¯s:a¯) is developed to convey the
vow, the power of which is such that it can produce the effect
meaning of ritual symbolism as the embodiment of religious
(the goals sought by the vow) by the sheer power of the truth
experience. The latter use of sacred language is perhaps an
of the words uttered. This vow and its effects are embodied,
interpretive device that tends to reduce the sacred word to
and can be evoked or reached by another sacred word—the
the experience of meditation. The reduction takes place by
name of Amita¯bha. The power is not in the name as such,
means of homologies similar to the ones at the heart of the
but in the intention of the Buddha’s former vows.
mystical tradition of the Bra¯hman:as and the early Upanis:ads.
Thus, the mantra conveys meaning primarily as a code—a
Nevertheless, a belief that the repetition of the names
multivalued icon embodying a system of sacred identities.
of Buddhas is intrinsically meritorious is amply attested. In
China, the incantation of the name of Amita¯bha Buddha be-
Therefore, one can rightly speak of “the word as icon”
came an independent religious form. The most extreme ex-
in the Tantric tradition. In Tibet, for instance, the sacred
ample of the mechanical application of this practice is the
word acquires a life of its own. The sacred mantra of the bo-
custom of keeping accurate accounts of how many times one
dhisattva Avalokite´svara, “Om: man:i padme hum:,” is in-
repeats the name of Amita¯bha. Whether one is attempting
scribed on building walls, on rooftops, and on stones in the
to visualize the Buddha or not is irrelevant; the merit accrues
road. It is inserted in praying wheels, where the mere me-
regardless of the state of mind or degree of spiritual advance-
chanical turning of the inscribed syllables is supposed to in-
ment of the believer.
voke the presence of the bodhisattva, and allow the devotee
to gain access to his grace or visualize his image.
In the Pure Land traditions of Japan the repetition of
the name of Amita¯bha (Jpn., Amida) is divorced from the
The Japanese Ku¯kai (774–835), the founder of the eso-
doctrine of merit altogether. The invocation itself becomes
teric tradition of Japanese Tantra, regarded all language as
the primary practice, the only access to Amida’s saving grace.
sacred, although he also adopted the philosophical critique
The simplicity of this practice (known as the Nembutsu) is
of language. He regarded mantras as the primary form of the
such that many believers would even deny that it is a ritual
sacred (the “true word,” shingon), but at the same time he
of invocation. Rather, it is conceived as the simple enuncia-
considered that all words, even syllables and letters, stood ul-
tion of the formula “Namu Amida Butsu” (the Japanese pro-
timately for the silent meditation of Vairocana Buddha.
nunciation of the Chinese phrase “Namo O [or A]mituofo,”
Words, but above all Sanskrit sounds, were the embodiment
itself an attempt to reproduce the Sanskrit sentence: “Namo
of the highest reality.
Dmita¯bha¯ya buddha¯ya¯”). This short phrase is considered
Zen. Chan or Zen Buddhism also represents an impor-
equivalent to the “true name” of the Buddha—that is to say,
tant manifestation of both a concern with language and a
the essence of the Buddha as Buddha.
predilection for the development of specialized sacred lan-
Nichirenshu¯. Related to this faith in the power of the
guages. The Zen tradition is avowedly the Buddhism of Vi-
name is the Buddhist trust in the power of particular su¯tras.
malakirti’s silence—a claim that is explicitly reinforced by
The most successful development of this belief is the Japa-
the practice of silent meditation. However, the excesses of
nese sect founded by Nichiren (1222–1282). For him, the
blank mental concentration have been criticized in the sect
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LANGUAGE: BUDDHIST VIEWS OF LANGUAGE
5311
since its inception in the eighth century, and an important
Furthermore, the rejection of linguistic convention and
segment of the tradition also practices meditation on
conceptual thought is seldom unconditional or unqualified.
“words”—kanna-zen. The use of the ko¯an (Chin., gongan)
In some Buddhist traditions the conventional world is not
or mondo¯ as sacred text (even in ritual contexts) is well attest-
to be rejected because it is convention. The linguistic realm
ed; the ko¯an collections became the sacred canon of the sect.
is deceptive and false only when it claims to be something
Nevertheless, even as the tradition concedes the immutable
more than a conventional construct. Therefore, certain
character of the sacred utterance it emphasizes the critical
forms of linguistic convention—everyday use of language
function of the ko¯an as expression of the dialectic nature of
and special sacred language tools or substitute linguistic con-
the enlightenment experience. For the ko¯an is also regarded
ventions—are acceptable. This is especially clear in late
as the embodiment of the enlightenment experience of the
Ma¯dhyamika thought, where the realm of the conventional
great masters of the past and a test case for the aspirant to
is further divided to distinguish a “true” conventional from
that experience—hence its name, “public (kung) case or pre-
a “false” conventional usage. For instance, the Indian philos-
cedent (an).”
opher Kamala´s¯ıla (fl. eighth century) regards the logic of ev-
eryday transactions as true in a certain manner of speaking.
The general category of “sacred language,” however,
It is in fact the only logic possible, and discourse about the
does not exhaust or explain the specific meanings of the sa-
absolute only serves to clear away metaphysical language
cred word in Pure Land, Tantra, and Zen. Each one has a
games. Thus, even the ultimate reality of emptiness is subject
particular context. They represent only polarities in a wide
to a critique that corrects its apparent isolation from the
range of possibilities within the Buddhist tradition. The
world. Conventional and religious discourse alike may be il-
three types of sacred word—nembutsu, ko¯an, and mantra—
lusions, but so is talk about the silence of emptiness. This
share a common element insofar as they represent forms of
is the theoretical context in which religious practices such as
nonnatural linguistic expression, but the analogy ends there.
Tantra see themselves as a means to a practical and effective
On the one hand, the mantra and the dha¯ran:¯ı express or em-
resolution of the tension between absolute and relative, si-
body the enlightenment experience as the manifestation in
lence and speech, liberating knowledge (prajña¯) and skillful
sound of a nonlinguistic sphere. They usually convey sacred
application of liberating means (upa¯ya).
meaning with only a token or minimal regard for linguistic
sense. The title of a su¯tra or the name of a Buddha, on the
SEE ALSO Amita¯bha; Buddhism, Schools of, article on Tan-
other hand, are clearly exact names that correspond to well-
tric Ritual Schools of Buddhism; Buddhist Books and
formed names in the natural language. The Nembutsu may
Texts, article on Exegesis and Hermeneutics; Chan; Jingtu;
embody Amida’s enlightenment and true nature, but only by
Jo¯do Shinshu¯; Jo¯doshu¯; Kamala´s¯ıla; Mantra; M¯ıma¯m:sa¯;
way of the actual name found in the myth of Dharma¯kara.
Nianfo; Nichirenshu¯; Om:; Prajña¯; S´a¯ntaraks:ita; Sautra¯ntika;
Last, the ko¯an also claims to contain the actual linguistic
Shingonshu¯; Tantrism, overview article; Upa¯ya; Zen.
form of a sacred, yet natural utterance “attested” in the quasi-
historical context of hagiography; unlike the title of a su¯tra,
BIBLIOGRAPHY
however, it alludes explicitly to the mythic context, and un-
Bharati, Agehananda. The Tantric Tradition. London, 1965. A
like the calling on the name of a Buddha, it claims to preserve
study of Indian Tantrism in general, and Hindu Tantra in
a segment of meaningful, albeit paradoxical discourse.
particular.
INTERPRETIVE FRAMEWORKS. Among the religious tradi-
Bhattacharyya, Benoytosh. An Introduction to Buddhist Esotericism
tions, explicit discussion of the nature of language occurs
(1932). Reprint, Varanasi, 1964. A work of uneven quality,
mainly within the Tantra, which in Tibetan and late Indian
but still indispensable. The reprint edition contains a new
Buddhism constitutes the practical branch of the eclectic
preface by the author, but chapter 7, “The Mantras,” is un-
fortunately too short.
philosophical schools. In conformity with its philosophical
roots Tantrism falls back on two Ma¯dhyamika principles
Blacker, Carmen. “Methods of Yoga in Japanese Buddhism.” In
that are no doubt the most important hermeneutic devices
Comparative Religion: The Charles Strong Trust Lectures,
1961–1970, edited by John Bowman, pp. 82–98. Leiden,
in Buddhist philosophy—the concept of “two truths” and
1972. An accessible, yet scholarly comparison of the practice
the concept of “explicit” and “implicit” meanings (n¯ıta- and
of the ko¯an method of Rinzai Zen, and the mantras of Shin-
neya-artha). As convention, language has a certain validity,
gon Buddhism.
but its claim to represent something more than convention
Dasgupta, Shashibhusan. An Introduction to Tantric Buddhism
or to depict reality are spurious. The experience of reality as
(1958). Reprint, Berkeley, Calif., 1974. The reprint edition
such, or of things as they are “before language,” is the experi-
of this work contains a foreword by H. V. Guenther, in
ence of the highest goal, the ultimate meaning, or the most
which he points to some of the book’s shortcomings. Like
real object (parama¯rtha). Although this experience lies be-
Bhattacharyya, this work is still one of the standard surveys,
yond all linguistic procedures or operations, beyond all con-
in spite of its problems.
ceptualization, it is accessible only through some form of lin-
Hakeda, Yoshito S., trans. Ku¯kai: Major Works. New York, 1972.
guistic index. Thus, linguistic convention, while merely
A study of Ku¯kai, and a translation of some of his works. In-
conventional and relative, is necessary for liberation as well
cludes his most important work on the meaning of language
as for everyday practical activities.
and the sacred word, the Sho¯ji jisso¯ gi.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5312
LANGUAGE: BUDDHIST VIEWS OF LANGUAGE
Hamlin, Edward. “Discourse in the Lan˙ka¯vata¯ra-Sutra.” Journal
plete attempt to establish a history of Buddhist dha¯ran:¯ı. In-
of Indian Philosophy 11 (September 1983): 267–313. An
cludes a discussion of the personified protective formulas
original interpretation of the su¯tra’s view of language as
(pañcaraks:a¯).
upa¯ya.
Waldschmidt, Ernst. “Das Paritta: Eine magische Zeremonie der
Hopkins, Jeffrey, ed. and trans. “The Great Exposition of the Se-
buddhistischen Priester auf Ceylon.” Baessler-Archiv 17
cret Mantra.” Hopkins’s translation of Tson˙-kha-pa’s classi-
(1934): 139–150. Reprinted in Von Ceylon bis Turfan:
cal treatise on the Tantric path, Sn˙ags rim chen po, was pub-
Schriften zur Geschichte, Literatur, Religion und Kunst des in-
lished in two volumes under two different titles: Tantra in
dischen Kulturraumes von Ernst Waldschmidt (Göttingen,
Tibet: The Great Exposition of the Secret Mantra, Wisdom of
1967), pp. 465–478. Analysis of the use of paritta¯ in Sri
Tibet Series, no. 3 (London, 1977), and The Yoga of Tibet:
Lanka, and its sources in the Pali tradition.
The Great Exposition of the Secret Mantra, 2 and 3, Wisdom
of Tibet Series, no. 4 (London, 1981).
Wayman, Alex. “Concerning sam:dha¯-bha¯s:a¯/sam:dhi-bha¯s:a¯/
sam:dhya bha¯s:a¯.” In Mélanges d’indianisme à la mémoire de
Huntington, C. W., Jr. “A ‘Nonreferential’ View of Language and
Louis Renou, pp. 789–796. Paris, 1968. Summarizes earlier
Conceptual Thought in the Work of Tson˙-Kha-pa.” Philoso-
research on the subject and proposes Wayman’s theory of
phy East and West 33 (October 1983): 325–340. Highlights
“twilight language.” This thesis is developed further in “Twi-
the elements of “linguistic philosophy” found in
light Language and a Tantric Song,” chapter 11 of Way-
Tson˙-kha-pa’s interpretation of Indian Ma¯dhyamika. With
man’s The Buddhist Tantras: Light on Indo-Tibetan Esoteri-
Williams (1980), this paper adds to the strength of the lin-
cism (New York, 1973). Other aspects of the problem of
guistic interpretation of Ma¯dhyamika.
language in Buddhism have been explored by Wayman in
Ña¯n:ananda, Bhikkhu. Concept and Reality in Early Buddhist
“The Hindu-Buddhist Rite of Truth: An Interpretation,” in
Thought. Kandy, 1971. An imaginative interpretation of the
Studies in Indian Linguistics, edited by Bhadriraju Krishna-
Buddhist critique of conceptual thought in the Pali tradition.
murti (Poona, 1968), pp. 365–369. In this essay the author
Padoux, André. Recherches sur la symbolique et l’énergie de la parole
considers the connections between the “act of truth” and
dans certains textes tantriques. Paris, 1963. A general discus-
other “pan-Indian” notions of the “true word.” Wayman
sion of sacred language in Hindu Tantra. Many of the au-
studies early instances of the tension between the ideals of si-
thor’s interpretations could apply to Buddhist Tantra.
lence and truth in Indian religious thought in “Two Tradi-
tions of India—Truth and Silence,” Philosophy East and West
Saunders, E. Dale. “Some Tantric Techniques.” In Studies in Eso-
24 (October 1974): 389–403. He has also written extensive-
teric Buddhism and Tantrism, pp. 167–177. Koyasan, 1965.
ly on the Guhyasama¯ja and the symbolism of the mantra in
Surveys various Tantric ritual and meditation styles, includ-
Yoga of the Guhyasama¯jatantra: The Arcane Lore of Forty
ing the use of mantras in meditation.
Verses: A Buddhist Tantra Commentary (Delhi, 1977).
Schopen, Gregory. “The Phrase ‘sa pr:thiv¯ıprade´sa´s caityabhu¯to
Williams, Paul M. “Some Aspects of Language and Construction
bhavet’ in the Vajracchedika¯: Notes on the Cult of the Book
in the Madhyamaka.” Journal of Indian Philosophy 8 (March
in Maha¯ya¯na.” Indo-Iranian Journal 17 (November–
1980): 1–45. Summarizes, with new data and insight, the
December 1975): 147–181. This essay lays the groundwork
linguistic aspects of Ma¯dhyamika dialectic.
for Schopen’s views on the cult of the book in Maha¯ya¯na.
Sen, Sukumar. “On Dharani and Pratisara.” In Studies in Esoteric
New Sources
Buddhism and Tantrism, pp. 67–72. Koyasan, 1965. A study
Abe, R. The Weaving of Mantra: Kukai and the Construction of Eso-
of pratisara¯ as emblematic of the so-called “deified” utter-
teric Buddhist Discourse. New York, 1999.
ances.
Cabezón, José Ignacio. Buddhism and Language: A Study of Indo-
Shama, Dhirendra. The Differentiation Theory of Meaning in Indi-
Tibetan Scholasticism. Albany, N.Y., 1994.
an Logic. The Hague, 1969. An edition and translation of
Hayes, R. P. Dignaga on the Interpretation of Signs. Boston, 1988.
Ratnak¯ırti’s (fl. 1070) Apohasiddhi.
Snellgrove, David L., ed. and trans. The Hevajra Tantra: A Critical
Kalupahana, D. J. The Buddha’s Philosophy of Language. Ratma-
Study. 2 vols. London, 1959. An edition and translation of
lana, Sri Lanka, 1999.
an important Tantric text of the Indo-Tibetan tradition.
Lang, Karen C. “Poetic License in the Buddhist Sanskrit Verses
Tambiah, Stanley J. “The Magical Power of Words.” Man 3 (June
of the Upalipariprccha.” Indo-Iranian Journal 44, no. 3
1968): 175–208. The role of nonhuman language forms in
(2001): 231–240.
the “little tradition” of Therava¯da.
McPhail, M. L. Zen in the Art of Rhetoric: An Inquiry into Coher-
Ueda, Yoshifumi, ed. Notes on Once-Calling and Many-Calling: A
ence. Albany, N.Y., 1996.
Translation of Shinran’s Ichinen-tanen mon Di. Kyoto, 1980.
Salomon, Richard. “‘Gandhari Hybrid Sanskrit’: New Sources for
An annotated translation of one of Shinran’s most lucid ex-
the Study of the Sanskitization of Buddhist Literature.” Indo-
positions on the meaning of Nembutsu practice.
Iranian Journal 44, no. 3 (2001): 241–252.
Waddell, L. Austine. “‘Dharani,’ or Indian Buddhist Protective
Smits, Gregory. “Unspeakable Things: Sai On’s Ambivalent Cri-
Spells.” Indian Antiquary 43 (1914): 37–42, 49–54. This
tique of Language and Buddhism.” Japanese Journal of Reli-
essay contains translations of Tibetan dha¯ran:¯ıs. See also the
gious Studies 24 (1997): 163–178.
same author’s “The Dha¯ran:¯ı Cult in Buddhism, Its Origin,
Deified Literature and Images,” Ostasiatische Zeitschrift 1
Tilakaratne, A., and University of Kelaniya. Postgraduate Institute
(1912): 155–195, which is dated, but remains the most com-
of Pali & Buddhist Studies. Nirvana and Ineffability: A Study
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAO RELIGION
5313
of the Buddhist Theory of Reality and Language. Sri Lanka,
(“calling back the souls”) is mandated at times of risk: illness,
1993.
before a voyage or examination, or at the passage to another
stage of life. This “call” is accompanied by invocations and
LUIS O. GÓMEZ (1987)
Revised Bibliography
the recitation of votive formulas and is concluded by the
tying of ligatures of cotton threads to the wrist, thus connect-
ing the souls to the body.
LAO RELIGION.
The Lao have recourse equally to specialist healers (m&)
The Lao people inhabit both banks
and occasionally to female mediums (na¯ng thiam). The most
of the Middle Mekong, from Louang Phrabang in the north
powerful among the former is the m& th¯evada¯, or “master of
to Khong Island in the south. Properly speaking, they repre-
divinities,” a shaman who invokes the aid of his auxiliary
sent only half of the population in the country that bears
spirits, the ph¯ı th¯evada¯. The m& th¯evada¯ have a double com-
their name; the number of Lao in neighboring Thailand is
petence, as shamans and as mediums, as demonstrated by the
five times as great. A variety of influences have contributed
“sacrifice to the talisman protectors” (liang kh&ng haksa¯). In
to the religious contours of the Lao. Tai-speaking peoples
this ceremony, master and disciples stage a séance of succes-
from south of the Chinese empire introduced into the au-
sive possessions by diverse deities, among them a class of spir-
tochthonous Austroasiatic culture of the region a variety of
its known as kha¯, said to include both Austroasiatic
myths and rites exhibiting Chinese influence. In the ensuing
authochthones and Vessantara, the Buddha in his last rebirth
process of assimilation elements of both cultures were pre-
prior to that in which he achieved enlightenment as Gauta-
served. The dominant cultural vector, however, stems ulti-
ma. Richard Pottier (1973) has exposed this same double
mately from the Indian subcontinent. When asked his or her
competence among the na¯ng thiam of the Louang Phrabang
religion, a Lao invariably will answer that he is a Buddhist,
region, who undergo possession in public rites but act as sha-
more specifically, a follower of the Therava¯da (“doctrine of
mans in the course of healing consultations. However, the
the elders”) school. The center and symbol of the rural col-
na¯ng thiam function principally on the level of the collectivi-
lectivity, indeed, of all action that is communal in Lao soci-
ty, where they intervene in ceremonies honoring the guard-
ety, remains the vat (Pali, vatthu; Skt., va¯stu) or Buddhist
ian deity of the territory (ph¯ı muang) or of the individual vil-
monastery. Within its precincts matters both sacred and sec-
lage (ph¯ı ba¯n).
ular—religious instruction, public meetings, community rit-
uals, the election of a village chief—are conducted. Conver-
The cult of the tutelary deity of the village is headed by
sion to Buddhism remains the principal means of
a master of ritual known as a caw cam, a position that is
assimilation of minorities into the sphere of Lao culture.
gained through village elections. It is the role of the caw cam
to announce to the ph¯ı all events affecting the life of the col-
Coextensive with Buddhism, and functionally integrat-
lectivity, notably events in which the ph¯ı is directly implicat-
ed with it, is the so-called ph¯ı cult, or cult of local spirits.
ed. He addresses to the spirits the personal requests of the
While belief in local spirits predates the introduction of Bud-
villagers; when these requests are granted it is his duty to offi-
dhism, it is important to recognize that it is impossible to
ciate at the keba, or sacrifice of thanksgiving. His principal
extrapolate from contemporary practice the contours of Lao
task, however, is to organize and execute the annual sacrifice
religion prior to the introduction of Buddhism. Nor is it
to the tutelary deity, the liang ph¯ı ba¯n, or “nourishing of the
consistent with the society’s own understanding of its reli-
village spirit,” in which all households participate.
gious system to see the ph¯ı cult as formally or functionally
distinct from Buddhism. Centuries of syncretization have
BUDDHIST INFLUENCES. Buddhism and the ph¯ı cult are not
forged an internally consistent religious ideology that has ra-
simply juxtaposed in Lao popular religion; over the course
tionalized the mutual interdependence of both systems. The
of several centuries they have become syncretized. Those who
separate consideration of the two in the discussion that fol-
compiled the royal annals have presented the introduction
lows is merely a heuristic device, designed to illuminate the
of Buddhism at the time of the Lao kingdom’s foundation
prevailing religious concerns of each.
as a victory over the ph¯ı cult that had predominated. They
recall the vigorous campaign carried against the ph¯ı by King
THE PH¯I CULT. The term ph¯ı is common to all Tai-speaking
Pothisarath, who passed an edict in 1527 prohibiting them
populations (one finds the term f¯ı among certain non-
and ordering the destruction of all sanctuaries consecrated
Buddhist Tai in northern Vietnam) and typically designates
to the ph¯ı. His successors showed more understanding to-
an ensemble of various entities such as souls, ancestors, evil
ward the ph¯ı, and Buddhism had to accommodate itself to
spirits, and celestial deities. The cult probably originated in
the persistence of the cult’s hold on the population. Some
pre-Buddhist Tai society, enriched by contact with Austro-
concepts and practices were “civilized” by assuming an out-
asiatics, the previous inhabitants of the region. The influence
wardly Hindu form—it is likely that this phenomenon pre-
of the ph¯ı cult is seen in the concern to maintain the integral-
dates the arrival of H¯ınaya¯na Buddhism.
ity of the person, as it is held that the departure of one (or
several) souls provokes sickness and death. Here, it is the
This syncretism shows up constantly in daily life and in
therapeutic aspect that dominates, Buddhism having appro-
grand public celebrations. For example, one utilizes Buddhist
priated the funerary rites. The performance of su¯ khwan
formulas for magical purposes and seeks without hesitation
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5314
LAO RELIGION
the knowledge of a monk before drawing a number in the
for the ordination of a monk or for the celebration of Bud-
lottery. It would never enter anyone’s mind to reproach the
dhist feasts. Moreover, it should not be forgotten that at least
caw cam ph¯ı ba¯n for indulging in acts contrary to tham (Pali,
once in his life every man must wear the saffron robe, a trial
dhamma; Skt., dharma), because one generally elects to this
that constitutes a sort of initiation and preparation to adult
position a man known for his devotion to the Perfect One;
life.
in fact, before going to officiate at this altar of the tutelary
Another outwardly Buddhist component of Lao society
deity, this ritual master first prays at the pagoda. We see
that also serves non-Buddhist functions is the vat, or monas-
within the very compound of the vat the presence of a replica
tery. The monastery rises and grows with the collective it rep-
in miniature of the altar of the tutelary deity: this altar, the
resents. After having cleared a section of the forest and form-
h& ph¯ı khun vat, is dedicated to the spirit benefactor of the
ing a sufficiently autonomous hamlet, a group of farmers
monastery, the monk who was its founder. The tutelary
may decide to establish a hermitage (vat pa¯, “forest pagoda”)
deity, in the majority of cases, is also the founder of the vil-
for a monk. This small wooden house on stilts becomes the
lage, and it happens frequently that the master of the ph¯ı ba¯n
first kutd¯ı (Skt., kut¯ı; monks’ quarters) and grows with the
ritual is the same as that of the ph¯ı khun vat.
hamlet itself. Consequently, this growth brings an increase
in voluntary manpower and thus the construction of a more
One of the great village feasts is the Bun Bang Fai
sophisticated building, the sa¯la¯, a public hall. Once this
(“rocket festival”). There is no need to overemphasize the
grand square hall on short stilts has been completed, the col-
sexual symbolism of the giant rockets that are shot against
lective is able to invite a greater number of monks and laity
the sky just before the coming of the monsoon with its fecun-
to the village’s religious ceremonies. The sa¯la¯ does not func-
dating rains; moreover, the carnivalesque processions with
tion solely as a religious center, however. It serves also as a
their ribald songs and provocative exhibition of enormous
forum for meetings where the local inhabitants convene to
wooden phalluses for the benefit of young maidens points
debate on matters concerning the entire collective, such as
more explicitly to the nature of the festival. That the Bud-
the election of village chief, common works to undertake,
dhist clergy sanctions and effectively participates in this festi-
and feasts to celebrate. It also serves as a warehouse for mate-
val is evidenced by the fact that the rockets are placed within
rials needed for the realization of these projects, a shelter for
the compound of the pagoda under the supervisions of the
hawkers and travelers, and as classroom for any occidental-
monks. It is also in the monastic compound that the dancing
type schools built in the rural area. When a village attains
na¯ng thiam enter into trances and where rockets of invited
a degree of development and reputation such that it has at
neighboring pagodas are collected for the rites. In numerous
its disposal the means to pay hired labor (thanks to collec-
villages the festival of Bun Bang Fai is connected with the
tions made during feasts or gifts offered by individuals), it
feast of the tutelary deity. Fertility, bawdiness, the drinking
undertakes the construction of a sanctuary (s¯ım; Pali, Skt.,
of alcoholic beverages, entering into trances, gambling (with
s¯ıma¯). We see, therefore, that the monastery is the center not
betting on the rockets)—all of these are against Buddhist
only of the religious life of the rural collective but also, by
law. However, in the eyes of the Lao farmer, the festival of
virtue of its multifunctional role, of all activity that is com-
the rockets commemorates the Visa¯kha¯ Pu¯ja¯—the triple an-
munal in character.
niversary of the birth, the enlightenment, and the death of
the Buddha.
The two currents of Buddhist and indigenous folk reli-
gious belief intermingle to form Lao religion, but their re-
The Buddhist notion that has most profoundly perme-
spective proportions vary with the epochs and regions. As the
ated Lao popular religion seems to be that of bun (Pali,
reigning power reinforces itself and develops the teaching of
puñña), “merit.” One must acquire merit to enrich one’s kam
Buddhism, the ph¯ı cult’s influence tends to diminish. De-
(Pali, kamma; Skt., karman), which permits the attainment
spite this, Lao farmers do not completely abandon this re-
of spiritual liberation in the cycles of transmigration. The
course to nature’s forces, which guarantee them the resources
Lao thinks very little of nipha¯n (Pali, nibba¯na; Skt., nirva¯n:a),
necessary for the maintenance and renewal of life. Even when
but remains concerned with a mundane counterpart of
they concern the whole village, the ph¯ı ceremonies take place
merit: prestige, wealth, power. It should be noted that the
beyond the sight of strangers. On the other hand, the monas-
Lao layman preoccupies himself even less with the inverse
tery bears witness to the adherence of its members to a un-
notion, that of ba¯p (Pali, Skt., pa¯pa), “error.” He is particu-
iversalistic religion. The individual finds therein refuge for
larly concerned with the acquisition of merits, best obtained
the most important phases of his spiritual life. But the vat
through gift giving. Moreover, the gift most laden with merit
is not there to serve the spiritual activities of Buddhism only;
is that which has as its beneficiary the pha sang (Pali, sangha;
it caters also to all aspects of collective life. By its openness,
Skt., sam:gha), the community of monks. Thus, one who has
it bears testimony to a social space comprising the totality
chosen monastic asceticism by his sacrifice enriches not only
of peasant system of relations: state officials on inspection
his own kam but offers to others the possibility of acquiring
tours hold meetings there, monks whom it shelters come
merit, even if only through the food alms that he must collect
from a hierarchy paralleling that of state administrative divi-
each day. To this daily source of bun must be added the mas-
sions, and festivals held in the monastery take all forms, sa-
sive enrichment procured through offerings of paraphernalia
cred or profane, of Lao culture.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAOZI
5315
SEE ALSO Buddhism, article on Buddhism in Southeast
LAO-TZU SEE LAOZI
Asia; Merit, article on Buddhist Concepts; Southeast Asian
Religions, article on Mainland Cultures; Therava¯da; Wor-
ship and Devotional Life, article on Buddhist Devotional
Life in Southeast Asia.
LAOZI, a quasi-historical figure who came to be revered
as a supreme godhead in Chinese Daoist and popular reli-
B
gious traditions. His divinity is understood to be both tran-
IBLIOGRAPHY
scendent and immanent. The Dao de jing, also known simply
First and foremost, a portion of the many but dispersed publica-
as the Laozi, is traditionally attributed to him. By mid-Han
tions of Charles Archaimbault has been compiled in one vol-
ume, Structure religieuses lao: Rites et mythes (Vientiane,
times (206 BCE–220 CE), this text and the Zhuangzi (c.
1973). Archaimbault’s article “Les ceremonies en l’honneur
fourth to third century BCE) were regarded as the corner-
des phi f’à (phi celestes) et des phi t’ai (phi précieux) à
stones of early Daoist thought.
Basa˘k,” appears in Asie du Sud-Est et monde insulindien 6
LAO DAN, THE TEACHER OF CONFUCIUS. There is no textual
(1975): 85–114. Richard Pottier’s “Notes sur les chamanes
evidence that the Dao de jing itself existed prior to about 250
et médiums de quelques groupes thaï,” Asie du Sud-Est et
BCE, although various sayings in the text were in circulation
monde insulindien 4 (1973): 99–103, is supplemented by his
somewhat earlier. It is thought that those who valued this lit-
very important dissertation, “Le système de santé lao et ses
erary heritage as an alternative to the teachings associated
possibilités de développement” (Ph.D. diss., University of
Paris, 1979). Another indispensable work on Lao religion is
with Confucius began to attribute it only retrospectively to
Marcel Zago’s Rites et cérémonies en milieu bouddhiste lao
a Laozi. The source of inspiration for this hypothetical
(Rome, 1972). For more details, I refer the reader to my own
spokesman was a presumably historical figure known only as
essay, “Notes sur le bouddhisme populaire en milieu rural
Lao Dan, “Old Dan.” According to the Li ji (Book of rites;
lao,” which appeared in consecutive issues of Archives de so-
c. 100 BCE), Lao Dan’s reputation as an expert on mourning
ciologie des religions 13 (1968): 81–110, 111–150. A small
rituals was well established. On four occasions, Confucius is
section of this essay has been translated into English under
reported to have responded to inquiries about ritual proce-
the title “Ph¯ıba¯n Cults in Rural Laos,” in Change and Persis-
dure by quoting Lao Dan. It was knowledge he had appar-
tence in Thai Society: Essays in Honor of Lauriston Sharp, ed-
ently gained firsthand, for Confucius recalls how he had once
ited by G. William Skinner and A. Thomas Kirsch (Ithaca,
assisted Lao Dan in a burial service. Lao Dan, on the other
N.Y., 1975), pp. 252–277.
hand, is quoted as addressing Confucius by his given name,
Concerning the Thai-Lao of Phaak Isaan, see Stanley J. Tambiah’s
Qiu, a liberty only those with considerable seniority would
Buddhism and the Spirit Cults in North-East Thailand (Cam-
have taken. It is no mere coincidence that those at odds with
bridge, 1970). A useful general bibliographical reference is
the Confucian tradition should have found a spokesman in
Frank E. Reynolds’s “Tradition and Change in Therava¯da
someone said to be a mentor of Confucius, for Lao Dan is
Buddhism: A Bibliographical Essay Focused on the Modern
in fact the only teacher of Confucius about whom there is
Period,” in Contributions to Asian Studies, edited by Bardwell
L. Smith, vol. 4 (Leiden, 1973), pp. 94–104.
any documentation.
Unlike the Li ji, texts outside the Confucian legacy drew
New Sources
on an oral tradition that emphasized the humiliation rather
Archaimboult, Charles. Le Sacrifice du Buffle, a S’ieng Khwang
(Laos). Paris, 1991.
than the enlightenment of Confucius before his teachers.
Chief among his detractors was none other than Lao Dan.
Condominas, Georges. Le Bouddhisme au Village: Notes Ethno-
The Zhuangzi, which is the earliest text to speak of Lao Dan
graphiques dans la Société Rurale Lao, Plaine de Ventiane.
and Laozi as one, appears to have taken the lead in presenting
Vientiane, 1998.
this version of the education of Confucius. There is one allu-
Donnelly, Nancy D. Changing Lives of Refugee Hmong Women. Se-
sion to Confucius as a pupil of Lao Dan in the neipian
attle, 1994.
(“inner chapters”) of this text. The passage is particularly sig-
Evans, Grant. Lao Peasants under Socialism. New Haven, Conn.,
nificant, for the inner chapters are the only portion ascribable
1990.
to a Zhuangzi (c. 320 BCE), and the characterizations given
here for both Lao Dan and Confucius differ substantially
Evans, Grant, and Kevin Rowley. Red Brotherhood at War: Viet-
from those recorded in the Li ji. Lao Dan is no longer pres-
nam, Cambodia, and Laos. London, 1990.
ented as a specialist in ritual protocol, nor is Confucius re-
Wilson, Constance M. “The Holy Man in the History of Thai-
garded as an exemplar of his teachings. Rather, Lao Dan here
land and Laos.” Journal of Southeast Asian Studies 28 (Sep-
counsels a way of life that Confucius is thought too dull to
tember 1997): 345–365.
master.
Zasloff, Joseph, and Leonard Unger, eds. Laos: Beyond the Revolu-
This difference between Confucius and Lao Dan is ex-
tion. New York, 1991.
panded upon in the waipian (“outer chapters”) of the
G
Zhuangzi, the product of heterogeneous authorship. Seven
EORGES CONDOMINAS (1987)
Translated from French by Maria Pilar Luna-Magannon
episodes supposedly document instances when Confucius
Revised Bibliography
sought advice from Lao Dan on various principles 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
5316
LAOZI
Dao. In one of the passages, Lao Dan is identified for the
years. Such supernatural longevity Laozi presumably attained
first time as an archivist in retirement from the court of Zhou
by an ascetic cultivation of the Dao. So although Sima does
(c. 1046–221 BCE). On each encounter, Confucius is invari-
not ascribe a divine status to Laozi, he does retain in his ac-
ably made to look the fool, slow to grasp the subtleties of the
count the suggestion of otherworldly characteristics. This
Dao. Internal evidence suggests that some of these accounts
motif and that of the journey west, with its apocalyptic im-
were perhaps not composed until after the beginning of the
plications of the fall of the Zhou, came to be two of the pre-
Han dynasty. It may have been only a few decades earlier that
dominant features in the lore that developed around Laozi.
this reputed superior of Confucius became associated with
LAOZI AND YIN XI, MASTER AND DISCIPLE. Among the ear-
the Dao de jing. Although the text is never mentioned by title
liest texts to expand upon Sima’s account is the Liexian
in the Zhuangzi, the outer chapters do draw occasionally on
zhuan (Lives of the immortals), ascribed to Liu Xiang (77–6
its sayings and twice ascribe them to Lao Dan. Both the Han
BCE). This work, the current redaction of which dates to no
Feizi (third century BCE) and Huainanzi (c. 130 BCE) are
earlier than the second century CE, includes separate entries
more specific, and attribute citations from a Laozi text to Lao
for Laozi and the gatekeeper Yin Xi. As the exemplary disci-
Dan. By the first century BCE, the legend that Laozi was the
ple of Laozi, Yin was also eventually revered as a Daoist patri-
author of the Dao de jing had entered the annals of Chinese
arch. The Liexian zhuan makes special note of how master
history as accepted fact.
and disciple were each aware of the other’s uniqueness. Not
L
only did Yin Xi reportedly recognize Laozi as a zhenren (“true
I ER AND THE JOURNEY WEST. Sima Qian (145–86 BCE)
is the first known to have attempted a biography of Laozi.
man”), but Laozi is also said to have seen in Yin the rare qual-
His Shi ji (Records of the historian, c. 90
ities that made him deserving of instruction.
BCE) gives Laozi’s
full name as Li Er or Li Dan. The Li clan is identified as na-
The master-disciple relationship between them served
tive to Hu district, modern Luyi near the eastern border of
as a model for generations. According to the hagiographic
Henan province. In specifying the surname Li, Sima appears
lore, Yin begged to accompany Laozi on his westward trek.
to have had no authority other than an imperial tutor named
This he could not do, he was told, until he had cultivated
Li who traced his ancestry to Laozi. Only two episodes are
the Dao as his master had. Thus it seems that the supernatu-
recorded from the life of Laozi. One appears to have drawn
ral qualities that had permitted Laozi to undertake his vast
on the legacy of both the Li ji and Zhuangzi. Confucius is
travels abroad were regarded as equally within the reach of
said to have sought out Laozi explicitly for instruction on rit-
his disciple. After an appropriate period of concentrated
ual (li), a venture that left him befuddled as well as in awe
study, Yin had but to await his master’s summons at the
of the archivist. The second episode centers on Laozi’s disap-
Qingyang marketplace in what came to be known as the
pearance. It is said that after living in the domains under
Sichuan city of Chengdu. The Qingyang Gong (Palace of the
Zhou rule for a considerable time, Laozi took his leave when
Blue Lamb), newly restored in Chengdu, stands today in tes-
he perceived the imminent downfall of the regime. Heading
timony to this ideal discipleship.
west, he left the central plains of China, but at the Hangu
THE DIVINIZATION OF LAOZI. An equally important shrine
Pass he was detained by a gatekeeper named Yin Xi and asked
in the history of the veneration of Laozi lies far to the north-
to compose a text on the concepts of dao and de.
east of Chengdu, at Luyi, his putative birthplace. It is at this
The text Laozi completed was reported to have con-
site, the Taiqing Gong (Palace of Grand Clarity), that Em-
tained altogether five thousand words filling two folios. That
peror Huan (r. 147–167) of the Latter Han dynasty is known
Sima Qian incorporates this legend on the origins of the Dao
to have authorized sacrifices to Laozi in the years 165–166.
de jing into Laozi’s biography suggests that the text was fairly
Commemorating the imperial offerings is the Inscription on
well established by his time. The earliest extant versions of
Laozi (Laozi ming), composed by a contemporary local mag-
a De jing and a Dao jing were in fact found among silk manu-
istrate named Bian Shao. While Bian honors Laozi as a native
scripts unearthed in 1973 at a Han tomb known as Mawang-
son of his district, he goes far beyond Sima’s Shi ji to convey
dui, located outside modern Changsha in Hunan province.
for the first time something about popular beliefs regarding
One of the manuscripts appears to have been made sometime
his apotheosis. He describes Laozi as coeval with primordial
prior to 195
chaos, from which he emerged prior to the evolution of the
BCE and the other sometime between 180 and
168
universe itself. After a series of cosmic metamorphoses, Laozi
BCE, both predating Sima’s Shi ji by a century or so.
is said to have finally achieved an incarnate form and thus
Apocryphal though the attribution to Laozi may be, the
to have begun his descent as savior to the mortal realm. He
Dao de jing became a fundamental text not only for students
then became, according to Bian, counselor to successive gen-
of pre-Han thought but also for those who came to venerate
erations of the great sage-kings of China. It is clear from
Laozi as a divine being. Sima himself says no more about the
Bian’s inscription that by the late Han, Laozi was viewed as
history of the text or its following. He appears instead to have
a cosmic force capable of multiple reincarnations in the role
been genuinely puzzled as to the true identity of Laozi and
of preceptor to the ruling elite. The messianic purpose of his
what writings he may have left behind. His main conclusion
descent became the single most important theme in Laozi’s
seems to be that Laozi was a recluse who, according to popu-
divinization, one that subsequently served all classes of Chi-
lar traditions, may have had a life span of 160 to over 200
nese society, from emperor to revolutionary.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAOZI
5317
LAOZI AS BUDDHA. At the time that Emperor Huan ordered
ing to this text, not only nourishes his own vital principle
sacrifices at Luyi, he also presided over an elaborate ritual at
within the cosmos, but also emerges at various times as an
court held in honor of both Laozi and the Buddha. An acade-
imperial counselor. His series of corporeal transformations
mician named Xiang Kai was moved to comment on this ser-
is enumerated from legendary times down to the year 155.
vice in a memorial that he submitted to the throne in 166.
The final passage appears to be a sermon of Laozi himself,
Xiang alludes in his address to a belief that Laozi transformed
addressed to the faithful masses awaiting his reappearance.
himself into the Buddha after having ventured west of his
He promises them relief from all their tribulations and at the
homeland. Thus did the legend of Laozi’s disappearance at
same time vows to overthrow the Han. Precisely what politi-
Hangu Pass lead to the claim that the Buddha was none
co-religious sect produced this text is not known, but it was
other than Laozi, and that his journey was a mission to con-
unmistakably intended to set the scene for the reincarnation
vert all mortals to the “way of the Dao.” This is what came
of Laozi in a charismatic figure who harbored dynastic aspi-
to be known as the huahu (“conversion of barbarians”) theo-
rations. This messianic vision of Laozi’s imminent physical
ry. Initially, the proposal that Laozi was the Buddha seems
transformation continued to inspire generations of rebel
to have reflected no more than an amalgamation of Daoist
leaders, most notably those who also bore the surname Li.
and Buddhist traditions in their formative stages. But as the
IN THE NAME OF LAOZI. The documents available on the
Buddhist heritage became better articulated and more firmly
early Celestial Master tradition (Tianshi Dao), which origi-
established on Chinese soil, this notion served as a point of
nated in the same area of Sichuan province as the sect associ-
dispute.
ated with the Bianhua jing, suggest a distinctly different view
By the early fourth century, debates between a promi-
of Laozi. To the founder, Zhang Daoling (c. 142), and his
nent Buddhist monk named Bo Yuan (d. 304) and the po-
successors, Laozi was known as Lord Lao the Most High
lemicist Wang Fou appear to have inspired the first full trea-
(Taishang Laojun). Although Lord Lao was thought capable
tise on Laozi as the Buddha. Following his defeat in these
of manifesting himself at times of political unrest, the Celes-
debates, Wang is said to have composed the Laozi huahu jing
tial Masters apparently never entertained the possibility of
(Scripture on Laozi’s conversion of the barbarians). Not sur-
his reincarnation. Rather than assume a worldly identity,
prisingly, those who sought to assert the preeminence of
Lord Lao was seen as a transmitter of sacred talismans and
Laozi took every opportunity to enlarge upon the legacy of
registers and, eventually, newly revealed scriptures. He there-
the huahu myth. Such efforts did not go unchallenged.
by designated the Celestial Masters as his personal envoys
Twice during the Tang dynasty huahu literature was pro-
and gave them alone responsibility for restoring order on
scribed by imperial command. The decrees were clearly is-
earth.
sued at times when defenders of the Buddha’s uniqueness
As agents of their Lord Lao, the Celestial Masters them-
held the upper hand at court. Their influence was felt even
selves often assumed the role of imperial preceptor that Laozi
more strongly during the Mongol regime, when formal de-
was traditionally thought to have fulfilled for the sage-kings.
bates on the subject were conducted before the throne. The
Thus Zhang Lu (c. 190–220) and Kou Qianzhi (d. 448), for
success of the Buddhist monks over the Daoist priests led,
example, served the monarchs of the Wei and Northern Wei
in 1281, to the burning of all Daoist texts deemed forgeries.
regimes, respectively. Crucial to their success as counselors
Officially, only the Dao de jing itself was to be spared.
to the throne was the emperor’s perception of his own divine
rank. It was advantageous, in other words, to identify the
LAOZI AS A MESSIAH. The vision of Laozi as a messiah, mov-
head of state as a deity incarnate, just as Kou proclaimed the
ing freely between the celestial and mundane realms, inspired
emperor Taiwu (r. 424–452) to be the Taiping Zhenjun
a large body of sacred literature. Just as the motives of the
(“true lord of grand peace”). As the influence of the Celestial
authors of these texts varied, so too did their conceptions of
Masters declined, the Tang imperial lineage, surnamed Li,
what was meant by a deified Laozi. One of the earliest and
laid claim to being the direct descendants of Laozi. In sup-
most enigmatic sources to take up the soteriological theme
port of this assertion, there seems to have been a renewed in-
is the Laozi bianhua jing (Scripture on the transformations
terest during the Tang in witnessing the epiphanies of Lord
of Laozi). This text was among the manuscripts recovered by
Lao.
Sir Aurel Stein in 1907 at Dunhuang in Gansu province. Al-
though fragmentary, the work can be identified as the tract
LAOZI AS A FOCUS OF HISTORY. The histories of the faith
of a popular sect in the Chengdu region, dating to the end
that survive in the Daoist canon (Daozang) are remarkably
of the second century
uniform in that they are organized as chronicles of Laozi’s
CE.
unending transmigrations. An early example of this annalis-
The Laozi bianhua jing reflects some of the same beliefs
tic approach is found in the Lidai chongdao ji (A record of
articulated in the contemporary Inscription of Bian Shao.
historical reverence for the Dao), compiled by the preemi-
Laozi is seen as coeval with primordial chaos, circulating in
nent ritual specialist Du Guangting (850–933) in 884. The
advance of the creation of the universe. He is portrayed as
Tang portion of this chronicle is devoted primarily to a re-
the ultimate manifestation of spontaneity (ziran), the source
cord of Laozi’s providential manifestations, from the found-
of the Dao itself, and as the “sovereign lord” (dijun) of the
ing of the dynasty to the suppression of the Huang Chao re-
spirit realm. Such is his transubstantiality that Laozi, accord-
bellion (c. 878–884).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5318
LAOZI
Later historians also sought to link the vitality of their
macrobiogen. The generation of an enchymoma is achieved
age to the beneficence of Laozi. Jia Shanxiang (c. 1086), for
by a variety of psycho-physiological means, including respi-
example, paid special tribute to the favors Lord Lao granted
ratory exercises, visualization procedures, and controlled sex-
during the early part of the Song dynasty. He wrote his
ual practices. It is as if the adept strives to replicate within
lengthy treatise, the Youlong zhuan (Like unto a dragon),
his body the elixir of immortality that alchemical reaction
while stationed at the Palace of Grand Clarity in Luyi, the
vessels were designed to produce. Consequently, to attain
site to which Laozi reputedly made many return visits follow-
physiological rejuvenation through the enchymoma is to at-
ing his “historical” birth there. While Jia writes extensively
tain longevity and to become impervious to any external
about the mythical manifestations of Laozi, it is to his incar-
threats from demonic sources. Some manuals spell out even
nation as Li Er that he devotes an unprecedented amount of
higher goals, including liberation from the bonds of mun-
detail, much of it parallel to the legends surrounding the
dane existence and promotion to the ranks of heavenly tran-
Buddha. Just as S´a¯kyamuni was, according to some tradi-
scendents.
tions, born of his mother’s right armpit, so was Laozi said
Such techniques of regeneration are also commonly ap-
to have emerged from his mother’s left armpit. Laozi was also
plied by a Daoist priest in the liturgies, such as the Jiao cere-
conceived to be equally precocious for, according to legend,
mony, held on behalf of the living and dead he serves. By
he, too, took his first steps immediately after birth. The latter
re-creating the “sovereign lord” embryo within, the priest
episode is among those given further elaboration in the
promotes not only his own transcendent status but that of
Hunyuan sheng ji (A chronicle of the sage from the primor-
his entire parish as well. Thus does the embodiment of the
diality of chaos), compiled a century later. The compiler of
cosmogonic image of Laozi lead to the salvation of all.
this work, Xie Shouhao (1134–1212), extends the chronolo-
gy of Laozi’s manifestations down to the end of the Northern
PATTERNS OF DEVOTION. The importance of the Dao de jing
Song dynasty (960–1126) and offers a thoughtful commen-
in various scriptural guides to the Daoist way of life cannot
tary on many controversial points such as the huahu theory.
be overemphasized. In a preface to his analysis of the work,
the thirty-ninth Celestial Master Zhang Sicheng (d. 1343)
Of note in the writings of both Jia and Xie is the wide
laments the fact that many who regarded themselves as disci-
range of revealed literature associated with the successive re-
ples of Lord Lao had no understanding of his teachings.
births of Laozi. Chronicles of this type also typically record
Many such commentaries to the Dao de jing were compiled
the honorary titles bestowed upon Lord Lao by imperial de-
upon imperial command, following the model of the emper-
cree, thus calling attention to the periods when state patron-
or’s personal exegesis. The opaque language of the text easily
age was at its height. The title of Xie’s work is in fact based
lent itself to countless reinterpretations and metaphorical ap-
on the epithet granted Laozi in 1014.
plications.
LAOZI EMBODIED. The feature of the hagiographic lore that
came to serve as a primary focus of Daoist meditative practice
As early as the Han dynasty, the Dao de jing was appar-
is the process by which Laozi came to his earthly incarnation.
ently recited not only for magico-religious purposes, but also
An early account of his “historical” nativity appears in the
as a guide to deportment. Additionally, a number of separate
late second-century Laozi bianhua jing. There it is said that
tracts appeared, offering advice to the adept on how to con-
by a metamorphosis of his spirit (shen), Laozi assumed the
duct one’s life in accordance with the principles of the Dao
form of his mother and then within her womb, after a long
de jing, namely, limited activity (wuwei), pure quiescence
gestation, he achieved carnal form. This concept of Laozi as
(qingjing), and noncontention (buzheng). According to ha-
his own mother is ultimately derived from the Dao de jing,
giographic lore, it was not unusual for exemplars of these
where the Dao that bears a name is said to be the mother
principles to find themselves bearing witness to an epiphany
of all things. It is understood, in other words, that Laozi is
of Laozi, an experience that in turn frequently presaged their
the body of the Dao itself. The transformations he undergoes
own spiritual transcendence. From at least the thirteenth
prior to his incarnation are thought to be analogous to the
century, Laozi was ritually evoked as the primary patriarch
evolutionary stages of the universe. Laozi arises from primor-
of the Quanzhen lineage on the putative date of his birth,
dial chaos as the Dao incarnate to become the mother of all
the fifteenth day of the second lunar month. It was also cus-
things, the source of creation. The reenactment of this pro-
tomary, according to the Quanzhen tradition established by
cess of Laozi’s birth is precisely what lies at the heart of the
Wang Zhe (1112–1170), to call upon Lord Lao to preside
early manuals on meditative practices associated with “nour-
over ritual commemorations of immortals sacred to the lin-
ishing the vital principle” (yangxing). Just as Laozi, the em-
eage. These ceremonies no doubt drew large crowds of clergy
bodiment of the Dao, is himself perceived to be a microcosm
and laity alike.
of the universe, so too does the Daoist adept view his own
To the individual lay believer, Laozi appears to have of-
body as a vast kingdom. Within this internal landscape, the
fered a wide range of solace. The texts of stone inscriptions
adept strives to transform his vital forces into the image of
preserved from the sixth to the thirteenth century attest to
a newborn babe, a homunculus modeled after Laozi.
the various demands devotees put on their compassionate
In the legacy of neidan, physiological alchemy, this cre-
messiah. Two inscriptions dating to the Northern Qi (550–
ation has come to be referred to as the enchymoma, or inner
577), which mark the crafting of an image of Laozi, express
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAOZI
5319
the hope that the deceased will be granted ascent to the heav-
century, the Hunyuan huangdi sheng ji (A chronicle of the
enly realm. By the Tang dynasty, many images and shrines
sage and majestic sovereign from the primordiality of chaos).
to Laozi had been created as talismans to ensure the welfare
Two meditative techniques prescribed in this text invite
of the emperor, reflecting thereby the close relation between
comparison with the changing conceptualizations of the
church and state.
Buddha’s dharmaka¯ya. The initial procedure is based on a
recall of each of the seventy-two attributes of Laozi’s “ritual
Large quantities of newly revealed scriptures written in
body,” or fashen, which is the standard translation of the
the name of Taishang Laojun took equal account of both
term dharmaka¯ya. The focus of the second type of medita-
this-worldly and otherworldly concerns. These texts, espe-
tion is on the “true body” or zhenshen of Laozi, as he is per-
cially popular during the Tang and Song, purport to be the
ceived suspended in the cosmos, utterly tranquil, beyond all
Lord Lao’s personal instructions on everything from the art
transmigrations. The Hunyuan huangdi sheng ji also discusses
of prolonging life to the quelling of all the malevolent forces
the settings in which the ever-radiant Lord Lao may be envi-
thought to threaten humankind. As was the case with the
sioned, for example, seated Buddha-fashion on a lotus throne
Dao de jing, it was believed that the full efficacy of the new
or in command of a jade chariot harnessed to divine dragons.
scriptures could only be realized after repeated recitation. To
The vividness of these descriptions suggests that they may
Laozi were also attributed very specific behavioral codes, de-
very well have served as guides to those who crafted images
signed to reinforce traditional Chinese values as well as to
of Laozi or painted temple murals.
promote the goals of a utopian, socialist society. Laozi, in
other words, was a source of inspiration for many special in-
Later hagiographic accounts supplement the teachings
terests from all levels of society. During waves of spiritual in-
on visualization with reports on the miraculous impressions
novation, many shrines to Lord Lao arose throughout the
of Lord Lao upon both natural and manmade landmarks. Al-
countryside, while others were restored or enlarged. Wor-
though these visions commonly proved to be equally ephem-
shipers at these shrines were often rewarded by visions of
eral, their memory was often reportedly preserved in works
their Lord, appearing in response to individual pleas for di-
of art. Details on early icons are otherwise scarce, for even
vine intervention. According to one inscription dated 1215,
in the epigraphic records little more is specified than the
Lord Lao was expressly evoked by Daoist priests in an elabo-
choice of material to be worked, such as stone, jade, or clay.
rate ritual to exorcise a victim of possessing spirits.
A Tang dynasty rendition of Laozi in stone, now housed in
IMAGES OF LAOZI. In his Baopuzi, a compilation of southern
the Shanxi Provincial Museum of Taiyuan, is one of the few
Chinese religious beliefs and practices, Ge Hong (283–343)
such images to survive. The right hand of this seated figure,
offers one of the earliest descriptions of Laozi’s appearance.
dating to 719, holds a short-handled fan in the shape of a
According to a passage in the neipian (“inner chapters”), one
palm leaf. This type of fan became the defining feature of
was to envision Lord Lao as a figure nine chi (about seven
the Lord Lao as he is most commonly depicted in a grouping
feet) tall, invested with cloudlike garments of five colors, a
of the Celestial Worthies of the Three Clarities (Sanqing
multitiered cap, and a sharp sword. Among the distinctive
Tianzun). A remarkable representation of this trinity in
facial features he is reputed to have are a prominent nose, ex-
wood is once more on view in the upper story of the rear pa-
tended eyebrows, and long ears, a physiognomy typically sig-
vilion at the Baiyun Guan (White Cloud Abbey) in Beijing,
nifying longevity. Ge Hong concludes that the ability to call
a Quanzhen shrine that is now home to the Chinese Daoist
forth this vision of Lord Lao gave one assurance of divine
Association.
omniscience, as well as everlasting life.
SEE ALSO Confucius; Daoism; Ge Hong; Jiao; Kou Qian-
Later resources propose a far more elaborate scheme of
zhi; Millenarianism, article on Chinese Millenarian Move-
visualization. For example, nearly an entire chapter of a sev-
ments; Wang Zhe; Zhang Daoling; Zhang Lu.
enth-century anthology, the Sandong zhunang (A satchel of
pearls from the three caverns) of Wang Xuanhe (fl. 682), is
B
devoted to citations on the salient features of supramundane
IBLIOGRAPHY
beings. Among the more notable passages is one from the
Tao Te Ching, rev. ed., translated by D. C. Lau (Hong Kong,
1982), includes a translation of the Wang Bi text of the
Huahu jing that asserts that Laozi is endowed with seventy-
Laozi, together with a rendition based on the Mawangdui
two distinguishing attributes, an obvious parallel to the Bud-
manuscripts. Of special interest in this work are Lau’s intro-
dha’s thirty-two laks:an:a. The specification of these divine
ductions on Laozi and the Mawangdui texts, and two appen-
features varies according to the meditation guide quoted.
dixes on “The Problem of Authorship” and “The Nature of
One manual speaks of meditating on the nine transforma-
the Work.” Chuang-tzu; The Seven Inner Chapters and Other
tions of Laozi, the last and most imposing of which bears all
Writings from the Book Chuang-tzu, translated by A. C. Gra-
seventy-two attributes. In this ultimate vision, the cosmo-
ham (London, 1981), includes a thoughtful analysis of the
gonic body of Laozi is said to emerge as a radiant simulacrum
passages that bear on Laozi’s encounters with Confucius. An-
of the heavens above and earth below.
notated translations of Liu Xiang’s biographies of Laozi and
Yin Xi are found in Le Liesien tchouan: Biographies légendaires
A variation on this visualization technique is found in
des Immortels taoïstes de l’antiquité, edited and translated by
an anonymous account of the Lord Lao of the early eleventh
Max Kaltenmark (Beijing, 1953). Anna K. Seidel’s La divini-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5320
LAPP RELIGION
sation de Lao tseu, dans le taoïsme des Han (Paris, 1969) is an
mestic burials. In fact, an Iron Age custom of burials in oak
invaluable monograph based on a critical reading of the
trunks is known, as are the cults of the lares Querquetulani
Laozi ming and the Laozi bianhua jing. For a comprehensive
(Varro, De lingua Latina 5,49) and the virae Querquetulanae
study of the huahu issue from the second to the sixth century,
(Festus 314), which were male and female spirits living in
Erik Zürcher’s The Buddhist Conquest of China, 2 vols.
oak trees and oak bushes.
(1959; Leiden, 1972), remains unsurpassed. Outstanding
documentation of the techniques for prolonging life with
The Dionysian religion clearly exerted an influence
which Laozi became associated is available in Henri
upon the lares cult because both Dionysos and the lares were
Maspero’s Le taoïsme et les religions chinoises (Paris, 1971),
meant to connect and harmonize the world of life and the
translated by Frank A. Kierman, Jr., as Taoism and Chinese
world of death. The lares were deified souls, and Greek deifi-
Religion (Amherst, Mass., 1981). Norman J. Girardot’s Myth
cation was celebrated by a Dionysian triumphal parade from
and Meaning in Early Taoism (Berkeley, 1983) examines the
earth to Olympus, whereby the lares were conceived as drink-
mythology of Laozi’s transformations as it pertains to early
ing wine, wearing crowns, and sometimes accompanying
cosmogonic theory. His analysis is based in large part on Sei-
del’s work, taken together with Kristofer Schipper’s “The
satyrs.
Taoist Body,” History of Religions 17 (1978): 355–386.
Few myths related to the lares are known. King Servius
Schipper offers a more detailed interpretation of Laozi’s “cos-
Tullius was allegedly the son of the lar living in the hearth
mogonic body” in Le corps taoïste (Paris, 1982). Extensive
of royal palace, and because of that he founded the lares cult
documentation of the neidan tradition is found in Joseph
in the town and villages, which included the festivals of
Needham and Lu Gwei-Djen’s Science and Civilisation in
Compitalia and Paganalia (Dionyso of Halikarnassos 4,14;
China, vol. 5, pt. 5 (Cambridge, 1983). For a survey of perti-
nent hagiographies, historical chronologies, and exegeses on
Pliny, Historia naturalis 36, 204). According to Ovid (Fasti
the Dao de jing, see my A Survey of Taoist Literature, Tenth
2, 583–616) the lares praestites, protectors of Rome, were
to Seventeenth Centuries (Berkeley, 1987).
sons of the nymph Lara, who was raped by Mercurius.
JUDITH MAGEE BOLTZ (1987)
The public cult of the lares was democratic in character
and was seen as an alternative to the ancestor cult of noble
families. The standard image of the lares, dancing and pour-
LAPP RELIGION S
ing wine, had no personalized features, whereas the ancestor
EE ARCTIC RELIGIONS;
FINNO-UGRIC RELIGIONS; SAMI RELIGION
masks of the aristocracy were believed to represent the precise
personality of the deceased. The only lares with identifiable
personalities were associated with Aeneas (Guarducci, 1956–
1958) and Hercules (Floriani Squarciapino, 1952), who were
LARES. The ancient Roman name for the deified souls of
common heroes to all Romans. In addition, the sow and the
the dead was lases (Inscriptiones Latinae liberae rei publicae 4),
thirty piglets of Lavinium, which appeared to Aeneas as a
a term for which the only possible comparison is Lasa, the
forecast of the thirty Latin towns, were believed to be lares
Etruscan name for a nymph. An old theory according to
Grundiles (Schilling, 1976). In the first century BCE a popular
which the lares (singular, lar) were originally guardians of
politician, Marius Gratidianus, merited a cult organized by
fields, roads, and other areas (Wissowa, 1912, pp. 166–174)
the city’s quarters. This cult was similar to that of the lares
is not convincing. A fragment of the Proceedings of the Arval
(Cicero, On the Duties 3, 80; Seneca, Ira 3, 12, 1; Pliny, Hi-
Brotherhood (Inscriptiones Latinae selectae 9522) and a fourth-
storia naturalis 33, 132; 34, 27). The cult of the emperor’s
to third-century BCE dedication to the lar Aeneas indicate
genius was first organized by Augustus in 7 BCE together with
that the “mother of the lares” was a chthonic deity and that
the lares cult in every city quarter (Cassius Dio 55,8.1; Sueto-
common ancestors were believed to be lares. Therefore the
nius, Augustus 30–31; Ovid, Fasti 5,145 ff.; Niebling, 1956).
theory (Samter, 1901) that the lares were deified souls of an-
In the towns of central Italy the most important festival
cestors is preferable.
for the lares publici was the Compitalia, which was called Pa-
The argument concerning whether lares originated out-
ganalia in the villages. The features of this festival survived
side the house (Wissowa) or inside (Samter) is probably a
late into the Christianized empire and constituted the core
false problem, because the spirits of dead protected Romans
of paganism. The Compitalia occurred at the beginning of
everywhere. The ancient tradition is unanimous in maintain-
January near crossroads, where small altars or chapels stood.
ing that lares were deified souls (e.g. Festus 273; Glossaria La-
Every family hung wool dolls at the crossroad, and slaves
tina 2, 104); some authors suggest lares were the gods’ manes,
hung balls (Festus, 273, Lindsay). People also offered cakes,
that is, the deified dead (Varro by Arnobius 3,41; Servius,
garlic, and poppyheads, and a sow was sacrificed to the Mater
On Aeneis 3,302); or they identify lares with the Greek dai-
Larum (Inscriptiones Latinae selectae 3615; Propertius
mones (Cicero, Timaeus 38; Glossaria Latina 2,121.17;
4,1,23). The festival’s presidents were four magistri vici, au-
265.62); or with heroes (Dionyso of Halikarnassos 4,2,3–4;
thorities of the quarter or village, who often were also heads
14,3; Plutarch, On the Fortune of Romans 10; Glossaria La-
of craft guilds (Asconius, On Cicero’s Pisonianam 7, Clark)
tina 2,121; 3, 290). Servius (On Aeneis 6,152) maintains that
and freedmen. The wall paintings of the Italic quarter at
the lares cult can be traced back to an ancient custom of do-
Delos show scenes of these plebeian meetings. The magistri
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LARES
5321
can be seen wearing toga praetexta and accompanied by lic-
to the lares of the crossroad (Nonius, 852, Lindsay), showing
tors and flute-players. The paintings also depict scenes of
that she had arrived under the protection of these divine
boxing matches and other games. Simple theatrical plays
souls.
were presented during this festival (Nonius, 288, Lindsay;
The souls of Roman ancestors had a “mother,” the
Propopertius 2,22,1; Suetonius, Augustus 43; Euantius, On
Mater Larum, who was a female divinity, or queen of dead,
the Comedy 5,2; Grammatici Latini 1, 488). Everyone, even
comparable to Ceres and the Greek Hekate. Her names
the slaves, was permitted to drink a large amount of wine
Larunda, Lara, Larentia, and Acca (= mother) Larentia derive
(Cato, On Agriculture 57; Persius 4, 25–26). The lares were
from the word lar, and the names Mania and Genita Mana
conceived as young men who danced, drank wine, and par-
derive from manes; she was also called Tacita and Muta; that
ticipated in the games. The Compitalia and Paganalia had
is, “silent goddess.” Acca Larentia, a famous personage in the
the features of the great winter festivals (Lanternari, 1976),
myths of Roman origins, played a role as the mother of
which took place during the seasonal pause in work, when
Roman ancestors. At first she was a girl with whom Hercules
the souls of the dead came back among the community and
once flirted (e.g., Plutarch, Romulus 5; Roman Questions 35);
were entertained with banquets, dances, and other rituals,
later she was the wet-nurse of Romulus (e.g., Livy 1, 4, 7;
and the normal hierarchical structure of the society was sus-
Plutarch, Romulus 4). In addition, the first eleven Arvales,
pended.
Romulus’s brothers, were her sons (Gellius 7, 7, 8; Pliny, Hi-
storia naturalis 18, 6). During the Compitalia families dis-
The public lares were also protectors of roads (lares vi-
played hideous images of the face of Mania in order to gain
ales: e.g., Plautus, The Merchant 865; Corpus inscriptionum
protection against bad ghosts; people also offered garlic and
Latinarum VI, 2103; VIII, 9755; XII, 4320), of enterprises
poppyheads, which stood for human heads. This ritual was
of the Roman fleet (lares permarini, whose temple was dedi-
introduced by Junius Brutus when he founded the Republic,
cated in 179 BCE: Livius 40, 52, 4; Macrobius 2, 10, 10), and
and by means of the ritual sought to appease Mania, who had
of the army (lares militares: Martianus Capella 1, 46, 48; Cor-
been offended by Tarquinius Superbus (Macrobius 1, 7,
pus inscriptionum Latinarum III 3460; 3463; Acta fratrum
34–35).
Arvalium 86 Henzen). Two lares praestites, wearing dogs’
coats over their heads and accompanied by dogs, were the
Mater Larum was honored during other festivals of the
protectors of Rome; their festival was celebrated on May 1
dead—she was seen as Tacita at the Feralia of February 21,
(Ovid, Fasti 5, 129–146; Plutarch, Roman questions 51 and
and as Larenta/Larunda at the Larentalia of December 23.
the Republican denarius of L. Caesius).
On that day the pontiffs and the flamen Quirinalis brought
offerings to the burial site of Acca Larentia (Varro, De lingua
In private cult the lares were the ancestors of families (cf.
Latina 6, 23; Gellius 7, 7, 7), the sacellum Larundae on the
lares Volusiani: Corpus inscriptionum Latinarum 6, 10266–
Roman Forum (Tacitus, Annales 12, 24; Varro, De lingua
102667; lares hostilii: Festus, 90, Lindsay) and every Roman
Latina 5, 74), where Romulus’s nurse was buried and Hercu-
house had a lararium, a chapel where offerings were brought
les’ beloved disappeared. In the archaic age this area was cov-
to the statues or paintings of the lares and the genius in form
ered by the Velabrum marshes and was believed to be a gate-
of a snake. The hearth was the most ancient seat of the lar
way to the netherworld. On May 13 the Arval Brothers
domesticus or lar familiaris (e.g. Plautus, Aulularia 1–8; Ovid,
sacrificed two sheep to the Mater Larum (Acta fratrum Ar-
Fasti 6, 306; Petronius 60). The lares were endowed with fe-
valium 145 Henzen) and during another ritual they prepared
cund might and were supposed to have made certain mythi-
pots of cornmeal mush as her dinner (Inscriptiones Latinae
cal girls pregnant, such as the slave who gave birth to Servius
selectae 9522). Similar pots were employed at the Greek An-
Tullius. In fact, the cult of the lares domestici was often en-
thesteria, a Dionysiac festival celebrating the return of souls
trusted to home slaves. The most important moments in the
from the netherworld.
life of each Roman were marked by cultic acts in honor of
S
the lares: birth, death, disease, and the liberation of slaves,
EE ALSO Ancestors; Arval Brothers; Penates; Roman Reli-
gion, article on The Early Period.
as well as a young person’s attainment of the legal age of
adulthood, the rituals of which inherited features of initiato-
BIBLIOGRAPHY
ry rituals in which the lares played a major role. During the
Aronen, Jaakko. “Iuturna, Carmenta e Mater Larum: Un rapporto
festival of Liber Pater, the Liberalia of March 17, fathers
arcaico tra mito, calendario e topografia.” Opusc. Inst. Rom.
presented sons who had reached legal age as new citizens; the
Finlandiae 4 (1989): 65–88.
young man dedicated to the lares his bulla (hanging personal
Bezerra de Meneses, Ulpiano, and Haiganuch Sarian. “Nouvelles
amulet) and was clothed with a toga (e.g., Persius 5, 31). A
peintures liturgiques de Délos.” In Études déliennes,
similar ritual for daughters corresponded to marriage, before
pp. 77–109. Paris, 1973.
which the bride dedicated her toys, a hair net, and the ban-
Bulard, Marcel. La religion domestique dans la colonie italienne de
dage that had been wrapped around her upper body to con-
Délos, d’après les peintures murales et les autels historiés. Paris,
ceal her bosom. (Scholia to Horace, Satyres 1, 5, 65; Nonius,
1926.
863, Lindsay.) When the bride first went to her new hus-
Carandini, Andrea. La nascita di Roma: Dèi, lari, eroi, e uomini
band’s house, she dedicated coins to the lar of the hearth and
all’alba di una civiltà. Turin, Italy, 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
5322
LAS CASAS, BARTOLOMÉ DE
De Marchi, Attilio. Il culto privato di Roma antica. 2 vols. Milan,
for the plight of the Indians while reading Ecclesiasticus (Ben
Italy, 1896–1903.
Sira) 34:22. Four months later he preached his famous ser-
Flambard, Jean-Marc. “Clodius, les collèges, la plèbe et les es-
mon in the Church of the Holy Spirit, denouncing the grave
claves: Recherches sur la politique populaire au milieu du Ier
injustices being committed, and turned his Indians over to
siècle.” Mélanges de l’École Française de Rome (Antiquité)
the governor of Cuba. Until his death at ninety-two, he was
(MEFRA) 89 (1977): 115–153.
the tireless “Defender of the Indians,” a title conferred on
Floriani Squarciapino, Maria. “L’ara dei lari di Ostia.” Archeologia
him in Madrid in 1516.
classica 4 (1952): 204–208.
Las Casas returned to Spain four times, in attempts to
Fröhlich, Thomas. Lararien- und Fassadenbilder in den Vesuvstäd-
save the Indians from the cruelties of the Spanish conquest
ten. Mainz, Germany, 1991.
and to find new methods to convert them to Christianity.
Guarducci, Margherita. “Cippo Latino arcaico con dedica ad
In his efforts he became a court reformer in Spain (1515);
Enea.” Bullettino commissione archeologica comunale Roma 19
the leader of the unsuccessful colony of peace in Curmaná,
(1956–1958): 3–13.
Venezuela (1520), which attempted to establish agricultural
Hano, Michel. “A l’origine du culte impérial: Les autels des lares
communities of Spanish and Indian workers; a Dominican
Augusti.” In Aufstieg und Niedergang der römischen Welt
monk and prior in Santo Domingo (1523); the unrelenting
(ANRW) II, 16, no. 3 (1986): 2333–2381.
foe of the unjust wars of suppression in Nicaragua (1535);
Lanternari, Vittorio. La grande festa: Vita rituale e sistemi di
a defender of the Indians against ecclesiastics in Mexico
produzione nelle società tradizionali. Bari, Italy, 1976.
(1532); a promoter and participant in the project to colonize
Mastrocinque, Attilio. Lucio Giunio Bruto. Trento, Italy, 1988.
and Christianize the natives of Guatemala by peaceable
Niebling, Georg. “Laribus Augustis magistri primi.” Historia 5
means (1537); a successful attorney for the Indians before
(1956): 303–331.
Charles V, urging the adoption of the New Laws (1542),
Piccaluga, Giulia. “Penates e lares.” Studi e Materiali di Storia delle
which, for example, negated the rights of the encomienda
Religioni (SMSR) 32 (1961): 81–98.
over Indian children; and the rejected bishop of Chiapas
(1545). When he returned to Spain for the last time in 1547,
Radke, Georg. “Die Dei Penates und Vesta in Rom.” Aufstieg und
Niedergang der römischen Welt (ANRW) II, 17, no. 1 (1981):
it was as a legal adviser and theologian in defense of Indian
343–373.
rights.
Samter, Ernst. Familienfeste der Griechen und Römer. Berlin, 1901.
In his prophetic crusade, alternately encouraged and de-
Scheid, John. Romulus et ses frères: Le collège des Frères Arvales,
nounced by creoles and clerics, Las Casas doggedly and dog-
modèle du culte public dans la Rome des empereurs. Rome,
matically followed what he conceived to be his life’s purpose.
1990. See pages 578–598.
With a missionary conviction that his truth could not be ne-
Schilling, Robert. “Les lares Grundiles.” In L’Italie préromaine et
gotiated, he proclaimed, “All peoples of the earth are men.”
la Rome républicaine: Mélanges offerts à Jacques Heurgon,
He categorically denied the claims of Juan Ginés de Sepúlve-
pp. 947–960. Paris, 1976.
da that “the Indians are inferior to the Spanish as are children
Settis, Salvatore. “Severo Alessandro e i suoi lari.” Athaeneum 50
to adults, women to men, and . . . almost as monkeys to
(1972): 237–251.
humans.” Rather, he lauded the cultural and artistic achieve-
Tabeling, Ernst. Mater Larum: Zum Wesen der Larenreligion.
ments of Indian cultures, which he considered equal to that
Frankfurt, Germany, 1932.
of ancient Egypt. In some respects, he declared in his Apolo-
getic History, Indians are superior to Spaniards.
Wissowa, Georg. Religion und Kultus der Römer. 2d ed. Munich,
1912.
Las Casas wrote in reaction to what he viewed as horri-
ATTILIO MASTROCINQUE (2005)
ble inhumanities committed with hypocritical religious justi-
fication. Must people be converted by slavery and the sword?
In his Only Method of Attracting All People to the True Faith
(1537), he argued for means that persuade by exhortation
LAS CASAS, BARTOLOMÉ DE (1474–1566), was
and gentle attractions of the will. With furious verbal assaults
a Christian missionary. Las Casas was born in Seville, Spain.
and chilling realism, he recounted the relations of the Indians
In 1502 he went to the island of Hispaniola (present-day
with their European conquerors in his History of the Indies,
Dominican Republic and Haiti), where he participated in
on which he worked from 1527 to 1566. Equally brutal in
the conquest of the Indians. As a reward he received lands
exposing the grave crimes against the Indian race, his Very
and Indians under the encomienda system, a kind of inden-
Brief Account of the Destruction of the Indies (1542) and eight
tured servanthood. He exercised the lay office of catechist,
more tracts for public dissemination (1552) raised storms of
worked to evangelize the Indians, and was ordained a priest
protest against Las Casas. But the prophet was unbending:
about 1512. His commitment to evangelization did not keep
His Advice and Regulations for Confessors (1545) advocated
him from participating in the bloody conquest of Cuba, for
denial of the sacraments of the church to all who had Indians
which he received additional lands and Indians. However,
and did not “pay a just wage.” In later years British royalists,
in 1514, at forty years of age, he was converted to concern
New England colonists, French rationalists, and Latin Amer-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LA VALLÉE POUSSIN, LOUIS DE
5323
ican nationalists freely used his condemnation of the Spanish
tributed to a reorientation of Buddhist studies toward the
atrocities as propaganda for their own causes.
languages of northern Buddhism (Sanskrit and Tibetan) and
Crusader, traitor, prophet, paranoiac, servant of God,
toward Buddhist philosophy considered in its historical per-
anarchist, visionary, pre-Marxist, egalitarian—these are but
spective. He produced two main types of studies: scholarly
a few of the epithets hurled at his memory. The issues Las
editions, and translations with exegeses. These correspond
Casas raised are dangerously modern.
roughly to the two periods of his activity, that before and
that after World War I.
BIBLIOGRAPHY
During the first period, there was a need for accurately
An admirable collection of the principal writings of Las Casas is
edited texts. It remains La Vallée Poussin’s major contribu-
Orbras escogidas, 5 vols., edited by Juan Pérez de Tudela (Ma-
tion to Buddhist studies that he compiled several text edi-
drid, 1957–1958). The missionary’s view that the gospel re-
tions, some published in Belgium, others in the classical se-
quires a peaceful evangelization of the Indians without the
ries “Bibliotheca Indica,” Calcutta, and others in the series
use of arms is contained in his Del único modo de atraer a
“Bibliotheca Buddhica,” Saint Petersburg. He began with
todos los pueblos a la verdadera religión, edited by Augustín
some of the then-neglected Tantric texts, Pan¯cakrama
Millares (Mexico City, 1942). Two of his principal works are
available in English: Devastation of the Indies: A Brief Account,
(1896) and Adikarmaprad¯ıpa (1898), and continued with
translated from Spanish by Herman Briffault (New York,
important Ma¯dhyamika writings, among them Na¯ga¯rjuna’s
1974), and In Defense of the Indians, edited and translated
Ma¯dhyamikasu¯tras (1903–1913) and Prajna¯karamati’s
from Latin by Stafford Poole with Lewis Hanke, V. Friede,
Panjika¯ commentary on the Bodhicarya¯vata¯ra of S´a¯ntideva
and Benjamin Keen (De Kalb, Ill., 1974). The first work de-
(1901–1905). Other texts he edited included some frag-
fends the thesis that the cause of the destruction of an “infi-
ments then newly discovered by Aurel Stein.
nite number of souls” by Christians is solely the latter’s thirst
for gold and “to become fat with riches in a few brief days.”
Besides this editorial oeuvre, La Vallée Poussin pro-
The second work denounces the imperialistic exploitation of
duced numerous translations, exegetical studies, and text
the Indians inspired by the conquistadors’ greed and ambi-
analyses. He also wrote several essays (including some that
tion; as such, it may be considered a tract for all times against
were to appear in Christian publications) that show his pre-
economic and social exploitation.
occupation with and perpetual reassessment of what he
A useful bibliography is Lewis Hanke and Manuel Giménez Fer-
called Buddhist dogmatics.
nández’s Bartolomé de las Casas, 1474–1566: Bibliografía crí-
After World War I, La Vallée Poussin, who had in the
tica y cuerpo de materiales para el estudio de su vida (Santiago
meantime mastered the languages of the Chinese Buddhist
de Chile, 1954). Though dated, this work gives a valuable
accounting of studies on historical background and addition-
translations, undertook the enormous enterprise of translat-
al bibliographical sources. Manuel Giménez Fernández’s
ing and critically annotating two summae of Buddhist scho-
Bartolomé de las Casas, 2 vols. (Seville, 1953–1960), is an ex-
lastics: Vasubandhu’s Abhidharmako´sa, the masterwork of
cellent, though unfinished, biography of the first part of his
the northern H¯ınaya¯na abhidharma school, and Xuanzang’s
life.
Vijnaptima¯trata¯siddhi, the best compendium of the tenets of
the Yoga¯ca¯ra, or Idealist, current of the Maha¯ya¯na. For his
SIDNEY H. ROOY (1987)
Abhidharmako´sa (1923–1931), La Vallée Poussin had to
master the huge Kashmirian Maha¯vibha¯s:a¯, which even today
has not been translated into a Western language. With his
LATTER-DAY SAINTS SEE MORMONISM
Vijñaptima¯trata¯siddhi: La Siddhi de Xuanzang (1928–1929)
he took the lead in the study of Idealist Buddhism, a field
in which Sylvain Lévi had laid the foundation and which
Paul Demiéville and La Vallée Poussin’s pupil Étienne La-
LATVIAN RELIGION SEE BALTIC RELIGION
motte were to continue.
These exegetical exercises did not keep La Vallée Pous-
sin from pursuing other areas of Buddhist thought. Paradoxi-
LA VALLÉE POUSSIN, LOUIS DE (1869–1938),
cally, La Vallée Poussin was both fascinated and reticent re-
was a Belgian Indologist and specialist in Buddhist philoso-
garding the Ma¯dhyamika; he was attracted by the critical
phy. Educated in Liège, Louvain, Paris, and Leiden, La Val-
stance of Ma¯dhyamika thought, but this attraction was re-
lée Poussin became professor at the University of Ghent. He
sisted by his strong personal convictions. His attitude is re-
entered his field of research at a time when Buddhist studies
flected in numerous publications on the meaning of nirva¯n:a
were dominated by the study of the Pali canon and Sanskrit
(annihilation or bliss?) and in his polemics with Theodore
narrative literature with an emphasis either on psychological
Stcherbatsky on the interpretation of su¯nyata¯ (emptiness or
and ethical aspects or on mythology and social concerns. (A
relativity?). La Vallée Poussin submitted the ancient history
more doctrinal approach did exist, mostly in the French and
of India to his Nagarjunian criticism in three volumes: Indo-
Russian traditions.) La Vallée Poussin dedicated all the
Européens et Indo-Iraniens (1924), L’Inde aux temps des
strength of his philological genius to this field and thus con-
Mauryas (1930), and Dynasties et histoire de l’Inde (1935).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5324
LAW, WILLIAM
BIBLIOGRAPHY
eral distinguishing themes: preoccupation with the scriptures
Besides the writings mentioned in this article, the thirty-six articles
and Christ as the bases and models for perfection; self-denial
La Vallée Poussin contributed to the Encyclopaedia of Reli-
as a necessary antidote to vainglory and passion; prayer and
gion and Ethics, edited by James Hastings (Edinburgh, 1908–
meditation; and ways and means for implementing Christian
1926), yield much information on the results of the studies
doctrine in practical affairs.
of his first period. A good overview of his second period can
be gained from his “Notes bouddhiques” in the Bulletin de
Among Law’s later work were responses to various reli-
la classe des lettres of the Académie Royale de Belgique (Brus-
gious writers: The Grounds and Reason for Christian Regenera-
sels, 1921–1929) and from his numerous contributions to
tion (1739), An Appeal to All Who Doubt the Truths of the
the first five volumes (Brussels, 1932–1937) of the publica-
Gospel (1740), An Answer to Dr. Trapp’s Discourse (1740),
tion series he founded in 1931, the “Mélanges chinois et
and A Refutation of Dr. Warburton’s Projected Defense of
bouddhiques.”
Christianity (1757). More influential, however, were the
Works on La Vallée Poussin include Marcelle Lalou’s article “Ré-
mystical writings The Spirit of Prayer (1749), The Spirit of
trospective: L’œuvre de Louis de la Vallée Poussin,” in
Love (1752), and The Way to Divine Knowledge (1752).
Bibliographie bouddhique, fasc. annexe 23 bis (Paris, 1955),
These three works reveal the influence of Jakob Boehme,
pp. 1–37; and Étienne Lamotte’s article “Notice sur Louis
who professed visionary encounters with God. Many Chris-
de la Vallée Poussin,” Annuaire de l’Académie Royale des Sci-
tian critics have objected to the oversubjectivism and implicit
ences, des Lettres et des Beaux-arts 131 (1965): 145–168.
universalism in Law’s later writings, branding them as “mys-
New Sources
tical,” a term often held as opprobrious by traditional reli-
Wedemeyer, Christian K. “Tropes, Typologies, and Turnarounds:
gious thinkers. However, if one considers an intuitive ap-
A Brief Genealogy of the Historiography of Tantric Bud-
proach to reality, awareness of unity in diversity, and a
dhism.” History of Religions 40, no. 3 (2001): 223–259.
passion for a spiritual reality that underlies and unifies all
H
things to be typical of mysticism, one realizes that this desire
UBERT DURT (1987)
Revised Bibliography
for union with God lies at the root of all religious devotion.
In this light, Law’s “mystical” works reflect his earlier theo-
logical beliefs and have a close kinship with his Christian Per-
fection and A Serious Call.
LAW, WILLIAM (1686–1761), was an English devo-
Many readers have paid tribute to Law’s simple, clear,
tional writer. Born at King’s Cliffe, Northamptonshire, Wil-
and vivid prose style, and scholars have pointed to his pro-
liam Law came from a family “of high respectability and of
nounced religious influence on such minds as Samuel John-
good means.” He entered Emmanuel College, Cambridge,
son, John Wesley, John Henry Newman, Charles Williams,
in 1705 to prepare for the Anglican ministry; he achieved the
and C. S. Lewis. His intellectual power, incisiveness, and
B.A. in 1708 and the M.A. in 1712, the same year in which
piety wielded a marked influence both within and without
he received a fellowship and ordination. He read widely from
organized church ranks. Law’s major achievement lay in his
the classics, the church fathers, and the early mystics and de-
significant contribution to the English tradition of devotion-
votional writers, and he studied science and philosophy as
al prose literature.
well. Law’s refusal to take oaths of allegiance and abjuration
upon the accession of George I deprived him of his fellow-
BIBLIOGRAPHY
ship and his right to serve as minister in the Church of En-
gland. He remained loyal to the state church, however,
Primary Source
Law, William. The Works of the Reverend William Law, M.A.
throughout his life. After an extended period as tutor to Ed-
(1762). Reprint, 9 vols. in 3, London, 1892–1893.
ward Gibbon, father of the historian, Law took up perma-
nent residence at his birthplace, King’s Cliffe, where he
Secondary Sources
served as spiritual adviser to many, engaged in acts of charity
Baker, Eric. A Herald of the Evangelical Revival. London, 1948.
to the deprived of the community, and wrote the nine vol-
Examines basic views of Law and Jakob Boehme and shows
how Law kindled in Wesley a passion for an unimpaired
umes that make up his major works.
“ethical ideal.”
Law’s early writings include Remarks upon the Fable of
Hopkinson, Arthur. About William Law: A Running Commentary
the Bees (1723), a refutation of Bernard Mandeville’s work;
on His Works. London, 1948. Recognizes works with differ-
The Unlawfulness of Stage Entertainment (1726); The Case of
ent subjects: religious controversy, morality, mysticism, and
Reason or Natural Religion (1731); and two better-known
theology. Sketchy but informative.
works, Treatise upon Christian Perfection (1726) and A Seri-
Overton, John H. William Law: Nonjuror and Mystic. London,
ous Call to a Devout and Holy Life (1729). These latter con-
1881. Still the best single source for Law’s life and thought.
tribute significantly to a tradition of devotional prose litera-
Rudolph, Erwin P. William Law. Boston, 1980. Examines the
ture that includes such writers as Augustine, Richard Baxter,
range of Law’s thought and contribution to devotional prose
Jeremy Taylor, John Donne, and Lancelot Andrewes. Law’s
literature.
devotional writing has as its controlling purpose the aiding
Walker, Arthur K. William Law: His Life and Thought. London,
of persons in their quest of the “godly life,” and it reveals sev-
1973. Examines Law’s intellectual biography, focusing 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
LAW AND RELIGION: AN OVERVIEW
5325
the people whom Law knew and the writings with which he
or even as a source of sectarian partisanship, in contrast with
was familiar. Sometimes digressive and biased but generally
the presumed universalism of law. The sole positive role al-
useful.
lowed to religion is the subordinate one of reinforcing norms
ERWIN P. RUDOLPH (1987)
otherwise determined and enforced by the state. The evolu-
tionary hypothesis that religion, as an irrational vestige of
pre-modern or “primitive” culture, will gradually disappear,
views the continuation and especially the resurgence of reli-
LAW AND RELIGION
gion as a problem and challenge for secular law. For many
This entry consists of the following articles:
inside and outside the academy, this view is the only one that
AN OVERVIEW
continues to have relevance (and, with few exceptions, it is
LAW AND RELIGION IN THE ANCIENT MEDITERRANEAN
WORLD
also the only one incorporated in the law school curriculum
LAW AND RELIGION IN MEDIEVAL EUROPE
in the United States and most other modern, secular states).
LAW AND RELIGION IN INDIGENOUS CULTURES
Consequently, it is crucial to note at the outset that this man-
LAW AND RELIGION IN HINDUISM
LAW AND RELIGION IN BUDDHISM
ner of conceiving the relation between law and religion is
LAW AND RELIGION IN CHINESE RELIGIONS
quite parochial and, in some respects, fundamentally flawed.
LAW, RELIGION, AND LITERATURE
Historically, there have been close connections, extending in
LAW, RELIGION, AND CRITICAL THEORY
LAW, RELIGION, AND HUMAN RIGHTS
some cases to an identity, between law and religion in many
LAW, RELIGION, AND MORALITY
societies. Moreover, structural and historical connections be-
LAW, RELIGION, AND PUNISHMENT
tween law and religion continue into modernity. These con-
LAW AND NEW RELIGIOUS MOVEMENTS
nections demonstrate that the concept of law as inherently
secular is highly anachronistic and ought to be regarded with
LAW AND RELIGION: AN OVERVIEW
greater suspicion and criticism. (In other words, “law” as a
“Law” and “religion” denote vast, imperial realms that are,
category ought to be regarded by scholars of religion as prob-
for the most part, each understood to be clearly bounded and
lematic to the same extent as the category “religion.”)
independent. On closer inspection, these terms prove to be
The contemporary separation between law and religion
curiously amorphous and resistant to precise definition. Each
has been taken for granted both by those who endorse and
is also, in present common usage, peculiarly the product of
by those who deplore this separation. Both the British legal
modernity. Linking the two terms, as in “law and religion,”
historian Henry Maine (1822–1888) and the French sociol-
compounds these ambiguities. The ancient roots of these two
ogist Émile Durkheim (1857–1917), among others, argued
terms, the definitional difficulties associated with employing
for the convergence of law and religion in ancient or “primi-
them cross-culturally, and, above all, the problematic under-
tive” society. (Arthur S. Diamond’s [1897–1978] argument
standing of “modernity” they encode are only some of the
against Maine that law has always been to a greater or lesser
challenges that complicate an analysis of their interconnec-
extent autonomous from religion is a minority view.) Nei-
tion. The purpose of the present article is to begin this work
ther Maine nor Durkheim took a strong normative position
of definition in a manner that introduces and synthesizes
as to the desirability of this separation. However, Maine’s ad-
some of the key themes in the articles on law presented both
vocacy of gradualism in the evolution of law and Durkheim’s
in this section and elsewhere in the Encyclopedia, and to spec-
association of primitive law with the strong social function-
ify a range of historical and structural connections between
ing of “collective representations”—the comparative weak-
law and religion that illuminate the possible meanings of
ness of which in modern society presented a problem for so-
each of these terms, and of their intersection. (In an article
cial cohesion—may suggest the potentially negative effects
of this size and scope it is, of course, impossible to treat com-
of this separation. More recently, the American law professor
prehensively the manifold religious and legal traditions of
Harold Berman has consistently called into question the de-
human history and their intersections. This section will focus
sirability of the present extreme separation of law from reli-
primarily, although not exclusively, on the Anglo-American
gion. This perspective—which we may call “religionist” in
common-law tradition, reflecting the legal training of its au-
order to distinguish it from the “secularist” position to which
thors. Other parallel and related stories centering on other
it is opposed—shares with the latter the conviction that law
legal traditions are presented in the articles that follow).
today is, indeed, separate from religion. Both positions tend
INTRODUCTION. There is a widespread tendency in modern,
not to address definitional difficulties. The differences of
secular society to view law and religion as unrelated except
opinion are largely as to when, how, and why this separation
insofar as they may, from time to time, come into conflict.
came about; as well as, of course, its desirability.
According to a commonplace of post-Enlightenment
thought, the “secularization thesis,” societies as they modern-
Although the roots of the secular legal autonomy of the
ize move progressively away from religious norms toward a
modern state lie deep in medieval Europe, a decisive point
complete regime of secular law that permits only such reli-
of separation between law and religion within the Anglo-
gion as does not inhibit its administration. From the stand-
phone common-law tradition occurred in nineteenth-
point of secular law, religion is regarded as largely irrelevant,
century legal theory. The English jurist Matthew Hale
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5326
LAW AND RELIGION: AN OVERVIEW
(1609–1676) declared that Christianity is a part of the com-
of modernity itself, is no longer quite so believable, then
mon law. William Blackstone (1723–1780), author of the
there is greater reason to inquire into the relations between
influential Commentaries on the Laws of England, identified
law and religion, and especially their historical connections,
divine law and natural law among the sources of the common
both as a means of better understanding the present, and as
law. Against such views, the founding figures of legal positiv-
a potential guide to the future.
ism, which continues to be the reigning political theory of
The present article initiates this inquiry, and makes a
law, argued that law is necessarily separate from religion and
plea for further conversation between scholars of religion and
morality. The English Utilitarian philosopher and legal re-
scholars of law. In modern times, the separation between law
former Jeremy Bentham (1748–1832) argued that law ought
and religion is paralleled by a separation between the two ac-
to be embodied in a written code enacted by the legislature,
ademic disciplines of legal studies and religious studies.
to the exclusion of other sources, including religious ones.
These two fields, reflecting the strengths of secular legal posi-
His follower John Austin (1790–1859) rejected Blackstone’s
tivism and religious antinomianism, have led mostly inde-
argument that human laws that conflict with divine laws are
pendent lives. On the one hand, despite the best efforts of
not valid. Through their intellectual descendants, such as the
legal anthropologists, scholars of law remain almost exclu-
Oxford legal philosopher Herbert Hart (1907–1992), Ben-
sively focused on Western, secular legal materials. In con-
tham’s and Austin’s views have largely won this debate with-
trast, comparative religious historians have exhibited little in-
in modern jurisprudence.
terest in either law or the West. However, there is precedent
Recently, legal positivism has been the subject of sus-
for a deeper engagement between these two groups. Maine
tained critique from several quarters. (Here we will focus on
coined the term “comparative jurisprudence” on the model
the problematic aspects of legal positivism from the point of
of comparative philology and comparative mythology, the
view of religious studies. Other critiques of legal positivism
predecessor of the history of religions. Citing this forgotten
have focused on expanding our understanding of law from
precedent, the present article attempts to initiate a conversa-
other critical perspectives, including those of gender and
tion between legal studies and religious studies.
post-colonial theory, and have focused on legal positivism’s
RELIGION AND SECULAR LAW: STRUCTURAL DIFFERENCES
tendency to fixate on law as rules rather than as cases. These
AND SIMILARITIES. The historical convergences of law and
other critiques are, of course, also related to the problematic
religion are perhaps most obvious in what is sometimes called
separation of law and religion.) Positivism’s insistence on the
“religious law,” a term used to refer to those parts of many
separation of law from both religion and history has increas-
religious traditions that prescribe and regulate norms of con-
ingly been seen to encourage the neglect and ignorance of
duct, as encoded, for example, in such sources as the Ten
these domains and of their importance for law. When one
Commandments (Exodus 20), the shar¯ı Eah and the Hindu
approaches law historically, however, it becomes apparent
Laws of Manu, and which include many aspects of conduct
not only that law was not always so separate from religion,
that are now within the purview of secular law. It was these
but also, and more surprisingly, that the modern separation
traditional legal forms that inspired Maine’s and Durkheim’s
of law from religion was in part the result of particular reli-
theses regarding the “primitive” or traditional lack of separa-
gious developments that either originated in or accelerated
tion between law and religion. Some legal theorists today
during the Protestant Reformation. Although these develop-
contend that the category “religious law” makes sense only
ments are further described below, some brief indications
in such an evolutionary scheme defined by secularization.
may be given here. The English critical legal historian Peter
They argue that all legal regimes, whether religious or secu-
Goodrich argues that the common-law tradition in the six-
lar, are more usefully characterized by referring to the styles
teenth and seventeenth centuries established itself through
of reasoning and decision-making they employ. From this
an “antirrhetic,” a polemic against images that borrowed
perspective, the argument goes, qadi-administered law, for
from religious iconoclasm. Law borrowed its foundational
example, might be better understood by seeing its resem-
narrative from religion and located its authority in an in-
blance to English common law than by classifying it with
creasingly written canon of reified tradition. From a longer-
other “religious” laws, some of which may exhibit radically
term perspective, French socio-legal theorist Marcel Gauchet
different legal characteristics. Although acknowledging such
has argued for the compatibility of secularism with certain
views, the present section explores the value of the term “reli-
tendencies in Judaism and Christianity. Increasingly, it ap-
gious law” for distinguishing key features of many legal sys-
pears that law is, for us moderns, “our religion” not merely
tems prior to modernity.
in the sense of having inherited part of religion’s role as an
arbiter of values and guide to conduct, but also in the sense
In many pre-modern legal traditions, the connection
of being historically or genealogically related to older modes
between law and religion is underscored by the absence of
of religiosity. Following such demonstrations, it becomes in-
a separate or secular term for “law.” For example, in Hindu-
creasingly difficult to maintain the secularization thesis, or
ism the term dharma means not only “law” but also “reli-
the idea of a clean separation between law and religion, in
gion” and “proper conduct,” among other things. Torah and
its usual, overly simplified form. Yet if the secularization the-
shar¯ıEa can refer both to operating community legal regimes
sis, which is a founding narrative not only of modern law but
and to the overall religious path or discipline of an individual
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: AN OVERVIEW
5327
or community. In this latter sense, law may be understood
is that the authority to create law resides exclusively in a pop-
metaphorically as extending to the realm of conscience. Of
ularly elected legislature, subject in many cases to a more fun-
course, even in many so-called traditional societies, whether
damental constitution also held to embody the popular will,
ancient or modern, there are legal norms, processes, and in-
which may in turn be constrained by universal secular
stitutions—particularly those associated with royal adminis-
norms. Some religious law has in the past used trials by or-
tration, taxation, and trade—that are relatively autonomous
deal as a method of dispute resolution. In Hinduism and
from religion, as narrowly construed, although generally not
Medieval Christianity, for example, ordeals placed the out-
to the same extent as in the modern West.
come of the trial at least nominally in the hands of the deity.
In modern trials, the outcome rests in the hands of human
In general, religious, or pre-modern, law exhibits certain
decision makers, whether judge or jury. Without the impera-
differences from those forms of law that have become norma-
tive of the modern state, religious law may in many cases op-
tive in modernity. If we follow the legal positivists and define
erate most effectively at a local level—taking as its function
law as a norm of general or even universal application pro-
the return of parties to social competency rather than acting
mulgated by the state and enforced by its sanction (although
as an instrument of state legitimacy, authority, and power.
some positivists place less emphasis on the role of sanctions
in constituting law), then it is clear that many religious laws
So far the main consideration of this section has been
deviate from this standard in one or more respects. In some
to highlight some of the principal differences of religious law
cases, they may lack universality. The Ten Commandments
from modern, secular law. There are also numerous parallels
apply to an entire population and therefore are nearly univer-
and convergences between secular law and religion more gen-
sal. However, the Vinaya, the monastic code of the Bud-
erally, not limited to the most “law-like” aspects of religious
dhists, regulates the conduct of religious professionals only.
traditions. Some of these convergences are evident in the spe-
Often, as in the Laws of Manu, provisions of general and
cial importance to each of ethical concepts; of rituals, includ-
group-specific (gender- or caste-based) application are an-
ing especially formulaic utterances; of narratives; of canons,
nounced within the same text.
especially of the written variety; and of hermeneutics or
modes of interpretation. Other parallels could certainly be
Many religious laws also lack the element of an effective,
discussed, but these are among the most important.
state-enforced sanction. The Ten Commandments them-
selves prescribed no sanction for their violation; this was
Religion and law have both given attention to how hu-
done for most of its provisions elsewhere in the Pentateuch.
mans ought to live their lives. Modern western legal concepts
The presence of alternative or even contradictory norms can
of crime and punishment, for example, closely resemble their
also vitiate the certainty of the sanction. Consider, for exam-
predecessors, the Western religious concepts of sin, expia-
ple, the provisions on vegetarianism in the Laws of Manu.
tion, and purity. In religious law, sin is regarded as a viola-
There is a blanket provision on eating any meat. However,
tion of the cosmic order. Punishments or expiations may be
if one does eat meat, then only certain meats should be con-
designed to restore order and purity for the individual or the
sumed under certain circumstances by certain persons. Final-
community. In its origin, then, crime often was not distin-
ly, if one violates these provisions, penances or expiations are
guished from sin. Even today, a number of the practices and
prescribed to restore purity. For modern theorists, this kind
articulated purposes of punishment—including retribution,
of flexibility in enforcement has counted against the status
the ghost of which has proved difficult to exorcise from the
of religious law as “real” law. Conversely, the law of retribu-
law—echo earlier, non-utilitarian religious ideas. Law and
tion (“an eye for an eye”) in the Hebrew Bible (e.g., Exodus
religion have therefore shared the dubious distinction of ad-
21:23–24) has been interpreted, probably erroneously, as
ministering violence. In addition to the threatened religious
mandating an inflexible punishment. An even more note-
sanction of punishment in the afterlife, religious law also fre-
worthy aspect of many religious laws is that they prescribe
quently prescribed punishments in this world, together with
a sanction to be visited upon the offender in the afterlife or
voluntary expiations, ascetic practices, and sacrifices.
next life through the agency of the deity or the cosmos itself.
In Manu, for example, many actions are punished or reward-
Both law and religion depend heavily on ritual opera-
ed through the operation of karma. This is what Bentham
tions, as evident in the structured, dramatic procedures of
termed the “religious sanction.” Such punishments were ei-
courtroom and temple, with their organization of public
ther cumulative with or in place of punishments to be im-
spaces, choreography of events, and use of specialized cos-
posed by the state. From the standpoint of positive law, reli-
tumes. Both law and religion rely on verbal techniques, in-
gious sanctions lack the certainty sufficient to create valid,
cluding formulaic utterances. Pre-modern law was often ex-
binding legal norms.
acting in its demand for conformity to prescribed procedure
and has been accused of an excessive formalism whereby, for
Religious laws also differ from secular ones with respect
example, a small mistake in the pronunciation of a petition
to their sources of authority, processes of dispute resolution,
could lead to its dismissal. Many oaths, vows, and declara-
and mechanisms of enforcement. The source of authority of
tions of legal effect were, like spells, poetic in form. In early
religious law is often said to be the deity or the first ancestors.
English and German law, as represented respectively in the
One of the hallmarks of law in modern democratic societies
eleventh-century Anglo-Saxon charms and the thirteenth-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5328
LAW AND RELIGION: AN OVERVIEW
century Sachsenspiegel and catalogued by the German folklor-
Fitzpatrick’s term, a particular “mythology of law.” In addi-
ist Jacob Grimm (1785–1863) in his essay On Poetry in Law
tion to such grand narratives, narratives of a simpler sort—in
(Von der Poesie im Recht, 1816), rhythmic parallelisms such
the form of stories that make sense of people’s actions—
as “unbidden and unbought” and “for goods or gold” were
constitute an important part of the everyday business of law.
common. These are the ancestors of the formula “to have
The examination of witnesses, lawyers’ arguments during
and to hold” in the marriage ceremony as still prescribed in
trial, and judicial opinions all use narrative techniques to
the Anglican Book of Common Prayer. Poetic devices not only
construct compelling fact scenarios and resolve disputes over
made such formulas more memorable, a function of special
the interpretation of the law. As legal anthropologists and so-
importance in an oral culture, but also reinforced their per-
ciologists have shown, ordinary people also tell stories to
suasive, “binding” function. Rhetorical devices were also
make sense of the law and their relationship to it. Law, like
used frequently in early law to reinforce the connection be-
a story, is directed toward a definite conclusion and is peo-
tween crime and punishment.
pled by actors who are engaged in a clash of interests that
are often intensely personal, of dramatic public importance,
Today the ritual formulas of law are seldom poetic. The
and engaged with fundamental social values. Like literary in-
transition in early modern Europe from an oral culture to
terpretations, the answers law affords to such dilemmas may
one based on literacy and the medium of print certainly
remain provisional and uncertain. These characteristics
played an important role in the disappearance of such formu-
shared by law and literature are also shared by many religious
las. With the greater availability of writing, poetic forms were
texts, and especially by myths, the interpretation of which
no longer needed as mnemonic devices. Both religion and
assumes a similar hermeneutic irreducibility, if not undecida-
law were deeply influenced by the new medium, as evidenced
bility.
by their increasing emphasis on written canons, as further de-
scribed below. There was also a religious component to these
A related parallel that points to the “closed” rather than
developments. Protestant biblical literalism contributed to a
“open” nature of both law and religion is the frequent depen-
polemic against verbal images. For example, Thomas Cran-
dence of each on a canon, which now usually means a corpus
mer’s (1489–1556) introduction to the Book of Common
of texts. Canon, in Jonathan Z. Smith’s definition (Imagin-
Prayer (1549) justified the removal of “vain repetitions” and
ing Religion, p. 43), represents a delimitation to a set (for ex-
other superstitious formulas from the liturgy. Among the re-
ample, of texts), which is then subjected to ingenious and
gional variants excluded from the new, more prosaic mar-
varied interpretation. Canon therefore combines the op-
riage ceremony were the phrase “for fairer for fouler” and the
posed gestures of restriction and expansion: the first is aimed
bride’s promise “to be bonour and buxom at bed and at
at control and the second at completeness. Although this is
board” (i.e. gentle and obedient). Although the phrase “to
obviously a distinctive feature of many religious traditions
have and to hold”—a key declaration of legal ownership—
and especially of collections of scripture, it is also a point of
was retained, the net effect was to strip away much of the
contact between law and religion. Under the sign of canon,
poetry of the law. Positivists have continued a polemic
the work of both law and religion becomes one of interpreta-
against poetry. Bentham in his original attack on Blackstone
tion or hermeneutics. Within this work, different degrees of
charged that early law often depended on poetic “harmony”
flexibility may be pursued, as described by Paul’s phrase “the
for its persuasiveness, and that modern law continued this
letter killeth, but the spirit giveth life” (2 Corinthians 3:6).
dependence in more hidden form. More recently, the En-
Paul appears to dismiss the adherence to black-letter law as
glish philosopher John Langshaw Austin (1911–1960),
a narrow formalism and to embrace flexibility in interpreta-
Hart’s colleague at Oxford, used the declaration “I do” (the
tion. The distinction in religious law between “letter” and
actual declaration is “I will”) in the marriage ceremony as his
“spirit” can be seen to correspond to the distinction in mod-
first example of a “performative utterance,” meaning a state-
ern law between “formal” and “substantive” justice or be-
ment that accomplishes something (such as a legally binding
tween “law” and “equity.” Although the tendency away from
marriage) through the act of utterance itself (How to Do
formalism is often regarded as one of the hallmarks of mod-
Things with Words, 1962). By ignoring the history of this
ern as opposed to pre-modern law and religion, some more
declaration, including its earlier, more poetic forms, Austin
restrictive modern forms of canon belie such a simple dichot-
produced a theory of legal and ritual language that continued
omy. The form of canon most common in modern law is
the repression of poetry, albeit through neglect rather than
the “code”: the reduction of the law to a set of written stat-
overt animosity.
utes that is comprehensive and unequivocal. Not only the
canon itself but the interpretation thereof has been restricted
In addition to employing poetry and other verbal for-
in accordance with the image of law as a perfect, and perfect-
mulas, law and religion both also depend on narrative. In re-
ly unambiguous, language. As described below, codification
ligion and religious law, myths are used to found a moral cos-
bears historical connections to Protestant biblical literalism.
mos. For example, the Laws of Manu begins with an account
However, the influence of religion on legal interpretation has
of the cosmogony. Although modern law eschews the explicit
operated in different ways. In Vichy Law and the Holocaust
use of myth, it remains dependent on foundational narra-
in France (1996), Richard Weisberg argues that lawyers in
tives, as Robert Cover emphasized, and there is even, in Peter
Nazi-occupied France used a certain flexibility in interpreta-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: AN OVERVIEW
5329
tion, a form of casuistry inspired in part by religious and
as separate. This view has already been challenged by exami-
other cultural factors, to justify anti-Semitic laws. Other
nations of both pre-modern religious law and the continuing
scholars of law and literature emphasize the inflexibility of
structural parallels between law and religion. There are also
modern law and its hostility to multivocal interpretation. For
important genetic or, to invoke the increasingly popular
example, Goodrich (“Europe in America: Grammatology,
Nietzschean term, genealogical connections between law and
Legal Studies, and the Politics of Transmission,” Columbia
religion. In contradiction of the secularization thesis, not
Law Review, 2001) identifies this rigidity as a source of resis-
only did much of modern law originate in religion, but it re-
tance to Jacques Derrida’s philosophy of deconstruction,
mains, in an important sense, “religious” in character. Even
which he associates with Talmudic interpretation.
the process by which law separated from religion is, as previ-
ously indicated, related to religious developments, especially
The modern bias toward canon or the location of cul-
and most proximately those arising in the Protestant Refor-
ture in texts has long distorted scholarly interpretations of
both law and religion. Many religious laws are embodied in
mation. Although there are, of course, many competing nar-
a textual corpus of rules and therefore resemble modern law,
ratives of the process by which modern law came to be as it
which is now promulgated primarily in written statutes and
is, the following narrative is offered as a partial corrective to
judicial opinions. This bias has facilitated the over-emphasis
the standard trope of secularization.
on such texts to the detriment of customs, not only in schol-
The emergence of regional legal regimes in Europe and
arship but also in the colonial administration of laws in such
elsewhere and the development of international law have
countries as India. The valorization of texts, although not
stimulated a renewed interest in the sources of Western law.
new, has increased in recent centuries. Its apex in England
The history of law in the West is the history of the complex
can be traced to Bentham’s codification proposal and attack
interactions among the tribal laws of Europe, Roman law,
on Blackstone’s celebration of the largely customary com-
and the institutions of the Roman church. With the decline
mon-law tradition. The first edition of this Encyclopedia in-
of its Western empire, Roman law fell into disuse. Law in
cluded a number of articles on the laws of the world reli-
Europe was a highly diffuse collection of local customs and
gions, namely those traditions that, in addition to having
institutions, which depended on local religious ideologies
many adherents, have coalesced historically around collec-
and symbols. The rediscovery of Roman law in the form of
tions of scripture. The laws of oral, indigenous, tribal, or
Justinian’s Institutes in the early twelfth century and its sub-
“primitive” traditions were largely ignored. This bias has af-
sequent elaboration and influence on both the canon law of
fected our understanding even of the law of literate societies.
the papacy and on emerging national legal regimes, funda-
Anthropologists and historians have worked against this tex-
mentally altered the relationship of law and religion in Eu-
tual bias and recovered the importance of customary and un-
rope. This Roman-derived law served as the prototype for the
written traditions of both religion and law. Some further his-
autonomous secular and universalistic law of the modern pe-
torical dimensions of the emphasis on a written canon are
riod. The separation of law and religion already occurred in
described below.
one form in the theological elaboration of the idea of two
Another bias that has distorted our understanding of re-
domains of law, one spiritual and the other secular. Harold
ligious law is the modern tendency to reduce religion to be-
Berman has described this as a “revolution” of the highest
lief, to the exclusion of practice. Rules that prescribe, often
importance in the development of modern law, though not
minutely, both everyday and ritual conduct have constituted
the last.
historically a central part of many religious traditions. In-
Other scholars have focused attention on the period
creasingly since the Reformation, religion or its “essence” has
during and after the Reformation as a key phase in the devel-
come to be defined as belief, meaning the voluntary and af-
opment of modern law, including its separation from reli-
fective assent to a particular doctrine. Religious conduct has
gion. Goodrich’s account of the parallels in English Protes-
often been defined as non-essential to religion or even, in the
tant and common-law foundationalism, each of which
case of ritual conduct, as “superstitious.” Not coincidentally,
opposed a reified, and increasingly written, canonical tradi-
it is precisely these particularistic religious practices, such as
tion to the “idolatry” of images, has already been mentioned.
those involving diet, dress, and marriage, that have tended
These developments, although heavily influenced by the rise
to come into conflict with secular law, with its universalizing
of literacy and printing, also represented a religious dynamic.
tendencies. Freedom of religion now means primarily free-
A later phase of this development occurred with Bentham’s
dom of conscience, and the expression of one’s religious con-
proposal for codification of the still largely unwritten com-
victions becomes more problematic when it extends beyond
mon-law tradition. This proposal drew on the opposition of
verbal modes of expression. These developments have also
a now exclusively written canon to the “idolatry” of custom.
operated as a barrier to our historical understanding of the
Earlier English codes, from Alfred’s in the ninth century to
practical or legal dimensions of religious traditions—what
the one promulgated in the Massachusetts Bay Colony in the
we are here calling “religious law.”
1640s, had drawn on scripture for their substantive law. Ben-
RELIGIOUS GENEALOGIES OF SECULAR LAW. In modernity,
tham’s code had a more subtle, indirect relation to religion
as previously noted, law and religion are generally regarded
that emerged most clearly in his criticism of “fictions,” lin-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5330
LAW AND RELIGION: AN OVERVIEW
guistic pathologies that he generally argued should be ex-
and communities is handicapped by the underlying claims
punged both from the law and from language. One of his
to universalism of modern, secular law.
key complaints was the habit of reifying language or taking
words for things. He argued that only words that referred to
Various legal and political arrangements have been
really existing things should be permitted. As the common
made to handle demands for legal accommodation of reli-
law, being nowhere written down, could not be pointed to,
gious practices. The complex and sometimes explosive mix
the phrase “common law” was, he said, a fiction used by law-
of religious and ethnic diversity, the global dynamism of di-
yers to dupe their opponents. The sole remedy was codifica-
aspora religious communities, and the vestiges of legal struc-
tion. Although arguably an atheist, Bentham in his jurispru-
tures reflecting prior religio-political histories have inspired
dence drew upon religious sources. One indirect source was
different legal strategies. A simple, and perhaps deceptively
English linguistic empiricism, which, beginning with Francis
clean, solution has been the United States Supreme Court’s
Bacon’s (1561–1626) critique of “idols of the marketplace,”
interpretation of the First Amendment to that country’s
had applied Protestant literalism to language. Another source
Constitution. The First Amendment religion clauses have in-
was scripture, which, in his papers on codification (Works,
creasingly been interpreted in such a way as to efface the legal
vol. 10, p. 483), Bentham directly invoked in condemning
significance of religion. The state may not discriminate
the invocation of the “common law” as a form of personifica-
against religious persons and practices, but neither is it re-
tion and idolatry.
quired to provide legal exemptions or accommodations for
them. Furthermore, the state may fund and contract with re-
Given Bentham’s profound influence on both legal re-
ligious institutions for the provision of government services,
form and the philosophy of legal positivism, it has seemed
but only on the same terms as it extends to secular organiza-
especially appropriate to detail these connections between his
tions. Religion as a legal category has less and less relevance.
jurisprudence and certain strains of Protestantism. The posi-
In cases in the United States and in other jurisdictions where
tivists’ contention of the separation between law and religion
legal instruments are interpreted to privilege religiously mo-
is belied by a closer examination of the work of one of their
tivated persons or institutions, persistent questions have aris-
founding figures. Regarded as a “vanishing point” at which
en concerning the boundaries of such exemptions, particu-
religion effectively transformed into modern, secular law,
larly in light of the usual accompanying provision that the
Bentham is a crucial figure for a genealogical analysis of law.
state may regulate religious conduct to protect the health and
His example suggests that secularization was, in at least some
safety of its citizens, a provision that has allowed states a wide
of its dimensions, influenced by a specifically religious dy-
latitude in suppressing, or even criminalizing, religious ways
namic. The relationship between religion and legal rational-
of life. This is especially ironic, given that recent revisionist
ization thus outlined parallels the relationship the German
scholarship on religious human rights has emphasized the in-
sociologist Max Weber (1864–1920), himself a trained law-
fluence of religious ideas, including those of the fascinating
yer, identified between religion and capitalist economic ra-
but historically rather remote Puritan Roger Williams
tionalization. Bentham’s example further suggests a reevalua-
(c.1603–1683), on the historical development of the First
tion of the separation between legal and religious studies.
Amendment.
The founder of the history of religions, Friedrich Max Mül-
ler (1823–1920), drew on many of the same linguistic and
Other secular constitutional democracies are often less
religious ideas as Bentham for his concept of myth as a “dis-
dominated by an ideology of equality than the United States
ease of language,” a form of radical metaphor where a word
and have for historical reasons been more likely to privilege
is reified and, ultimately, deified. The founding narratives of
some religious communities in their dealings with the state
both legal and religious studies owe more to the history of
and to carve out exemptions for religiously motivated per-
particular religious developments than either discipline cares
sons. An example is India, a country with a very different his-
to acknowledge.
tory, level of development, and experience of colonialism,
where the continuing existence of separate domains of pri-
RELIGION AND HUMAN RIGHTS. The phrase “religion and
vate law for different religious traditions and recent political
law” today is not infrequently also understood to denote an
developments favoring communalism, have inspired a fierce
expanding arena of modern life purportedly governed by
debate over the meaning of secularism and its permissible
guarantees of religious freedom under national constitutions,
cultural variations.
transnational conventions, and other international legal in-
struments. The rather limited legal accommodation made for
Questions have recently arisen about whether human
religion in the West under the Enlightenment guarantees of
rights language is so indebted to the history and culture of
religious freedom is proving inadequate in the face of de-
the West that it may be inadequate to protect individuals and
mands to accommodate an ever widening spectrum of reli-
communities from or in non-Western cultures and societies.
gious practices from both traditional religious communities
The human rights paradigm is understood, according to this
and new religious movements, some of which refuse to ac-
critique, to privilege a “Protestant” view of religion as pri-
cept the implications of the secularization thesis for law. The
vate, individual, voluntary, and constituted by belief rather
strong desire by many to acknowledge (or to be seen to ac-
than practice. What is clear is that many of the foundations
knowledge) the powerful demands of religion on individuals
of international human rights law were laid by scholars 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
LAW AND RELIGION: AN OVERVIEW
5331
as Hugo Grotius (1583–1645) on a religious basis and in re-
Human Rights,” “Law, Religion, and Literature,” “Law, Re-
sponse to the wars of religion in seventeenth-century Europe.
ligion, and Morality,” “Law, Religion, and Punishment”).
After several centuries, and with the extension of this histori-
The reader is referred also to articles elsewhere in the Encyclo-
cally contingent (and evolving) paradigm to other cultures,
pedia that are relevant to the topic of law and religion.
the religious roots of the modern doctrine of freedom of reli-
gion may be more exposed and shakier than they have been
SEE ALSO Afterlife; Atonement; Canon; Codes and Codifi-
for some time.
cation; Covenant; Islamic Law; Israelite Law; Ordeal; Purifi-
cation; Revenge and Retribution; Secularization; Sin and
Two often-stated goals of U.S. foreign policy today are
Guilt; Vows and Oaths.
first, international enforcement of guarantees of religious
freedom, and second, global extension of the rule of law. A
BIBLIOGRAPHY
particular understanding of religion and law is regarded as
Berman, Harold. Law and Revolution: The Formation of the West-
the sine qua non for the spread of democracy. Religion freely
ern Legal Tradition. Cambridge, Mass., 1983.
chosen by the individual and secular law impartially and de-
Berman, Harold. Law and Revolution II: The Impact of the Protes-
mocratically administered by a state dedicated to due process
tant Reformations on the Western Legal Tradition. Cambridge,
and human rights are proclaimed together as the “natural”
Mass., 2003.
and necessary characteristics of a society that respects human
Casanova, José. Public Religions in the Modern World. Chicago,
dignity. The anthropologist Richard Shweder calls this
1994.
American stance “imperial liberalism.” Alternative models
Comaroff, John L., and Simon Roberts. Rules and Processes: The
for negotiating the competing demands of religion and mod-
Cultural Logic of Dispute in an African Context. Chicago,
ern, secular law are being developed in various forums, in-
1981.
cluding the agencies of the United Nations.
Cover, Robert. “Foreword: Nomos and Narrative.” Harvard Law
Review 97 (1983): 4–68.
CONCLUSION. This article has sketched some of the contours
Fitzpatrick, Peter. The Mythology of Modern Law. New York,
of the religious dimensions of law and the legal dimensions
1992.
of religion as an invitation to scholars of religion to avoid re-
French, Rebecca. The Golden Yoke: The Legal Cosmology of Bud-
producing the modern Western positivist self-understanding
dhist Tibet. Ithaca, N.Y., 1995.
of law as autonomous, state-produced and state-enforced,
Gauchet, Marcel. Le désenchantement du monde: une histoire poli-
and secular. The standard narrative of secularization has
tique de la religion. Paris, 1985.
damaged our understanding of both law and religion by ren-
Geertz, Clifford. “Local Knowledge: Fact and Law in Compara-
dering each incomprehensible to the other. On the contrary,
tive Perspective.” In Local Knowledge: Further Essays in Inter-
the numerous historical connections, the continuing struc-
pretive Anthropology. New York, 1983.
tural parallels, and above all the genealogical relationships
Goodrich, Peter. Oedipus Lex: Psychoanalysis, History, Law. Berke-
between law and religion suggest new pathways for exploring
ley, Calif., 1995.
the reciprocal relevance of these two fundamental categories
Hamburger, Philip. Separation of Church and State. Cambridge,
and the relevance of both for the comprehension of moderni-
Mass., 2002.
ty. For those studying contemporary religio-political struc-
Howe, Mark deWolfe. The Garden and the Wilderness: Religion
tures, in particular—although the same could be said of
and Government in American Constitutional History. Chicago,
many earlier societies—conditions of religious and legal plu-
1965.
ralism vastly complicate the matter. The comprehensive ex-
Huxley, Andrew, ed. Religion, Law and Tradition: Comparative
planatory and disciplinary pretensions of both law and reli-
Studies in Religious Law. London, 2002.
gion are moderated by the presence and constant interaction
Jacobsohn, Gary. The Wheel of Law: India’s Secularism in Compar-
of multiple systems.
ative Constitutional Context. Princeton, N.J., 2003.
The remaining articles in this section provide an ap-
Kahn, Paul. The Cultural Study of Law: Reconstructing Legal Schol-
proach to the interactions of law and religion across a num-
arship. Chicago, 1999.
ber of axes. First in order are several articles that examine law
Levack, Brian. The Witch-Hunt in Early Modern Europe. New
and religion within or respecting particular cultural tradi-
York, 1995.
tions, which are for the most part bounded geographically
Levinson, Sanford. Constitutional Faith. Princeton, N.J., 1988.
and/or historically (“Law and New Religious Movements,”
Llewellyn, Karl N, and E. Adamson Hoebel. The Cheyenne Way.
“Law and Religion in Medieval Europe,” “Law and Religion
Norman, Okla., 1941.
in The Ancient Mediterranean World,” “Law and Religion
McConnell, Michael. “The Origins and Historical Understanding
in Hinduism,” “Law and Religion in Buddhism,” “Law and
of Free Exercise of Religion.” Harvard Law Review 103
Religion in Chinese Religions,” “Law and Religion in Indig-
(1990): 1409–1517.
enous Cultures”). After these come several articles that con-
Moore, Sally Falk. Social Facts & Fabrications: “Customary” Law
sider the interaction of law and relation in relation to a third
on Kilimanjaro, 1880–1980. Cambridge, U.K., 1986.
category or from a particular methodological perspective
Murphy, Tim. The Oldest Social Science: Configurations of Law
(“Law, Religion, and Critical Theory,” “Law, Religion, and
and Modernity. Oxford, 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
5332
LAW AND RELIGION: LAW AND RELIGION IN THE ANCIENT MEDITERRANEAN WORLD
Pocock, J. G. A. Barbarism and Religion. Cambridge, U.K., 2000.
1983, p. 184). Using this approach, Winnifred Fallers Sulli-
Rawls, John. The Law of Peoples. Cambridge, Mass., 1999.
van (1994) studied the notions of religion in U.S. Supreme
Court rulings on First Amendment cases. Her study con-
Roberts, Simon. Order and Dispute: An Introduction to Legal An-
firms that the disestablishment clause did not terminate a
thropology. New York, 1979.
link between legislature and religion, but instead evoked
Rosen, Lawrence. The Anthropology of Justice: Law as Culture in
among jurists legal discourses about defining religion. Like-
Islamic Society. New York, 1989.
wise, Roman law despite its secular origin turned ancient re-
Rouland, Norbert. Anthropologie juridique. Paris, 1988.
ligious practices into legal subjects and established legal dis-
Smith, Jonathan Z. Imagining Religion: From Babylon to Jones-
courses on religious issues.
town. Chicago, 1982.
FROM THE TWELVE TABLES TO THE LATE ROMAN LAW
Sousa Santos, Boaventura de. Toward a New Common Sense: Law,
CODES: PRINCIPLES OF THE GROWTH OF THE ROMAN
Science and Politics in the Paradigmatic Transition. New
LEGAL TRADITION. “The most celebrated system of jurispru-
York, 1995.
dence known to the world begins, as it ends, with a code”
Tierney, Brian. Religion, Law and the Growth of Constitutional
(Maine, 1905/1861, p. 1). The Twelve Tables were drawn
Thought, 1150–1650. Cambridge, U.K., 1982.
up by a special commission in 451–4500 BCE and published
van der Vyver, Johann D., and John Witte, Jr., eds. Religious
on tablets in the Forum. Their demolition in 390 BCE did
Human Rights in Global Perspective: Legal Perspectives. The
not undermine their authority, as Elizabeth A. Meyer (2004)
Hague, 1996.
shows. Until the end of the Roman Empire they were cited
Williams, Robert A., Jr. The American Indian in Western Legal
as a fountainhead of all public and private law (Livy 3, 34,
Thought: The Discourses of Conquest. Oxford, 1990.
6). For that reason the code is known only through quota-
tions—in an adjusted, but still archaic language—by Roman
WINNIFRED FALLERS SULLIVAN (2005)
authorities: Cicero (106–43 BCE), Gaius (third quarter of the
ROBERT A. YELLE (2005)
second century CE), Seneca the Younger (4 BCE–65 CE), Pliny
(23–79 CE), and others, but also by Christian Church fathers
such as Augustine of Hippo (354–430), as Michael H. Craw-
LAW AND RELIGION: LAW AND RELIGION IN
ford’s reconstruction of the Twelve Tables shows (1996,
THE ANCIENT MEDITERRANEAN WORLD
pp. 555–721).
Most scholars of the ancient world assume that Roman law
Law making in Rome was not restricted to only one in-
did not fundamentally affect ancient religions. In 1905,
stitution. There were the leges, resolved by the people in a
Theodor Mommsen argued that in antiquity the only civil
meeting and regarded as eternally valid, as the Twelve Ta-
requirement religions had to meet was loyalty toward the rul-
bles. Other institutions legislated different kinds of law: the
ers. In case of default the believers were forced to comply.
Senate’s senatus consultum; Roman officials’ edictum; and the
Likewise, church historians tend to ignore any impact
emperor’s constitutio principis, which could take the form of
Roman law may have had on ancient Christianity. The jurist
an edictum (an enactment of a general character), decretum
Harold J. Berman (1983) corroborates this view. In ancient
(a judicial decision), rescriptum, in the form of a letter (epis-
Roman society law remained secular, he argues. Though the
tola), or an endorsement appended to a petition (subscriptio)
modern Western legal tradition derived crucial elements
(Bretone, 1998, pp. 153–157). Finally, there were the legally
from it—a sharp distinction between legal and other social
binding opinions of the jurists (responsa prudentium) when
institutions, for example, religion, politics, and morality; an
all agreed on a certain issue (Gaius, Inst. 1, 7).
administration of law by a class of specialists; and a legal
training of these professionals and the existence of a legal sci-
Before the Twelve Tables were promulgated, the legal
ence—a closer relation between law and religion did not arise
field was divided between human law (ius) and divine law
before the Middle Ages, when the Roman law was adopted
(fas). Afterward, the main division became between public
by the Christian nation.
and private law (ius publicum and ius privatum) as Alan Wat-
son shows (1992, pp. 21–29). Religious matters belonged to
When Berman agues that the ancient Roman law was
the realm of public law. Since public law was based on the
pervasively secular, he has the Near Eastern law codes in
principle of a common benefit (utilitas), it could not be an-
mind, which were promulgated by rulers on behalf of the
nulled by private decisions or agreements. It also restricted
gods or revealed by prophets in the name of God as the bibli-
private religious practices.
cal book of the covenant (Genesis 20:22–23:19) or Deuteron-
omy (12–26). But is a hierarchical relation between religion
The Roman legal system, particularly during the em-
and law the only one possible or even obvious? Tim Murphy
pire, revolved around an institutionalized practice of ques-
(1997) proposes to consider also a horizontal one. He con-
tions and answers as Fergus Millar shows (1992,
ceives of religion and law as two autonomous “systems,” sep-
pp. 240–252). An official, a citizen, or a community con-
arate, but not unrelated. Law can be studied as a cultural sys-
fronted with an unusual legal case could send a petition (li-
tem that turns religion into a legal subject, and religion as
bellus) to the emperor. When the case was deemed important
a cultural system that turns law into a religious issue (Geertz,
enough, the emperor, assisted by his council, responded. 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
LAW AND RELIGION: LAW AND RELIGION IN THE ANCIENT MEDITERRANEAN WORLD
5333
wording of the answer was entrusted to jurists. In their func-
spells and rituals. Because of a lack of a theory of natural cau-
tion as imperial advisors (iurisconsulti) they introduced their
sation, poison and “unsanctioned religious activity” were
professional knowledge into the process of law making. Like-
brought under the same rubric (Phillips, 1991). In political
wise, on the local level jurists were indispensable. Since
trials where the defendant was accused of treason (maeistas),
Roman officials had also the task of settling disputes, often
the charge of sorcery (veneficia) was often added. The Pauli
without being legal specialists themselves, jurists had to find
Sententiae, compiled around 300, prohibited the art of magic
the laws applicable to the disputed cases (Bretone, 1998,
and the possession of magical books as such and prescribed
pp. 138–169).
severe punishment. It even applied to secret nocturnal rites
(Paulus, Sententiae 25, 17–18). Practicing magic had become
The efficacy of the laws differed profoundly from that
a crime in itself, whether it caused damage or not. Even rec-
of modern societies, at least in their ideal form. In pagan an-
ognized rituals could be suspected of being “magic,” provid-
tiquity law abiding was not a value in itself. Roman citizens
ed their performance was unauthorized and of malicious
invoked laws when it was in their self-interest (Harries, 1999,
intent.
p. 81). When people obtained a ruling from the emperor,
they had to convince local officials to enforce it. Ramsay
After the Catholic Church was established within the
MacMullen observes that “[a] law reflects somebody’s press-
Roman legal tradition (Gaudemet, 1947), the Christian em-
ing need at a certain time. It does not show what was . . .
perors continued prohibiting magic. For example, an edict
common practice in the empire” (1984, p. 95). This practice
of Constantius II (317–361) stated, “Superstition (supersti-
was responsible for the many repetitions, tensions, and con-
tio) shall cease; the madness of sacrifices (sacrificiorum in-
tradictions in the Roman legal tradition. Pagan Roman em-
sania) shall be abolished” (CTh 16, 10, 2; 341 CE). Yet, the
perors made attempts to reduce the incoherence by deter-
content of this ruling was open to different understandings.
mining officially the legal authorities that could be cited in
Pagan officials understood it as a license of prosecuting
court and by commissioning collections of laws. In the end
magic, and Christian officials, of suppressing paganism (Salz-
only the Christian rulers succeeded. This was not by chance,
man, 1987). While the Christian rulers and their jurists pre-
however. In the pagan culture every city and nation lived ac-
served the existing legal notions, they reversed their refer-
cording to its own laws, which differed from each other,
ence. This applied in particular to the category superstitio.
whereas Christian theologians believed in one true law for
When Christianity spread in the Roman Empire, pagan au-
all of humanity.
thors from the early second century CE—Pliny (ep. X 96f),
Tacitus (c. 56–c. 120; ann. XV 44, 2–5), and Suetonius
After Theodosius II (401–450) had decreed that all
(c. 69–after 122; Nero 16, 2)—decried it as a new superstitio.
“constitutions” of Christian emperors should be collected,
By adding nova et malefica to superstitio, Suetonius even sus-
the Codex Theodosianus (CTh; Honoré, 1986; Harries and
pected it of magical practices. In pagan times superstitio was
Wood, 1993) was promulgated in 438 CE. In 529–534 Em-
defined by its opposite, religio, and could refer either to for-
peror Justinian I (483–565) commissioned the Codex Justini-
eign origin or to unlawful practices. Since the reference of
anus, the Digests, and the Institutions. The committee in the
the pair shifted according to its user (Sachot, 1991), Chris-
Digests collected the legal tradition of the pagan Roman ju-
tians were able to claim to be the religio, while denouncing
rists and included in the Codex not only the laws of former
paganism as superstitio (Grodzynski, 1974).
Christian emperors, but also of their pagan predecessors. Jus-
tinian thought of his own empire as a restoration of ancient
Another striking example of the continuity from Roman
Rome. After the entire legal oeuvre was rediscovered in the
law to Christianity and a reversal of the categories at the same
twelfth century, it was called Corpus Iuris Civilis and became
time is Augustine. In De civitate Dei (8, 19) he dealt with
a fountain for the modern Western legal tradition.
the artes magicae and pointed out that the Romans, not the
Christians, had started prosecuting them. Pagan public opin-
LEGAL DISCOURSES ON PRIVATE RITUALS. The Twelve Ta-
ion (lux publica) was strongly against magical arts, as the
bles prohibited casting bad spells (carmina), harming some-
Christians were. Augustine was so enamored of the Roman
body else by incantations, bewitching fruits, and enticing the
law that he transmitted quotations of the Twelve Tables,
harvest of a neighbor (8:1, 8:4, Crawford, 1996). Not all rit-
which have become highly valuable for the modern recon-
ual practices called magic were prohibited, but merely those
struction.
that violated the property and the reputation of a fellow citi-
LEGAL DISCOURSES ON PRIVATE ASSOCIATIONS. The other
zen (Graf, 1997, pp. 41–43). In an ongoing civil discourse
provision of the Twelve Tables that was elaborated in the
on this provision, the focus gradually shifted to spells and rit-
legal tradition and that affected religion concerned unautho-
uals (Kippenberg, 1997). The Lex Cornelia, proclaimed in
rized meetings of citizens (coetus) (8:14–15; Crawford,
82/81 BCE, prohibited the possession of particular sub-
1996). Since early times, citizens of Rome were remarkably
stances. “Who for the purpose of killing a man” has pre-
free to establish private associations, as the lawyer Gaius re-
pared, sold, bought, or administered a wicked drug (venenum
ported in the second century CE about the Twelve Tables.
malum), shall be tried on a criminal charge (Crawford, 1996,
pp. 752–753). Because the notion of venenum covered natu-
“A statute (lex) gives the members of an association (so-
ral as well as supernatural devices, Roman lawyers included
dales) the power to enter into any agreement (pactio) they
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5334
LAW AND RELIGION: LAW AND RELIGION IN THE ANCIENT MEDITERRANEAN WORLD
like, so long as they do not contravene the public statute.”
titude toward the Roman legal tradition was different. The
Gaius added that this statute appeared to have been adopted
official recognition of Christianity occurred in terms of the
from the law of Solon (Digests 47, 22, 4 “De collegiis et cor-
Roman legal tradition. The Catholic Church had been rec-
poribus”).
ognized by Constantine in 313 as a religio equal to all the
other religious associations; Theodosius acknowledged it as
The creation of a great variety of professional and reli-
the only true religio of the entire Empire in 380.
gious associations in ancient Roman society was because of
that freedom. But that freedom also generated conflicts.
The associations of private Christian believers became
When the Dionysian rituals, the Bacchanalia, spread clandes-
a legal body with laws, property rights, and an official hierar-
tinely in Italy, Roman officials in 186 BCE severely punished
chy of its own, and their worship was protected by the ruler.
its adherents and abolished the status of a collegium. The ritu-
The emperor and Catholic Church adopted legal notions
als for the benefit of Dionysos/Bacchus were permitted,
such as religio, superstitio, maleficium, magia, corpus (colle-
though only under restricted conditions (Baumann, 1990).
gium), and hairesis to define the recognized place of the
After that, the Romans never forgot that unauthorized noc-
Catholic Church in the public realm of the Roman Empire,
turnal meetings were unlawful (Livy XXIX).
as various documents show (Coleman-Norton, 1966).
This was only the beginning of restrictive politics to-
The Codex Theodosianus (CTh; Mommsen and Meyer,
ward associations. In the first century BCE, when associations
1904; Pharr, 1952) arranged the imperial constitutions in a
participated in the civil strife at the end of the Republic, Ju-
way that still reflects the point of departure from the Twelve
lius Caesar dissolved them all, “besides those that were long
Tables. The prohibition of harmful private rituals and of un-
ago established” (Suetonius 42, 4). An ancient descent was
authorized associations informs the arrangement of the laws.
required from all authorized associations. While Jews an-
In book 12, which is dedicated to public crimes, title 16 col-
swered that requirement and were at least in principle al-
lected imperial constitutions concerning “Magicians, astrolo-
lowed to establish associations under that law (Rajak, 1984),
gers and all other like Criminals.” Christians adopted and in-
Christian associations did not. “How [were] the Christians
tensified the practice of prosecuting them, as Augustine had
. . . able to exist un-interfered with . . . in the face of the
already demanded. Book 16 collected rulings regarding reli-
imperial policy in regard to associations?” a scholar asked
gious associations. The notion religio was reserved for the
long ago (Hardy, 1971/1874, p. 168). The solution probably
Catholic Church alone. Heretics, Jews, and pagans belonged
lies in the different kinds of legal status of associations. While
to the category of superstitio and were virtual threats to the
some collegia were officially acknowledged by a senatus con-
common well-being of the empire. Jews were allowed to keep
sultum, an imperial letter, or a civic decree, and while others
their old privileges, but were prohibited from building new
were prohibited and abolished as illicit, there existed in-
synagogues. Heretics were forbidden, but not all were prose-
between associations without an official recognition, but tol-
cuted alike. “Not all should be punished with the same sever-
erated by state officials and city councils because of their use-
ity” (CTh 16:5, 65 [2]). The sanctions for the various groups
ful social function as societies of humble people (collegia
ranged from being tolerated to merciless prosecution (Mani-
tenuiorum). As such, Christian associations before the fourth
cheans). Apostates had to forfeit their right to make a will.
century were probably tolerated as belonging to this third
And pagan sacrifices, both public and private, were strictly
category (Kippenberg, 2002).
forbidden. The entire composition is imbued with the idea
The legal restrictions had repercussions on the diffusion
that the Catholic Church alone may represent the true religio
of religions. When Christians spread in the Greek cities, they
in public and that res publica is sustained more by religion,
expressed their beliefs and rituals in Hellenistic forms and
than by official duties and labor (CTh 16:2, 16). By means
conceptions. That the truth divine was hidden from the pro-
of Roman legal notions, the Codex Theodosianus turned the
fane marketplace was evident to Greeks. Christian Gnostics
religious diversity of the late Roman Empire into a hierarchi-
shared this view and decried the material world as filled with
cal order (Salzman, 1993).
lies and deceit. Accordingly, they kept their faith secret and
The Codex Iustinianus (CI; Krüger, 1929; Scott, 1932),
rejected martyrdom. When Christians established their asso-
composed about a hundred years later, moved chapter 16 of
ciations within the range of Roman law, the Latin church fa-
the Codex Theodosianus on religious associations to the very
thers Irenaeus (c. 120 to 140–c. 200 to 203) and Tertullian
beginning. A comparison reveals that the legal distinctions
(c. 155/160–after 220) defended Christian associations and
between various heretics in chapter 16, title 9 of the Codex
practices as public phenomena, in agreement with Roman
Theodosianus disappeared. Membership in all non-Catholic
law. They also engaged in a struggle against Christian Gnos-
Christian groups became a public crime (CI 1:5, 4); the per-
tics, who denied the public status of their faith. The category
petrators were punished like the Manicheans and forfeit their
of hairesis arose during that struggle (Kippenberg, 1991,
civic rights. In book 9, which addressed public crimes like
pp. 369–402).
the Codex Theodosianus, the Codex Iustinianus adopted the
LATE ROMAN LAW CODES TURNING RELIGIOUS DIVERSITY
constitutions of the Codex Theodosianus on “Magicians, as-
IN A LEGAL HIERARCHY. While Christian emperors and the
trologers and all other like Criminals” (CI 9:18). It added
Catholic Church were hostile to religious paganism, their at-
two constitutions of earlier pagan emperors: Antoninus Pius
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW AND RELIGION IN THE ANCIENT MEDITERRANEAN WORLD
5335
(r. 138–161 C.E.) and Diocletian (r. 284–305; CI 9, 18, 1,
Gaudemet, J. “La législation religieuse de Constantin.” In Revue
2). The continuation of the Roman criminalization of magic
de l’histoire de l’Église de France 33 (1947): 25–61.
was in agreement with Justinian’s aspiration: to restore an-
Geertz, Clifford. “Local Knowledge: Fact and Law in Compara-
cient Rome.
tive Perspective.” In Local Knowledge: Further Essays in Inter-
pretive Anthropology, pp. 167–234. New York, 1983.
But it would be rash to infer from these prohibitions
that religious diversity disappeared. The consequence of this
Graf, Fritz. Magic in the Ancient World. Translated by Franklin
Philip. Cambridge, Mass., 1997.
takeover of the Roman legal tradition was the introduction
of a new kind of legal reasoning into the rising Christian so-
Grodzynski, Denise. “‘Superstitio.” Revue des Études Anciennes 76
cial order. While the Christian monotheistic creed knew
(1974): 36–60.
merely the biblical distinction between idolatry and the true
Hardy, E. G. Christianity and the Roman Government: A Study in
worship of the One God, the Roman legal terms applied
Imperial Administration (1874). New York, 1971.
other criteria: whether a cult was ancient or not and foreign
Harries, Jill. Law and Empire in Late Antiquity. Cambridge, U.K.,
or not; whether rituals were performed in public and there-
1999.
fore salutary or unauthorized in secret and therefore perni-
Harries, Jill, and Ian Wood, eds. The Theodosian Code. Ithaca,
cious; and whether associations were lawful or unlawful. By
N.Y., 1993.
adopting the pagan legal distinctions, the Catholic Church
Honoré, Antony M. “The Making of the Theodosian Code.”
established a worldview, in which paganism, Judaism, magic,
Zeitschrift der Savigny Stiftung 103 (1986): 133–222.
and heresy continued to exist, though theologically and legal-
Kippenberg, Hans G. Die vorderasiatischen Erlösungsreligionen in
ly devalued. MacMullen points out that the triumph of the
ihrem Zusammenhang mit der antiken Stadtherrschaft: Heidel-
Catholic Church “did not and could not conclude in any sort
berger Max Weber-Vorlesungen 1988. Frankfurt, 1991.
of total eclipse or displacement of the past” (1997, p. 159).
Kippenberg, Hans G. “Magic in Roman Civil Discourse: Why
The hierarchy was in line with the early and persistent Chris-
Rituals Could Be Illegal.” In Envisioning Magic: A Princeton
tian faith: that Christ had subdued the pagan demonic
Seminar and Symposium, edited by Peter Schäfer and Hans
G. Kippenberg, pp. 137–163. Leiden, Netherlands, 1997.
forces. That belief allowed the continuous existence of the
non-Christian powers in an inferior status (Flint, 1999).
Kippenberg, Hans G. “Christliche Gemeinden im Römischen
Reich: Collegium licitum oder illicitum.” In Hairesis: Fest-
SEE ALSO Codes and Codification.
schrift für Karl Hoheisel zum 65. Geburtstag, edited by Man-
fred Hutter, Wassilios Klein, and Ulrich Vollmer,
B
pp. 172–183. Münster, 2002.
IBLIOGRAPHY
Baumann, R. A. “The Suppression of the Bacchanals: Five Ques-
Livy. History of Rome. 14 vols. Cambridge, Mass., 1919–1959.
tions.” Historia 49 (1990): 334–348.
MacMullen, Ramsay. Christianizing the Roman Empire (A.D. 100–
Berman, Harold J. Law and Revolution: The Formation of the West-
400). New Haven, Conn., 1984.
ern Legal Tradition. Cambridge, Mass., 1983.
MacMullen, Ramsay. Christianity and Paganism in the Fourth to
Bretone, Mario. Geschichte des Römischen Rechts: Von den Anfängen
Eighth Centuries. New Haven, Conn., 1997.
bis zu Justinian. Munich, 1992.
Maine, Henry Sumner. Ancient Law: Its Connection with Early
Codex Justinianus: Codex Iustinianus, vol. 2. Edited by Paul Krü-
History of Society and Its Relation to Modern Ideas (1861).
ger. Corpus Iuris Civilis. Berlin, 1929.
London, 1905.
Codex Theodosianus: Theodosiani libri XVI cum Constitutionibus
Meyer, Elizabeth A. Legitimacy and Law in the Roman World: Tab-
Sirmondianis et Leges novellae ad Theodosianum pertinentes.
ulae in Roman Belief and Practice. Cambridge, U.K., 2004.
Edited by Theodor Mommsen and Paulus M. Meyer. Berlin,
Millar, Fergus. The Emperor in the Roman World (31 BC–AD 337).
1904.
Ithaca, N.Y., 1992.
Codex Theodosianus. Translated by Clyde Pharr. Princeton, N.J.,
Mommsen, Theodor. “Religionsfrevel nach römischem Recht.”
1952.
Gesammelte Schriften (Berlin) 3 (1905): 389–422.
Coleman-Norton, Paul R. Roman State and Christian Church: A
Mommsen, Theodor, and Paulus M. Meyer. Theodosiani libri XVI
Collection of Legal Documents to A.D. 535. 3 vols. London,
cvm Constitvtionibvs Sirmondianis et Leges novellae ad Theo-
1966.
dosianvm pertinentes. Berlin, 1904.
Crawford, Michael H. Roman Statutes, vol. 2. London, 1996.
Murphy, Tim. The Oldest Social Science? Configurations of Law
The Digest of Justinian. Latin text edited by Theodor Mommsen
and Modernity. Oxford, 1997.
with the aid of Paul Krueger; English translation edited by
Pharr, Clyde. The Theodosian Code and Novels, and the Sirmondi-
Alan Watson. Philadelphia, Pa., 1985.
an Constitutions: A Translation with Commentary, Glossary,
Flint, Valerie. “The Demonisation of Magic and Sorcery in Late
and Bibliography. Princeton, N.J., 1952.
Antiquity: Christian Redefinitions of Pagan Religions.” In
Phillips, C. R., III. “‘Nullum Crimen sine Lege’: Socioreligious
Witchcraft and Magic in Europe, edited by Valerie Flint,
Sanctions on Magic.” In Magika Hiera: Ancient Greek Magic
Richard Gordon, Georg Luck, and Daniel Ogden, vol. 2.
and Religion, edited by Chris A. Faraone and D. Obbink,
London, 1999.
pp. 260–276. New York, 1991.
Gaius. Institutes. Edited with translation by W.M. Gordon and O.
Rajak, Tessa. “Was There a Roman Charter for the Jews.” Journal
F. Robinson. Ithaca, N.Y. 1988.
of Roman Studies 74 (1984): 107–123.
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
5336
LAW AND RELIGION: LAW AND RELIGION IN MEDIEVAL EUROPE
Sachot, Maurice. “‘Religio/Superstitio’: Historique d’une subver-
not support their own conclusions. While the reformers did
sion et d’un retournement.” Revue de l’histoire des religions
provide the intellectual impulse for the reinterpretation of
208 (1991): 355–394.
the spiritual foundations of the ecclesiastical institutions, sac-
Salzman, Michele R. “Superstitio in the Codex Theodosianus and
ramental law as understood by the reformers did not aim at
the Persecution of Pagans.” Vigiliae Christianae 41 (1987):
the construction of a unified juridical order. They focused
172–188.
on the defense of the spiritual and pastoral nature of the
Salzman, Michele R. “The Evidence for the Conversion of the
church’s mission and the function of its clergy. The legal rev-
Roman Empire to Christianity in Book 16 of the ‘Theodo-
olution came later, once the long forgotten compilations of
sian Code.’” Historia 42 (1993): 362–378.
Justinian were rediscovered in the West.
Scott, Samuel P. The Civil Law. 17 vols. Cincinnati, 1932.
The rediscovery of Justinian’s compilations in northern
Sullivan, Winnifred Fallers. Paying the Words Extra: Religious Dis-
Italy and the resulting exegesis of Roman legal texts brought
course in the Supreme Court of the United States. Cambridge,
about dramatic changes. Within a few decades, the renewal
Mass., 1994.
of jurisprudence gave rise to a novel legal culture (c. 1130).
Watson, Alan. The State, Law, and Religion: Pagan Rome. Athens,
As the teaching of the first generations of jurists spread out-
Ga., 1992.
side the limited circle of the schools, the new legal reason at-
Zeddies, Nicole. Religio et sacrilegium: Studien zur Inkriminierung
tracted a larger audience. By the turn of the twelfth century,
von Magie, Häresie und Heidentum (4.–7. Jahrhundert).
princes and prelates, teachers and students, judges and law-
Frankfurt, 2003.
yers, merchants and clergymen were readily using the new
HANS KIPPENBERG (2005)
law. But to these men, law was more than a technical tool.
An image of a prestigious past, it was also described as the
ratio scripta and a mode of thinking encompassing the whole
field of human affairs, both secular and sacred. The new law
LAW AND RELIGION: LAW AND RELIGION IN
transformed feudal society and shaped forever the legal tradi-
MEDIEVAL EUROPE
tion of Western Europe. Viewed as the legacy of the former
The distinctive relationship between law and religion is one
empire, the new law was clearly distinguished from religion
of the main features of the Western political tradition. The
at a time when the conflict between the popes and the heirs
origins can be traced, in part, to a set of principles incorpo-
of the Holy Roman Empire divided medieval Europe. Yet
rated in the corpus of the Roman law and its later medieval
the practices and belief of a deeply religious medieval society
developments. The legal status of religion and religious insti-
could not but influence the definition and the perception of
tutions in Roman public law was defined by a set of princi-
the legal norms in both the private and the public spheres.
ples and rules regulating the use of sacred buildings and the
In turn, legal reasoning would also contribute to shaping reli-
status of priests and magistrates. By the time of the compila-
gious doctrine. This combination would be achieved by the
tions of all the Roman laws under the emperor Justinian in
new canonical jurisprudence within a few decades.
sixth-century Byzantium, Christianity had given a new
meaning to law and religious relations. Legal rules and reli-
Around 1140, an Italian monk named Gratian pro-
gious norms developed in a symbiotic environment. Outside
duced his Concord of Discordant Canons, otherwise known
the Byzantine Empire, however, the Western part of Chris-
as the Decretum or Decreta, establishing the science of canon
tendom was no longer ruled by Roman law. Rome had
law. In its first version, this compilation of church law at-
ceased to be the capital of an empire. The memory of its past
tempted to reconcile various legal sources from the Holy
imperial glory rested now on the claims of Peter’s successors
Scriptures to conciliar canons, the writings of the church’s
at the head of the Catholic Church. The people newly estab-
fathers, as well as papal decretals. Gratian also added a treaty
lished inside the frontiers of the former empire followed their
on penance and one on sacraments as if in his eyes these two
own law and customs. The revival of the concept of empire
sacramental elements could not be dissociated from an eccle-
during the Carolingian Renaissance had little consequence
siastical model founded on the law. But Gratian’s project be-
for the existing systems of customary law. With the many ob-
came more than a mere collection of contradictory texts.
stacles faced by the church in the early Middle Ages, interest
Bringing together works and authorities excerpted from a
in Roman law declined.
pluralistic, complex religious tradition, Gratian rewrote the
vibrant history of the Catholic Church through the recalling
In the eleventh century, the vast intellectual movement
of an uninterrupted chain of authorities and sometimes dis-
of the Gregorian Reform restored the church’s discipline and
sonant voices. The suppression of discordances and the har-
its authority. The Gregorian Reform also generated a re-
monization of the textual material paved the way toward a
newed interest for the texts of the church’s legal tradition But
unified church leading a united Christian world.
in their search for the texts suitable to their purpose, the re-
formers, with perhaps the exception of Ivo of Chartres
Anders Winroth has recently shown with great care how
(c. 1040–1115), rarely bothered to harmonize the contradic-
little Roman law Gratian initially knew or considered to be
tions found in the texts then collected in their compilations.
worthy of the canonists’ attention. But the general concep-
They chose instead simply to suppress the texts which did
tion of a harmonious legal system as the foundation of a uni-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW AND RELIGION IN MEDIEVAL EUROPE
5337
fied society clearly reminds one of Justinian’s effort to find
made by Frederic Barbarossa and his successors. As heir to
in the confirmation of an age-old Roman legal tradition the
the past Roman emperors, Frederic maintained that his au-
intellectual and cultural strength to revive a declining
thority as lord of the world (dominus mundi) could not be
empire.
challenged by any one. Praised as the living law (lex animata)
The renewal of jurisprudence was part of an intellectual
by the Bolognese envoys to the Diet at Roncaglia (1158)
movement that had already affected the other fields of learn-
after the defeat of the rebellious Italian cities, Frederic shared
ing among which theological inquiry enjoyed primacy of
with his Roman predecessors the unique knowledge of the
place. At the crossroads of theology and law, it provided a
law and placed under his protection law students and teach-
model for the development of a new science of canon law
ers. The authority of Roman law was closely associated with
which aimed at blending harmoniously the sacramental tra-
the imperial power. The teaching of the new Roman Juris-
dition with more practical Roman legal principles. In doing
prudence was the constant reminder of the emperor’s legisla-
so, as Walter Ullmann has pointed out, religious doctrine has
tive authority. Outside Northern Italy, the success of Roman
transformed into legally sanctioned rules of conduct that
law in the Parisian schools diverted the students from theo-
governed the acts and the beliefs of each member of the
logical studies and might also have offended the French king
Christian community. Law acquired an essential function in
who did not consider himself as the emperor’s subject. One
the life of the church. It contributed to a new definition of
of the canonists’ achievements consisted in dissociating
its purpose and transformed its institutions for the coming
Roman law from its imperial background. In 1219, Honori-
centuries. From the start, Gratian’s message was clear and
us III’s famous interdiction of the teaching of Roman law in
confident. “Mankind is governed in two ways by natural law
Paris did not deter the canonist’s attention to the secular law.
and by mores.” For the twelfth-century canonist, long before
This legal development came at a time when the teach-
Thomas Aquinas and the revival of Aristotelian philosophy,
ings of the Catholic Church were contested by various popu-
natural law was the expression of God’s will. The world was
lar movements that challenged the authority of its institu-
ruled by divine law and human law.
tions and the legitimacy of its clergy. Heresies gained popular
Writing in the 1160s, the canonist Stephan of Tournai
support while the spiritual enthusiasm once energized by the
(1135–1203) had bemoaned the difficulty of bringing to-
call for the defense of the Holy Land was losing its momen-
gether theologians and jurists at the same intellectual ban-
tum. In 1204, the sack of Constantinople ended the Fourth
quet. Begging his reader to be patient, Stephan proceeded to
Crusade well before it reached the Holy Land. At the same
serve “the promised feast to the diners”:
time, the claims of the emboldened secular powers, imperial
In the same city here are two peoples under the same
as well as royal, reached new proportions. The continuous
king, and with the two peoples two ways of life, and
conflict between the Holy Roman Empire and the papacy
with two ways of life two dominions, and with two do-
fostered the opposition between the secular and the spiritual
minions a double order of jurisdiction emerges. The
spheres of political power. It led progressively to a reinforce-
city is the Church; the king of the city is Christ; the two
ment of church hierarchy around the growing authority of
people are the two orders in the Church, of clerics and
the popes who adapted the Roman model of imperial power
lay people. The two ways of life are the spiritual and the
to the conduct of the papal office. The resulting tensions
physical; the two dominions are the institutional
shifted the issue of religious belief and the practice of one’s
Church and secular government; the double order of ju-
faith from the spiritual to the secular sphere of the public
risdiction is divine and human law. Render to each its
own and all will be in accord.
order.
What made the history of the medieval church different from
In 1215, when Pope Innocent III convened the Fourth
other religions was precisely the clear distinction between the
Lateran Council, these political tensions had become acute.
two jurisdictions. To the medieval person, divine and human
The preachings of the medieval Catharists treated the ecclesi-
laws were the indispensable foundations of the Christian so-
astical hierarchy and the church’s institutions with contempt
ciety. The authority of both laws transcended the separation
while more esoteric prophecies announced the coming of a
of the society into two distinct spiritual and temporal parti-
new age of the Spirit. Beginning with the strong reaffirma-
tions. By the turn of the following century, this doctrine was
tion of the true Catholic faith and belief in the Holy Trinity,
undermined by the renewed interest in Roman law. The mis-
the assembly of church dignitaries outlined the steering prin-
givings of the first decretists such as Rufinus (d. 1192) were
ciples for the governance of the universal church and the gov-
no longer heard and the “sirens of Roman law” were tempt-
ernment of Christian society. Although there is reason to be-
ing the decretorum nauta. With few exceptions, the success
lieve that Innocent III himself was not an accomplished
of Roman law as the ratio scripta and the primary source of
jurist, the church prelates who gathered under his leadership
legal science did not, in fact, prompt the demise of canon
attempted to rethink the dual mission of the medieval church
law. On the contrary, the canonists’ interest in Roman law
comprised of pastoral duty to the faithful and the govern-
gave it a new status. Hence canonical jurisprudence trans-
ment of Christian society. The council had three goals: to
formed the original character of Roman law while diluting
strengthen the Catholic faith, to fight heresy, and to restore
its imperial essence mostly in response to the political claims
Catholic life. The result was a two-pronged attempt to disci-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5338
LAW AND RELIGION: LAW AND RELIGION IN MEDIEVAL EUROPE
pline individual behavior and to restore order in the Chris-
identity and authority of canon law was defined by a new
tian society. Considered as the most important council of
generation of jurists and ecclesiastics who readily adopted a
medieval Christendom, Lateran IV marks a turning point in
more emancipated attitude toward Roman law. This intellec-
the shaping of a juridical model that blended religious norms
tual movement was also shaped by the intense political de-
and legal rules. The canons of the councils outlined a new
bate that contributed to the redefinition of the papal power.
order in which private belief and public interest merged into
The first compilations of Decretals fostered an interest for
one all encompassing definition of Catholic life. A century
the new law and confirmed the pope’s function as guardian
after the final outcome of the Gregorian reform, the restate-
of church doctrine and source of its law. The analysis and
ment of the Catholic faith was backed by a legal apparatus
exegesis of legal texts reached a new dimension while theo-
in which religious norms had acquired a new significance.
logical inquiries extended the predicament of salvation to the
Faith and Christian doctrine were thus rethought in order
broader conception of the medieval political order and the
to fit within the new paradigms. Once more, the canonists
common good of human society. A new generation of can-
turned to the Roman law.
onists known as the decretalists gave more importance to the
harmonious relationship between law and theology. Henry
In the fourth century, Emperor Theodosius’s edict es-
of Suza, known as Hostiensis, later cardinal-bishop of Ostia,
tablishing the Catholic faith as the religion of the empire or-
taught in his lectures that “Theology was the science of the
dered all the people subjected to his imperium to embrace
angels, while Roman law was the science of the animals and
the religion of Peter and belief in the Holy Trinity. This fa-
Canon law the science of the human beings.” The three con-
mous edict was later inserted at the beginning of Justinian’s
ditions of the living creatures corresponded with the trilogy
codex in the opening title on the Holy Trinity and the Cath-
of theological, Roman, and canonical knowledge as well as
olic faith. It is not surprising therefore that it found pride
the three conditions of the soul—synderesis, sense, and rea-
of place in the teachings of the medieval legal scholars. For
son—that corresponded to the three forms of life.
the jurists who painstakingly interpreted Roman law, Theo-
dosius’s edict was the perfect illustration of the imperial
By the end of the thirteenth century, however, Hostien-
power. Faith was defined both as belief in the Holy Trinity
sis’s beliefs were challenged by the practical needs of a rising
and as obedience to the emperor’s order. The subject who
administration and the strengthening of the papal govern-
dared reject this religion was guilty of a double offense in the
ment. Faced with political challenges and theological dis-
eyes of God and in the eyes of the emperor. Punishment was
putes, the church increasingly relied upon the legal doctrines
handed down swiftly by divine will and imperial justice. Reli-
developed in the previous century to maintain and expand
gion was the law, as later pointed out by Accursius, one of
its authority. In doing so, the rigid interpretation of the legal
the most famous medieval jurists; it was the expression of the
rules widened the gap between the pastoral and sacramental
emperor’s pleasure. Reading the early glosses and comments
commitments and the governmental institutions.
to this famous text, the canonists did not fail to notice the
striking parallel between the imperial edict and the first
During the last centuries of the Middle Ages, the con-
canon of the council. By the time of Lateran IV (1215), how-
flict between civil and ecclesiastical jurisdiction was often re-
ever, the pope had replaced the emperor as defender of the
duced to what Stephan Kuttner described in his book Reflec-
faith and ecclesiastical justice combined the legitimacy of the
tions on Gospel and Law in the History of the Church as the
spiritual jurisdiction with the authority of legal procedure.
“petty reality of legalism” (Kuttner, 1976, 199–209). For a
The earlier distinction between sin and crime, which had
time, the spirit of the first canonists continued through a
long defined the economy of salvation, was also reinter-
conception of canon law and ecclesiastical justice which was
preted.
grounded in the biblical precedents and the sacred canons.
But the growing bureaucratic and administrative process of
The changes envisioned by Innocent III (d. 1216) rested
the church’s institutions transformed the canonical norms
firmly upon the view that the unity of the church both as
into a set of technical rules and regulations increasingly de-
a mystical body and a hierarchical institution was the expres-
tached from the daunting goals of an economy of salvation.
sion of a universal order. For the canon lawyers pastoral func-
Canon law seemed no longer able nor interested to foster the
tion and jurisdictional power coincided in the divine order
spiritual and the temporal dimensions of human life. This
of salvation. Within a few years, however, the delicate bal-
failure expressed the decline of the intellectual movement
ance between the care of the soul and the reason of state faced
which had shaped the distinctive features of ecclesiastical
an increasing challenge. The initial quest for harmony was
law. This decline explains to some extent the inability of the
gradually replaced with a different quest for unity that rested
church’s institutions to respond to the expectations of Chris-
on a faith sanctioned by canon law.
tian society until the Reformation.
By the time of the promulgation of the Decretals by
Pope Gregory IV in 1234, the development of jurisprudence
BIBLIOGRAPHY
in both canon and civil law had brought into question many
Benson, Robert L., and Giles Constable with Carol D. Lanham,
legal doctrines. The first half of the thirteenth century
eds. Renaissance and Renewal in the Twelfth Century. Cam-
marked a period of renewed legal dynamism in which the
bridge, Mass., 1982.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW AND RELIGION IN INDIGENOUS CULTURES
5339
Berman, Harold Joseph. Law and Revolution: The Formation of the
ples embody postmodern notions of culture—at times with
Western Legal Tradition. Cambridge, Mass., 1983.
inventiveness and play—while claiming quite the opposite:
Brentano, Robert. Two Churches; England and Italy in the Thir-
they represent themselves as timeless, autochthonous, and
teenth Century. Princeton, N.J., 1968.
cohesive. That they do so is an indication of the domain in
Brundage, James A. Medieval Canon Law. 3d ed. London and
which they must act: an international legal arena configured
New York, 1997.
by conflicting impulses and histories that has not yet evinced
Evans, G. R. Law and Theology in the Middle Ages. London and
principled and consistent ways of addressing native claims.
New York, 2002.
Such is the predicament of native peoples who seek to main-
tain their identities and legal autonomy in the face and by
Helmholz, Richard H. The Spirit of Classical Canon Law. Athens,
way of the institutions of politically ascendant nation-states.
Ga., and London, 1996.
Kantorowicz, Ernst H. The King’s Two Bodies; A Study in Mediae-
In order to do justice to the complex field defined by
val Political Theology. Princeton, N.J., 1957; 6th ed., 1981.
the engagement of indigenous cultures, religion, and law,
Kuttner, Stephan. Harmony from Dissonance; An Interpretation of
several related points must be emphasized: the concerns of
Medieval Canon Law. Latrobe, Pa., 1960.
law and religion are quite ultimate; the stakes of both are am-
Kuttner, Stephan. Studies in the History of Medieval Canon Law.
plified in their intersection; and, finally, in the post-colonial
Aldershot, U.K., and Brookfield, Vt., 1990.
world this urgency pertains directly to self-determination
and human rights—how these are imagined (as individual
Kuttner, Stephan. The History of Ideas and Doctrines of Canon Law
in the Middle Ages. Aldershot, U.K., and Brookfield, Vt.,
or collective), articulated, and, on occasion, resisted or de-
1992.
nied. Before addressing these themes and the tensions they
imply, several perspectives from within the field will be con-
Post, Gaines. Studies in Medieval Legal Thought. Princeton, N.J.,
1964.
sidered.
Tierney, Brian. Church Law and Constitutional Thought in the
APPROACHES. The vast possibilities for the study of law and
Middle Ages. London, 1979.
religion in indigenous cultures are a source of both promise
Tierney, Brian. Religion, Law, and the Growth of Constitutional
and potential confusion. To begin to address some of the is-
Thought, 1150–1650. Cambridge, U.K., and New York,
sues raised above, scholars in the field have historically limit-
1982.
ed their frames of analysis in three general ways. One ap-
Tierney, Brian. Rights, Laws, and Infallibility in Medieval Thought.
proach is to address jurisprudence within indigenous
Aldershot, U.K., and Brookfield, Vt., 1997.
cultures, which is best represented by early work in the field
Ullmann, Walter. The Church and the Law in the Earlier Middle
of legal anthropology. A classic of this genre is The Cheyenne
Ages: Selected Essays. London, 1975.
Way: Conflict and Case Law in Primitive Jurisprudence by
K. N. Llewellyn and E. Adamson Hoebel. In the African
Ullmann, Walter. The Papacy and Political Ideas in the Middle
Ages. London, 1976.
context, the work of Max Gluckman did much to consoli-
date the field, particularly as he grappled with questions of
Vodola, Elisabeth. Excommunication in the Middle Ages. Berkeley,
social stability in the face of crisis. A wonderful account of
Calif., 1986.
the sorts of issues addressed by this approach to religion, cul-
Winroth, Anders. The Making of Gratian’s Decretum. Cambridge,
ture, and law is found in Elenore Smith Bowen’s anthropo-
U.K., and New York, 2000.
logical novel Return to Laughter. By the mid-twentieth centu-
LAURENT MAYALI (2005)
ry legal anthropology was becoming increasingly
comparative, a trend best represented by the classic text ed-
ited by Laura Nader, Law in Culture and Society. Religion,
and particularly ritual, has long been a concern of legal an-
LAW AND RELIGION: LAW AND RELIGION IN
thropologists in this tradition, but it often is relegated to the
INDIGENOUS CULTURES
status of a secondary concern.
Taken individually, the four principal terms that make up
the title of this entry—law, religion, indigenous, and cul-
A somewhat different approach to the study of law and
ture—are extraordinarily broad and problematic. The con-
religion in indigenous cultures has addressed native religious
junction of the terms does little to narrow the field of analy-
traditions more fully by way of focusing on the post-contact
sis, prompting questions often asked by scholars of law,
influences of European colonial practices and policies around
religion, and indigenous cultures: Whose law? What is reli-
the globe, particularly in North America. This area of study
gion? Indigenous by what standards? Culture in what sense?
has been developed most extensively by legal experts like
Moreover, scholars must make sense of the discrepancies and
Robert A. Williams, Jr., whose The American Indian in West-
overlap between academic categories and the real world while
ern Legal Thought: The Discourses of Conquest links pre-
being alert to various ways indigenous peoples represent
colonial religious and legal functions to colonial practices,
themselves in diverse contexts, which are occasionally
and native authors such as Vine Deloria, Jr. (For This Land:
achieved in ways that appear paradoxical. Some scholars have
Writings on Religion in America), Gerald Vizenor, Walter
observed that in the course of legal struggles indigenous peo-
Echo-Hawk, and Lilikala Kame’eleihiwa. Religious studies
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5340
LAW AND RELIGION: LAW AND RELIGION IN INDIGENOUS CULTURES
scholars have been influential here as well, with notable con-
modes of rhetoric (i.e., forms of speech as persuasion). Fur-
tributions being made by, among others, Robert Michaelsen,
thermore, critical scholars have discerned that religion and
Christopher Vecsey, whose Handbook of American Indian Re-
law are modes of rhetoric that, on occasion, share common
ligious Freedom addresses issues ranging from land access to
venues and audiences, construct themselves in starkly similar
repatriation, and Huston Smith, who collaborated with
ways (e.g., as authoritative, defining of the social body, nor-
Hochunk religious leader Reuben Snake to write One Nation
mative, and eternal), and which sometimes run parallel or
Under God: The Triumph of the Native American Church.
even function in complementary ways but run at cross pur-
poses at other times (see Goodrich 1990; Fitzpatrick 1992).
A third trajectory of scholarship in the field builds upon
Religion and law do not exist as abstractions, but only as ar-
the insights of the former two traditions in order to empha-
ticulations of historical orators. As such, each mode of rheto-
size resilient and novel qualities of indigenous agency. The
ric is open to reformulation by persuasive speakers so that
central insight of this scholarship shows the radically contin-
a range of tendencies and possibilities for the uses of each de-
gent quality of religious and legal claims, and its emphasis
velops over time. To cite a basic example, Christianity can
is on the decolonization of native identities. This approach
be viewed in a number of lights vis-à-vis native traditions in
explores the ways indigenous people are able to participate
the Americas: it was a primary source of Western law; it was
in rights discourse in ways that raise complex questions about
invoked to provide colonial legal rationale against native cer-
the meanings of, for example, citizenship, tradition, and en-
emonies; and it has become, at times, a source of native reli-
titlement. This is an interdisciplinary movement that offers
gious and legal resurgence. The first two of these historical
significant contributions from critical legal theory, political
observations accords with common sense, the last does not.
theory, history, and anthropology. Such work includes, for
The task of the scholar of religion and law in indigenous con-
example, studies of cultural movements in Latin America (as
texts is to make sense of the relationships of law and religion
analyzed in an engaging volume edited by Kay Warren and
even, perhaps especially, when they appear to be counterin-
Jean Jackson, Indigenous Movements, Self-Representation, and
tuitive.
the State in Latin America), Australia (see, e.g., Elizabeth
Povinelli, The Cunning of Recognition: Indigenous Alterities
INDIGENOUS AS CULTURE, CATEGORY, AND CLAIM. Perhaps
and the Making of Australian Multiculturalism), and Africa
the most counterintuitive aspect of the field is the category
(as explored by John and Jean Comaroff in their magisterial
indigenous. Indigenous legal action in the contemporary po-
Of Revelation and Revolution: The Dialectics of Modernity of
litical moment is likewise counterintuitive and rife with ap-
a South African Frontier).
parent and real paradoxes, the analysis of which will keep
scholars of law and religion busy for years to come. The sa-
Creative scholarship in the study of law and religion in
lient features of indigeniety on the world stage include its rel-
indigenous cultures from all of the perspectives described
ative youth and its global reach. Further complicating the
above follows a model described by Susan Staiger Gooding
picture, the category indigenous signals (1) a term of self-
in her article, “At the Boundaries of Religious Identity: Na-
designation; (2) an analytic concept; and (3) a legal construc-
tive American Religions and American Legal Culture.” She
tion. Much of the power of the category is vested in the inter-
argues that the scholar’s job is “to take account of legal dis-
play of these meanings—in respects, indigenous is a self-
course as an historical force, without taking it as our frame-
referential metaphor that accrues meaning to itself precisely
work for understanding” (Gooding, p. 159). Substituting re-
because of the gaps and overlaps between its assumed mean-
ligion in place of law, Gooding’s model is equally descriptive
ings. This is especially so in legal contexts. Consider Ronald
of the quest and tension at the heart of the study of religion.
Niezen’s account of indigenous identity espoused in his
Achieving this dual goal—the critical assessment of religion
wide-ranging and provocative book, The Origins of Indige-
and law—requires a willingness on the part of the scholar to
nism: Human Rights and the Politics of Identity:
de-privilege both discourses: to view them as human, histori-
cal, interested, and necessarily ideological. In this way, it is
Indigenous identity, sometimes used to designate the
analytically productive to view religion and law as discourses
distinctiveness of indigenous societies in the constitu-
of authenticity. However, following Warren and Jackson,
tional and moral orders of nation-states, carries signifi-
scholars of religion and law should not take their focus to be
cant authority and some degree of power, especially
when legally articulated. It is largely an outcome of un-
the question of what constitutes authenticity; rather, atten-
intentional cultural and political collaboration. The
tion should be centered on the construction of authenticity,
concept “indigenous peoples,” developed principally
which entails attending both to its production and consump-
within Western traditions of scholarship and legal re-
tion. The study of indigenous traditions and law is, then,
form, has nurtured the revival of “traditional” identi-
fundamentally devoted to analyzing the strategies people(s)
ties. It has transcended its symbolic use by acquiring
pursue in the process of identity articulation in the course
legal authority. It is the focus of widening struggles by
of legal struggles.
increasing numbers of “peoples” for recognition, legiti-
macy, and validation. It has been taken control of by
Scholars have made considerable headway in under-
its living subjects—reverse-engineered, rearticulated,
standing the relationships of law and religion by conceptu-
and put to use as a tool of liberation. (Niezen, 2003,
alizing them as modes of speech and, more specifically, as
p. 221)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW AND RELIGION IN INDIGENOUS CULTURES
5341
It is crucial to any understanding of indigenous identities
on liberal individualism) without endorsing collective rights.
and discourse that scholars appreciate their oppositional
This tension points to other paradoxes.
component. As Niezen writes,
Perhaps the foundational paradox upon which others
When we look for things that indigenous people have
rest in this context is that between relativism and universal-
in common, for what brings them together and rein-
ism. This is not a merely abstract or philosophical issue. The
forces their common identity, we find patterns that
problem here takes on embodied dimensions: namely, those
emerge from the logic of conquest and colonialism.
who announce indigenous claims do so from relative posi-
These patterns apply equally to peoples otherwise very
tions of political weakness versus the assumed universal se-
different in terms of history, geography, method of sub-
curity of those who judge. This embodied aspect of the para-
sistence, social structure, and political organization.
dox is also historical, as speakers are the discovered, listeners
They are similarities based largely on the relationships
the discoverers, and so forth. As indicated above, this tension
between indigenous peoples and states. (Niezen, 2003,
is most evident and taut when conceptions of identity are at
p. 87)
stake. Indigenous advocates espouse collective claims; human
The relationship of indigenous claims to the states against
rights universalism is anchored in the identity of the individ-
which they are articulated points to profound imbalances in
ual. Not only are these positions mutually exclusive at some
resources for identity articulation. When material bases of
levels, they are also mutually suspicious: indigenous claim-
identity are so compromised, symbolic sources of identity are
ants worry that treaty rights and other collective entitlements
amplified by way of compensation and response. Claims that
will be ignored; universalists worry that individual rights
emerge in such contexts tend toward religious formulations
might be subordinated to and even extinguished by zealous
insofar as their referents are transcendent (even while being
pursuit of collective aspirations. However, it is not the space
grounded in the natural world). For example: we emerged
between these positions that renders this dichotomy worthy
from the earth here; the spirits conveyed knowledge to us
of sustained investigation; it is the bridge-building capacity
here; we are descendants of the timeless ones who must care
of indigenous discourse that deserves analysis, for occasional-
for this land. This is not to say that such claims are invented,
ly indigenous representatives are able to reach across this his-
for the people who make them are often members of groups
torical, geo-political, and conceptual gulf.
with long traditions of connection to and veneration of the
A HAWAIIAN EXAMPLE. If the linkage of human rights and
land and nature itself—nature is, in many native traditions,
self-determination is the quintessential goal of indigenous
always supernatural. The point to be made here concerns the
movements, then contemporary Hawai‘i offers much to pon-
way such sentiments are given oppositional articulation as a
der. Sovereignty disputes have long been visible in Hawai‘i.
form of cultural criticism that calls upon state powers to re-
Students of Hawaiian culture are aware that battles over rule
lieve crises they are perceived to have caused. In making such
of the islands predated European contact. However, contests
claims in legal contexts, native representatives attempt to
over native autonomy—what some have called inherent ju-
bridge a chasm between their acutely local concerns and the
risdiction—have flared over the last 200 years, with notable
predilections of audiences trained in the Western tradition
inflammations at the time of missionization, the overthrow
of law and saturated by exotic images of “the Other.” The
of the Hawaiian nation, the military conquest by the United
category indigenous provides a framework for this bridge. It
States, and at the time of the Hawaiian Renaissance (1970s)
appears manifestly historical and rooted while simultaneous-
to the present. Sovereignty disputes have been especially
ly enabling the articulation of transcendent claims by appeal-
acute in recent years, as the alignment of local, state, federal,
ing to tendentious habits of imagination that view native
and international legal bodies has been destabilized in ways
peoples as timeless stewards of nature.
suggestive to native advocates that the time is ripe for politi-
cal action. Numerous sovereignty groups have emerged in
Numerous nation-states are increasingly attentive to na-
this context, most of which articulate a familiar set of con-
tive claims and the U.N. now has a regular forum for ad-
cerns: environmental degradation, educational disadvan-
dressing native concerns, which suggests that an internation-
tages, generalized cultural decay, religious desecration, and
al indigenous discourse is functioning to link local grievances
land access. As generally univocal as the many sovereignty
to global responsiveness. However, this bridge is not without
groups are in stating their concerns, their suggestions for re-
potential pitfalls. One regular impasse faced by legal audi-
dress are less monolithic. Their primary point of divergence
ences of indigenous claims is akin to that provoked by reli-
is with regard to differing visions of ideal relations to the state
gious claims in the context of the United States with refer-
and federal governments. All share an emphasis on self-
ence to the First Amendment: auditors are caught in the
determination, but just what this means in practice can be
position of wanting to protect religious claims and actions
remarkably divergent. To illustrate this point, two groups
without thereby establishing any particular religion as receiv-
that represent positions at either end of a spectrum will be
ing special treatment under the law. Or, in the terms most
considered.
often used to describe this scenario with regard to indigenous
claims, legal audiences are faced with tension that emerges
The first is a group led by veteran activist Dr. Kekuni
in the disjuncture between supporting human rights (based
Blaisdell. The position of his group is that of maximal sover-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5342
LAW AND RELIGION: LAW AND RELIGION IN INDIGENOUS CULTURES
eignty: Dr. Blaisdell and his group agitate vocally for com-
ian identity, is a struggle with the web of modern statism.
plete decolonization of Hawai‘i. Their argument has several
Dr. Kekuni Blaisdell’s group has constructed itself as a na-
prongs. First, they situate themselves as the unambiguous
tion that pushes on the border of statist aspirations, precisely
heirs of the land. Preserving the land, they argue, is a reli-
as a means to gain an audience with influential states and as
gious and moral duty. Second, they argue against U.S. juris-
legitimated stance from which to engage in the politics of
diction, claiming that Hawai‘i was a self-governing nation
embarrassment and radical decolonization. Hui Ma¯lama,
that was subjected to illegal overthrow by the United States.
from the other side, constructs itself as a self-determining en-
Third, as a remedy to this situation, the group represents it-
tity within the boundaries of a nation-state. In ways that are
self as the legitimate political arm of the Hawaiian Nation.
sometimes countervailing and sometimes convergent, both
As such, it seeks audiences with other nation-states through
groups use indigenous discourse to express and advance their
international forums such as the UN. To graphically an-
positions in navigating a path toward substantial preserva-
nounce and enact its position, the group held a tribunal in
tion of human rights based in—not held against—their col-
1993, during which an international panel of legal experts
lective identities. However differently pursued, their com-
and indigenous representatives assessed claims against the
mon quest is simultaneously ancient and futuristic.
United States (Ball, 2000, pp. 93–96). The United States
Moreover, their actions point to the fact that things scholars
was found guilty of all charges, which ranged from illegal oc-
often take for granted—native identities and the borders of
cupation of the land to environmental abuse.
nation-states, for example—are constantly being (re)defined
in the here and now.
The second group is Hui Ma¯lama I Na¯ Ku¯puna O
Hawai‘i Nei (Hui Ma¯lama). Focused primarily on repatria-
SEE ALSO African Religions, overview article; Oceanic Reli-
tion and reburials issues (Johnson, 2003), Hui Ma¯lama is no
gions, overview article.
less vocal than Dr. Blaisdell’s group. However, Hui
Ma¯lama’s self-understanding vis-à-vis the state and federal
BIBLIOGRAPHY
Ball, Milner. Called by Stories: Biblical Sagas and Their Challenge
governments is based implicitly on the model of federally
for Law. Durham, N.C., and London, 2000.
recognized Indian tribes (as stipulated in the Native Ameri-
Bowen, Elenore Smith. Return to Laughter: An Anthropological
can Graves Protection and Repatriation Act). Hui Ma¯lama
Novel. New York, 1954.
operates within federal guidelines and often by way of federal
Comaroff, John, and Jean Comaroff. Of Revelation and Revolu-
grants to pursue the repatriation and protection of ancestral
tion: The Dialectics of Modernity on a South African Frontier.
cultural objects and human remains. Doing so, they repre-
Chicago, 1997.
sent their cause as one fundamentally concerned with Ha-
Deloria, Vine, Jr. For This Land: Writings on Religion in America.
waiian identity. This assertion took on greater relevance from
New York and London, 1999.
2000 forward, as a piece of federal legislation (The Native
Fitzpatrick, Peter. The Mythology of Modern Law. London, 1992.
Hawaiian Recognition Act) was under consideration by the
Gooding, Susan Staiger. “At the Boundaries of Religious Identity:
Senate in 2005. The pending legislation is designed to grant
Native American Religions and American Legal Culture.”
native Hawaiians “tribal” status within the state and federal
Numen 43 (1996): 157–183.
governments. The intent of the legislation is to stabilize and
Goodrich, Peter. Languages of Law: From Logics of Memory to No-
define the status of native Hawaiians with regard to govern-
madic Masks. London, 1990.
mental policies and programs in a way that establishes “limit-
Johnson, Greg. “Ancestors Before Us: Manifestations of Tradition
ed sovereignty” for native Hawaiians, particularly with refer-
in a Hawaiian Dispute.” Journal of the American Academy of
ence to issues of education, land use, and cultural heritage.
Religion 71/2 (2003): 327–346.
Politically and legally, the function of the bill is to recast the
Llewellyn, K. N., and E. Adamson Hoebel. The Cheyenne Way:
terms by which special entitlements for native Hawaiians
Conflict and Case Law in a Primitive Jurisprudence. Norman,
may be constitutionally defended by shifting the basis of en-
Okla., 1941.
titlements from the criterion of race to the criterion of tribal
Nader, Laura, ed. Law in Culture and Society. (1969.) Berkeley,
status. This is in response to the Supreme Court’s 2000 deci-
Calif., 1997.
sion in Rice v. Cayentano, which held that voting for trustees
Niezen, Ronald. The Origins of Indigenism: Human Rights and the
of the state Office of Hawaiian Affairs could not be limited
Politics of Identity. Berkeley, Calif., 2003.
by race. Hui Ma¯lama is in support of this legislation and sees
Povinelli, Elizabeth. The Cunning of Recognition: Indigenous Alteri-
it as a “realistic” redressive mechanism. Dr. Blaisdell’s group,
ties and the Making of Australian Multiculturalism. Durham,
by contrast, considers the bill anathema to sovereignty and
N.C., 2002.
a form of continued colonization.
Smith, Huston, and Reuben Snake. One Nation Under God: The
Triumph of the Native American Church. Santa Fe, 1996.
The two indigenous Hawaiian movements briefly con-
Vecsey, Christopher, ed. Handbook of American Indian Religious
sidered here both make religious claims for their positions,
Freedom. New York, 1991.
engage the media, attend and address national and interna-
Warren, Kay, and Jean Jackson, eds. Indigenous Movements, Self-
tional meetings, and have legal experts in their ranks. What
Representation, and the State in Latin America. Austin, Tex.,
these groups share above all else, beyond a contested Hawai-
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
LAW AND RELIGION: LAW AND RELIGION IN HINDUISM
5343
Williams, Robert A. The American Indian in Western Legal
The enormous corpus of Sanskrit literature called smr:ti
Thought: The Discourses of Conquest. New York, 1990.
(“what has been remembered”) attempted to teach the rules
for conducting a righteous life. The ways in which this litera-
GREG JOHNSON (2005)
ture taught dharma, that is, taught righteousness as reflected
in the conduct of one’s life, varied considerably. One sub-
category of smr:ti, the Pura¯n:as, is made up of narrative texts
LAW AND RELIGION: LAW AND RELIGION IN
that relate mythological stories focused on the incarnations
HINDUISM
of various gods. The great epics of India, the Maha¯bha¯rata
The distinction between law and religion is one that does not
and the Ra¯ma¯yan:a, constitute another branch of smr:ti litera-
exist in classical Hindu thought. Instead, both law and reli-
ture and contain large amounts of didactic teaching. These
gion are parts of the single concept known as dharma. This
two genres are designed to convey dharma by the examples
fact is the key to understanding the legal system of classical
of the characters in their stories.
India and its eventual acceptance and adaptation in South-
A much more technically and strictly “legal” literature
east Asia. Dharma, the basis for the legal system, is a system
that constitutes a subcategory of smr:ti is the Dharma´sa¯stra,
of natural laws in which specific rules are derived from an
or literally, the “science of dharma.” These Dharma´sa¯stra
ideal, moral, and eternal order of the universe. The fact that
texts are all presumed by Hindus to teach the eternal and im-
the laws are based on this eternal order is their source of vali-
mutable dharma contained in the Vedas. The presumption
dation and authority. In classical Hindu society, the rights
of these texts was that the reader was familiar with the ritual
and responsibilities of an individual were determined by sta-
texts and was a practitioner of the Vedic ritual. It was the
tus. In general, the role and place of women were of marginal
purpose of the literature on dharma to unify the Hindu’s
concern in the legal texts. The texts were composed by men,
world. This was done by enabling the members of society to
and they deal with matters of concern to all. In addition to
harmonize their existence with the universal order. The
gender, the determiners of one’s status are caste (varn:a or
range of topics in this literature is extensive, and includes:
ja¯ti), stage of life (a¯´srama), age, and so forth. Every caste, age
rules on the conduct of daily life including diet, cleanliness,
group within that caste, and stage of life has certain generic
times for sleeping and waking, the selection of mates, crimi-
responsibilities that must be fulfilled (varn:a¯´sramadharma).
nal laws, rules governing social interaction, relations between
The king was charged with the responsibility of seeing to it
castes, sexual norms, laws of commerce, and rules relating to
that the populace adhered to its dharma, but this charge of
agricultural activity. In addition there is detailed treatment
the king’s was itself a part of his dharma, so it is difficult to
of the rules of procedure and of evidence. The latter includes
distinguish between the political, legal, and religious aspects
witnesses, documents, and a sophisticated treatment of the
of the South Asian legal tradition.
use of ordeals to settle disputes.
SOURCES OF DHARMA. The pervasive idea of dharma influ-
Precisely because this literature dealt with dharma, its
ences all aspects of a Hindu’s life. It is a natural and moral
rules and regulations were held to be inviolable: the fact that
order, and its disturbance has grave consequences for indi-
dharma is itself the order of the universe validates rules per-
viduals and society. In theory, at least, every act of every
taining to it. In an ideal sense the literature on dharma served
Hindu’s life should be done in accordance with this natural
to define who and what a righteous believer in the Veda was.
and moral order, so a righteous person would wish to per-
The Dharma´sa¯stra literature comprises four types: (1) the
form every act in accordance with dharma. There are four
earliest, aphoristic texts, the Dharmasu¯tras, each of which are
sources of dharma enumerated in the legal literature (see, for
attributed pseudonymously to a famous sage of antiquity; (2)
example, Manu 2.12 and 1.108): the Veda (´sruti, sometimes
later metrical texts, also pseudonymous, often referred to by
translated as “revelation”), smr:ti, custom (i.e., sada¯ca¯ra; liter-
the term “metrical smr:tis” and (somewhat confusingly) when
ally, “the practice of the good”), and whatever seems correct
in opposition to the Dharmasu¯tras by the term dharma´sa¯stra;
to one’s conscience (a¯tmatus:t:i). The Veda is the ultimate
(3) commentaries (bha¯s:yas) on both of the preceding; and (4)
source; all of the statements concerning dharma are theoreti-
legal “digests” called nibandhas.
cally traceable to the Veda. Both smr:ti and custom are, ac-
cording to the commentators, dependent on the Veda, in
The earlier texts, the Dharmasu¯tras, were taught as part
that the practices described in smr:ti and followed in the cus-
of the literature of a particular Vedic school (caran:a), where-
toms of various groups and localities can all be traced, at least
as the later texts, the metrical smr:tis, were not connected with
theoretically, to the Veda. The last source of dharma— what-
any particular school. This fact indicates that the study of
ever seems correct to one’s conscience—is the most vague
dharma had become much broader and more specialized
and least discussed, but it seems to have been included to
than it was at the time of the Dharmasu¯tras. The dharma lit-
cover those circumstances where no specific rule exists. In
erature is often very difficult to date (for the earlier texts, es-
this last case it is presumed that the individual in question
pecially, only tentative relative chronologies may be estab-
is one who has been instructed in dharma and is familiar with
lished), but the extant texts probably range in date from the
the sacred tradition. In all four of these cases, the connection
fourth century BCE to the late eighteenth century CE. It is in
with the Veda is the validation of their teachings on dharma.
this body of literature that we find the most explicit descrip-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5344
LAW AND RELIGION: LAW AND RELIGION IN HINDUISM
tions of the legal system of classical India. The most authori-
we might call “the law of the land.” In general, we have such
tative of these explicitly legal writings is the earliest metrical
limited evidence for daily practice that we cannot say with
smr:ti, the Ma¯nava Dharma´sa¯stra or Manusmr:ti (c. 100 BCE–
much certainty what the actual law was in a given place in
100 CE, hereinafter “Manu”), which is attributed to the semi-
the subcontinent at a given moment in history. What we can
divine mythical figure Manu Svayambhu.
say is that the Dharma´sa¯stras and the Dharmasu¯tras record
the foundation on which the legal system was based. The
PRINCIPLES OF RIGHTEOUSNESS. Both the Dharmasu¯tras
level of technical sophistication of the Dharma´sa¯stra was
and the metrical smr:tis claim to be the teachings of great sages
considerable, and it seems unavoidable that the adjective law
who have made dharma known to humankind. The rules
found in the texts was born of a long process of actual prac-
contained in these texts are specific statements of the princi-
tice that resulted in the elaborate legal procedure described
ples of righteousness (dharma) and world order (r:ta) that are
there. (The quintessential text on legal procedure is the
taught in the Veda. While the Veda is the theoretical source
Na¯radasmr:ti.) Dharma´sa¯stra represents real legal principles.
for all of the law contained in the smr:ti literature, very little
Even though the record of these legal principles is refracted
of what is contained in Vedic literature could itself be called
through the lenses of the priestly class who recorded and in-
“law.” The exact way in which specific laws are derived from
terpreted it, Dharma´sa¯stra is of great value in reconstructing
the largely ritual, sacerdotal literature of the Vedas is never
the history of Indian society because these texts tell us how—
made clear; therefore, the connection between the Vedas and
if not where and when—people actually lived.
smr:ti is not obvious except for their shared theoretical con-
cern for dharma. The test of the orthodoxy of any smr:ti or
The commentators and digest writers (and to some ex-
interpretation of smr:ti was its acceptance in practice by the
tent the texts themselves) tell us that local custom was of
educated and righteous men of the community. This is most
overriding authority. This means that the Dharma´sa¯stras and
probably the real connection between the Vedas and the
the Dharmasu¯tras were not uniformly statements of substan-
dharma literature—the dharma literature records the practice
tive law as actually applied; rather, they may be viewed as
of those steeped in the teachings of the Veda.
theoretical guidelines that conveyed in specific statements
the ways that members of society might adhere to dharma.
Acceptance of a rule did not always mean that its pur-
The actual implementation of these guidelines was fragmen-
pose was clearly understood by the educated and righteous
tary and localized. Local custom played a significant part in
men of the community. Indeed, the very obscurity of the rea-
these variations. The Dharmasu¯tras and the Dharma´sa¯stras
son for some rules is an important interpretative device.
explicitly provide for variations in local custom and also indi-
Since dharma is not “visible” or apparent to ordinary human
cate that these local customs are valid sources for knowledge
beings, and since the smr:ti literature teaches dharma, when-
of dharma. There was no concern for precedent, and al-
ever there is “no visible purpose” (adr:s:t:a¯rtha) for a rule, then
though the decisions of courts were recorded, the records, as
that rule is of greater importance than a rule for which there
far as we known, were then usually given to the litigants
is an obvious purpose (dr:s:t:a¯rtha). Rules with an obvious pur-
themselves, who were responsible for the maintenance of the
pose relate to the realm of the practical (artha) or that of the
documents of their respective trials.
pleasant (ka¯ma) and are therefore of less consequence to the
The fragmentary nature of the administration of the
metaphysical well-being of a person than rules that relate to
Hindu legal system was in part a function of the fact that
dharma. For example, the metrical smr:ti of the sage
there was no centralized legal hierarchy that had the capacity
Ya¯jñavalkya (at 1.352) states that the king should strive to
to uniformly enforce “the law.” The king had appellate juris-
make friends because friends are worth more than material
diction, and there were very few matters that he could prose-
possessions. This is a rule with an obvious purpose—the wel-
cute on his own initiative without first having had a case
fare of the king. The same text (at 2.1) later states that the
brought to him by a plaintiff. The purpose of the entire legal
king must administer his judicial court impartially and ac-
system was not so much to deliver justice as it was to ensure
cording to Dharma´sa¯stra. The purpose of this rule is not ap-
that the entire populace adhered to the duties and obliga-
parent (adr:s:t:a¯rtha), except that to fulfill this rule is to engage
tions of dharma. The administration of law courts and the
in righteous behavior (dharma); thus, it is a rule which is
enforcement of “law” was not a purely political matter (al-
more compelling than the earlier one advising the king to
though it had a political dimension); it was a religious con-
make friends. The sum of these rules, then, is that the king
cern. The fact that there is no central ecclesiastical authority
is not allowed to use his position as administrator of justice
in the Hindu tradition also contributed to the fragmentari-
to cultivate friends. Indeed, when he is in court, he must be
ness of the development of this legal tradition. This fragmen-
equally impartial to both friends and enemies
tary and localized administration was also a result of the idea
(Ya¯jñavalkasmr:ti 2.2). This principle of the superiority of
that every individual has a unique dharma and therefore a
rules relating to dharma is stated explicitly in several places
unique set of responsibilities. Accordingly the circumstances
in the smr:ti literature (see, for example, Ya¯jñavalkyasmr:ti
of every case would be unique, there would be no reason to
2.1).
record for reference the previous deliberations of a court.
DHARMA AND “LAW.” It is important to make a distinction
ENFORCEMENT OF THE LAW. The validation of the “laws” in
between the rules contained in the smr:ti literature and what
this system was to be found in the religious belief that 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
LAW AND RELIGION: LAW AND RELIGION IN HINDUISM
5345
world is organized according to the natural and moral order
The Dharma´sa¯stras and the Dharmasu¯tras are the most
of dharma. The enforcement of the laws was primarily the
succinct statements of dharma, but, as in all legal systems,
responsibility of the king, who was viewed as semidivine (see
the power to interpret the law is the power to make the law.
Manu 7.4–5), and this semidivine nature legitimized his
In classical India this power was in the hands of the king and
temporal power. Within this natural and moral universal
his judges, but we have very little record of their rulings.
order, any polity without a king was one that suffered calami-
There has been controversy among scholars over the question
ties; thus, the monarchy was essential to the well-being of the
of whether or not the king had the power to “legislate.” The
people. The reason that a polity without a king suffered ca-
texts tell us that any ruling of the king had to be obeyed, but
lamities is that the primary task of the king was to protect
at the same time there are indications that existing custom
his subjects. The most important part of his protection was
had such a superior claim to validity that the king was bound
seeing to it that dharma was adhered to by all of his subjects.
not to interfere with it (so long as it was not depraved) but
Therefore, the king was the punisher of violators of dharma
to enforce it.
and the ultimate guarantor that dharma was adhered to in
Commentators on the smr:tis and digest writers were also
his kingdom. The Maha¯bha¯rata, for example, states in sever-
interpreters of the law, and we have a huge corpus of litera-
al places that the king’s dharma is the culmination and sum
ture recording their views. The function of interpretation
of all other dharmas. His court was the court of final jurisdic-
served to keep the legal texts attuned to the changing needs
tion. There was no appeal from a judgment of the king’s
of society. It was the task of the commentators and the digest
court. The king himself was the judge, but he was also urged
writers to relate the general principles found in the texts to
to appoint a number of experts in Dharma´sa¯stra (preferably
the current society in which the commentator was writing.
bra¯hman:as) to serve as judges in his court. One of these could
Interpretation of Dharma´sa¯stras and Dharmasu¯tras was regu-
be appointed the chief judge, and this judge would preside
lated by two factors. First, an interpreter had to use the codi-
in the king’s absence. Even though he has the assistance of
fied hermeneutical techniques of the M¯ıma¯m:sa¯ school of
these experts, and even though he could appoint them to
philosophy. These techniques were originally developed for
serve in his absence, the king was still ultimately responsible
interpretation of Vedic texts to determine the exact proce-
for the adherence to dharma; if there were wrong judgments
dures for the ritual. Since the smr:ti literature is seen as a sort
handed down by his court, the judges were liable to punish-
of continuation of the Vedic tradition, it is appropriate that
ment, but so was the king.
the same techniques of interpretation be applied to it. The
Though the king was seen as semidivine—he is even ad-
second factor controlling the interpretation of smr:ti was
dressed as deva (god) in Sanskrit drama—there was no real
the acceptance/implementation or rejection/ignoring by the
idea of the “divine right of kings.” To be sure, the monarch
community of any interpretation. Thus, the validation of
was endowed with extraordinary powers, but the literature
any interpretation was found in its implementation.
contains references to kings who were dethroned for their
CONTENTS OF THE DHARMAS´A¯STRAS AND THE DHAR-
failure to adhere to their own dharma or who had failed to
MASU
¯ TRAS. The contents of the Dharma´sa¯stras and the
see to it that others did so. The smr:ti literature recognized
Dharmasu¯tras may be divided into three broad categories:
this as a legitimate response of the people to an unrighteous
rules for “good conduct” (a¯ca¯ra), those for legal procedure
king. A related genre of Sanskrit technical literature, the
(vyavaha¯ra), and those for penance (pra¯ya´scitta). It was the
artha´sa¯stra, is intended as a handbook for governance.
design of these texts to prescribe rules that would guide each
Whereas the focus of the artha´sa¯stra literature is matters of
member of society so that he might live his life as fully in
concern specifically to the king (as opposed to other mem-
accordance with dharma as possible. This meant that as soci-
bers of society): his training, conduct of war, foreign policy,
ety changed, the prescriptions for righteousness contained in
intelligence, policing, and administrative organization, there
the texts needed to be adapted to those changes. This adapta-
is a detailed treatment of the administration of justice. The
tion was done by the commentators on the Dharmasu¯tras
arth´sa¯stra passages parallel similar treatments of judicial pro-
and the Dharma´sa¯stras and by the digest writers. Because it
cedure in the Dharma´sa¯stra literature.
was their responsibility to adapt the teachings of the
Dharmasu¯tras and the Dharma´sa¯stras, their role as arbiters of
The concept of punishment was closely tied to the con-
dharma (righteousness) became central in the development
cept of penance. Any violation of dharma means that the vio-
of classical Hindu law.
lator incurred sin. To expunge this sin it was necessary to un-
dergo some penance. The punishment meted out for a crime
The range of human activity regulated by the provisions
was thus viewed as purifying (Manu 8.318). It was also possi-
of these texts is remarkable. Large categories such as mar-
ble to mitigate the corporal or financial punishment of a
riage, ritual purity, inheritance, criminal law, and a basic
crime by undergoing a specific penance (Manu 9.240). Nei-
commercial law are covered, but so are the minutiae of daily
ther punishment nor penance is described as a deterrent or
life: what and what not to eat, how to brush one’s teeth,
as a way of compensating for injury or tort, but they are ways
when and where to move one’s bowels, how to detect suitable
of compensating for the violation of the natural and moral
marriage partners, and more. The sophistication of the rules
order of dharma.
of legal procedure indicate a long-standing juridical tradition
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5346
LAW AND RELIGION: LAW AND RELIGION IN HINDUISM
whose evolution can be vaguely traced through the increas-
name of justice and equity. This corpus of judicial precedent
ingly sophisticated treatment of topics such as the adminis-
continued to grow and was inherited by the judiciary of inde-
tration of ordeals. The earliest texts know only two ordeals:
pendent India so that the Hindu personal law of modern
fire and water. Later texts know as many as nine ordeals.
India is only nominally based upon smr:ti. Having created it
judicially, the British and their heirs in independent India
Every individual has a dharma that is a constellation of
were left with the task of legislatively reforming this new
duties and responsibilities that are unique to him, because
“Hindu Law.” An attempt to systematically codify Hindu
each individual has different capacities for righteousness. An
Law in newly independent India was unsuccessful, and the
individual’s capacity for righteousness is determined by his
result is a piecemeal attempt to bring consistency or, some-
birth, and his birth is determined by his karma. Thus every
times, rationality to the law. Thus one finds the Hindu Mar-
individual cannot be expected to meet the same standard. In
riage Act of 1955, the Hindu Adoptions and Maintenance
broad terms, a bra¯hman:a and a ´su¯dra (the highest and lowest
Act of 1956, the Hindu Succession Act of 1956. The courts
varn:as, respectively) are therefore qualitatively different
of modern India continue the process.
members of society. The social, religious, and legal expecta-
tions and requirements of a bra¯hman:a and a ´su¯dra were dif-
SOUTHEAST ASIAN DEVELOPMENTS. Since the Indian “legal”
ferent in accordance with their qualitative differences. For
tradition is so integral a part of the religious and philosophi-
example, the killing of a bra¯hman:a was a very serious crime
cal ideas of the Hindu tradition, it was inevitable that it
requiring harsh penances lasting twelve years (Manu 11.73–
would be exported to Southeast Asia when that region be-
82), while the killing of a ´su¯dra was a minor offense requir-
came “Indianized” (a process lasting for centuries, but begin-
ing a penance that lasts only six months; this penance was
ning in the early centuries of the common era). The Indian-
the same one prescribed for the killing of lizards (Manu
ization of Southeast Asia involved the adoption of Indian
11.131, 11.141). Thus, to kill a bra¯hman:a was to do greater
culture and religion (Hinduism and Buddhism), including
violence to the universal order than to kill a ´su¯dra because
the use of the Sanskrit language, the mythology of the
of their qualitative differences in ritual status. The same rea-
Pura¯n:as and the epics, the concept of kingship, and the reli-
soning is employed in the standards of behavior applied to
ance on the Dharma´sa¯stra as a statement of the generalized
members of society. A bra¯hman:a must take great care to per-
standard of conduct.
form penance for offenses, whether committed knowingly or
As a result of the adoption of these Indian religious and
unknowingly (Manu 11.45–46), but many of the things for
philosophical ideas by the Southeast Asian countries, the idea
which a bra¯hman:a would be outcasted are not even offenses
of dharma came to be central in the legal systems of this re-
for a ´su¯dra (Manu 10.126).
gion as well. Burma, Thailand, Cambodia, Java, and Cham-
THE COLONIAL PERIOD. It was this aspect of the Indian legal
pa all adopted the Hindu ideal of law based on a natural and
tradition that most alienated the British when in 1772 they
moral order of the universe. As an integral part of this idea
decided that they should assume the responsibility for the en-
of dharma the Hindu concept of kingship was also adopted
forcement of laws in the territories controlled by them. They
in these regions of Southeast Asia. Though these were origi-
mistrusted the traditional pan:d:itas because they appeared to
nally Hindu ideas, they were integrated into Buddhist king-
discriminate between litigants on the basis of “religious”
doms by the convention of explaining in the introductions
matters such as caste. Only after they had instituted sweeping
to legal texts that a sage by the name of Manu was inspired
changes in personal laws (such as those dealing with inheri-
by the Buddha to discover the eternal laws and to make them
tance, marriage, adoption, etc.) did the British come to un-
available to the world. In some texts of the Southeast Asian
derstand that the concept of dharma was different from the
tradition, the organization of the Indian Ma¯nava
concepts of justice and equity found in the common-law tra-
Dharma´sa¯stra is followed fairly closely, but in other texts it
dition. In their defense it must be said that the traditional
is not adhered to at all. There is generally less concern with
lack of concern for precedent, the fragmentary nature of the
the technical aspects of law in the Southeast Asian tradition,
legal system, and the reliance on largely uncodified custom
and unlike the Indian Dharma´sa¯stra the texts do not recog-
made the task of British administrators of Hindu law ex-
nize and incorporate custom as a source of law. This fact
tremely difficult. It was the intention of the British to remove
probably contributed to the role assumed by these texts,
these uncertainties by providing a codified “Hindu Law.”
which function much more as exemplary statements of gen-
The British commissioned such a code, the Viva¯da¯rn:avasetu,
eral standards of conduct than as statements of actual law.
and for a time the English translation of this code (A Code
Each of the cultures of Southeast Asia adopted the Indi-
of Gentoo Laws, first published in 1776) served as the basis
an legal tradition in slightly different ways. There are signifi-
for the British courts’ adjudication of Hindu personal law.
cant variations in the formal aspects of each legal system, and
Eventually, by the mid-nineteenth century, British scholar-
generally it may be said that the further the geographical dis-
ship had learned enough about the Dharma´sa¯stra to point
tance from India, the greater the formal differences. In every
out the errors that had been committed by the British-Indian
case, however, the religio-philosophical basis of the Indian
judiciary, but by that time the corpus of judicial precedent
legal system was accepted: namely, that dharma is the natu-
was so large that it had an inertia of its own, and it was not
ral, moral order of the universe and that it is this concept that
possible to retrace all the steps that had been taken in the
defines and validates the 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
LAW AND RELIGION: LAW AND RELIGION IN BUDDHISM
5347
SEE ALSO Dharma, article on Hindu Dharma; R:ta; S´a¯stra
the ongoing problem of periodization of the history of the
Literature; Su¯tra Literature.
Hindu legal tradition.
RICHARD W. LARIVIERE (2005)
BIBLIOGRAPHY
Coedès, George. The Indianized States of Southeast Asia. Translat-
ed by Susan Brown Cowing and edited by Walter F. Vella.
Canberra, Australia, 1968. On the career of Indian law in
LAW AND RELIGION: LAW AND RELIGION IN
Southeast Asia.
BUDDHISM
Derrett, J. D. M. Religion, Law and the State in India. New York,
The study of secular law in Buddhist culture and society is
1968. Discusses the influence of dharma literature on mod-
a relatively new and intriguing area of research. This entry
ern Hindu law.
will first describe the Buddha’s view of society and his legal
Direck Jayanama. The Evolution of Thai Laws. Bonn, West Ger-
decision making. Then it will review monastic offenses, pun-
many, 1964. Discusses how Manusm ti and other texts con-
tributed to the formation of the Thai legal tradition.
ishments, and procedures, followed by a discussion of the
first Buddhist king, A´soka, and the growth and spread of
Gharpure, Jangannatha Raghunatha. “Ya¯jñavalkya smr:ti, or the
Buddhism. In the final sections, three patterns for transmis-
Institutes of Ya¯jñavalkya, Together with the Commentary
Called the M¯ıta¯ks:ara by Sri Vijña¯ne´svara, Book the Second:
sion of Buddhism will be described, one with a legal system,
And English Translation.” In Collections of Hindu Law Texts,
one without, and one in an area of legal pluralism. Then four
vol. 2., Bombay, 1914.
other types of religious influence on a legal system will be
Hooker, M. B. A Concise Legal History of South-East Asia. Oxford,
discussed, foundational concepts; rituals; legal subject mat-
1978.
ters; and stories, art, and literature. The conclusion will pres-
Jolly, Julius. Hindu Law and Custom. Translated by Batakrishna
ent the current state of the field.
Ghosh. 1928; reprinted, Varanasi, India, 1975.
LAW AT THE TIME OF THE BUDDHA. Distinctions in modern
Kane, P. V. History of Dharma´sa¯stra. 2d ed., 5 vols. Poona, India,
academic discourse among politics, religion, law, and morali-
1968–1975. The most encyclopedic treatment of the topic.
ty would have been incomprehensible in the intellectual cul-
Kangle, R. P. The Kaut:il¯ıya Artha´sa¯stra. Part 2, Translation. Bom-
ture of Brahmanic India of the fifth century BCE. When
bay, 1972.
Siddha¯rtha Gautama first sat under the pipal tree, law and
Lariviere, Richard W. The Divyatattva of Raghunandana
justice were connected to the idea of dharma, the proper and
Bhat:t:a¯ca¯rya: Ordeals in Classical Hindu Law. New Delhi,
natural development of the social and universal orders
1981. The most comprehensive treatment of the subject of
through morality and religious teaching. Given these inter-
ordeal in Hindu law.
connections, there is still little doubt that Siddha¯rtha Gauta-
Lariviere, Richard W. “Dharma´sa¯stra, ‘Rea’ Law and ‘Apocryphal
ma was concerned with legal matters as we now define them.
Smr:tis.’” In Law, State, and Administration in Classical India,
He was born heir apparent to the throne of the regional king-
edited by Bernhard Kölver, pp. 97–109. Munich, 1997. A
dom of S´a¯kya in a time when princes were trained extensively
discussion of the status of dharma literature as “law.”
in the Sanskrit smr:ti legal literature, especially the
Lariviere, Richard W. The Na¯radasmr:ti: Critical Edition and
Dharma´sa¯stras and the Dharmasu¯tras. He was taught the rit-
Translation, 2d ed. Delhi, 2003. The most thoroughly juridi-
ual and legal roles of a king who stood as the ultimate author-
cal of all of the classical Indian texts.
ity for maintaining the peaceful relations of his subjects. His
Lingat, Robert. The Classical Law of India. Translated by J. D. M.
turn away from his family obligations, from the opportunity
Derrett. Berkeley, Calif., 1973. A superb, concise overview
to be king, and more specifically, from the administration
of the entire topic of classical Hindu law.
of legal power was a personal renunciation but not an indica-
Menski, Werner F., Hindu Law: Beyond Tradition and Modernity.
tor of either a lack of interest in or a rejection of the impor-
New Delhi, 2003. An attempt to discuss the topic of Hindu
tance of rules of conduct and social order.
law in terms of post-modern analysis.
BUDDHA’S VIEW OF SOCIETY. The enlightened Buddha con-
Olivelle, Patrick. Dharmasu¯tras: The Law Codes of A¯pastamba,
ceived of society as having two parts—a monastic san˙gha
Gautama, Baudha¯yana, and Vasis:t:ha. Delhi, 2003. The best
translations of these very early texts.
seeking enlightenment through his teachings and a support-
ive patron laity that donated to the san˙gha to make merit.
Olivelle, Patrick. The Law Code of Manu. Oxford, 2004. A land-
He began immediately to teach, collect disciples, and form
mark translation of the most important of all of the tradi-
tional legal texts.
the new monks into a social order by expounding the rules
and requirements of the group. These rules were later collect-
Rocher, Ludo. “Hindu Law and Religion: Where to Draw the
Line.” In Malik Ram Felicitation Volume, edited by S. A. J.
ed and written down as the Vinaya Pit:aka. As a central Bud-
Zaidi, pp. 167–194. New Delhi, 1972. A contribution to the
dhist teaching and one third of the Tripit:aka, the Vinaya
discussion of the status of law in the ancient Indian tradition.
provides us with the clearest information about the Buddha’s
Sarkar, Upendra Chandra. Epochs in Hindu Legal History. Hosh-
prescriptions as to the required behavior for ordained monas-
iarpur, India, 1958.
tic practitioners.
Sen Gupta, Nares Chandra. Evolution of Ancient Indian Law. Lon-
DECISION MAKING BY THE BUDDHA. The Suttavibhan˙ga
don, 1953. Important contributions by Indian scholars to
section of the Vinaya is a series of encounters between 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
5348
LAW AND RELIGION: LAW AND RELIGION IN BUDDHISM
Buddha and a monk defendant. In a standardized narrative
THE LAITY. The lay patrons of the san˙gha, who ranged in
sequence, a monk accuser approaches the Buddha and pres-
status from the lowest outcaste to local kings such as King
ents the infraction; then, the Buddha asks questions of the
Bimbisa¯ra of Ma¯gadha and King Prasenajit of Ko´sala were
perpetrator to determine his state of mind and knowledge of
expected to adopt their own set of vows. As patrons, they
the event. Finally, he makes a casuistic determination about
were charged by the Buddha with providing the necessities
the propriety of the act, often berating the defendant repeat-
of food, clothing, and shelter in the form of viha¯ra, resting
edly, and announces the punishment that should follow as
lodges and a¯ra¯ma, residences for the monks. These patrons
well as possible mitigating factors. Through a case-by-case
also requested teachings from the Buddha on religious, polit-
process of institutional definition, the Buddha built a legal
ical, and legal matters. To King Prasenajit, inclined to the
outline of the proper behaviors, speech, clothing, and rituals
pleasures of wealth, the Buddha lectured about subduing
of the san˙gha.
sense pleasures, living righteously, and the inevitability of
MONASTIC OFFENSES, PUNISHMENTS, AND PROCEDURES.
impermanence. In legal matters, the Buddha advised him to
The Pra¯timoks:a, or precepts, is a list of offenses in the Vinaya
not elevate himself above others, to exercise judicious reason,
numbering from 218 to 263 for males and more for females.
and to always observe the traditional rules of royal conduct.
They range from the most serious—a violation of celibacy,
In the last days of the Buddha’s life, King Aja¯ta´satru, the son
theft, and intentional murder—to the least significant, con-
of King Bimbisa¯ra, sent his minister to inquire whether an
cerning attire and walking style. To inculcate the rules of the
attack against an enemy would be successful. The Buddha
social order, all Buddhist san˙ghas chant the Pra¯timoks:a twice
responded with a discourse on the seven conditions necessary
a month. Each of these offences is matched with a category
for a just and prosperous state.
of punishment, from permanent dismissal, called “defeat,”
THE MODEL OF A BUDDHIST KING. The Sutta Pit:aka sec-
to a combination of formal hearing in front of the san˙gha,
tion of the Buddhist canon contains discourses of the Bud-
probation, forfeiture, expiation, and acknowledgment. Sus-
dha on kingship that praise the election of leaders who then
pension and formal reprimand were also possible.
rule through compassion, morality, and social justice. The
The Pra¯timoks:a also contains a list of the procedures for
first exemplar of a Buddhist king, King A´soka (third century
resolving legal disputes within the monastery itself. It out-
BCE) of the Ma¯gadhan Empire, came to power a hundred
lines types of verdicts that are possible, the definition of in-
years after the Buddha’s death. While uniting much of the
nocence, seven ways to settle a case, the definition of a major-
South Asian continent, A´soka experienced a particularly
ity verdict, insanity pleas, and levels of culpability. The
bloody victory and converted to Buddhism. He placed stellae
Khandhaka section of the Vinaya provides the working struc-
as a confirmation of his faith at every outpost of his realm
ture of the monastery, the rules by which the community is
that described the importance of the Buddhist principles of
organized. It regulates the wearing and sewing of robes, types
noninjury, truthfulness, gentleness and generosity. King
of food, drink, medicine, and times of eating and sleeping.
A´soka made the welfare of his subjects the primary objective
Each monastery could also develop its own separate constitu-
of his government and sent out officials to build way stations
tion. The Buddha determined that after his death, legal deci-
for travelers, dig wells, provide medicine, and care for or-
sions were to be made by a quorum of monks reaching a con-
phans, the sick, and the elderly. Abolishing torture and the
sensus, each monk having an equal vote. The resultant
death penalty, he sought equal legal treatment of criminal in-
decisions of the san˙gha, called announcements of action,
fractions throughout the empire. His reign remains the best
could concern any aspect of monastic life, including ordina-
example of a government committed to putting Buddhist
tion, debate, ceremonies, and discipline. The rules of the
principles into practice.
Vinaya are similar in content and form throughout the Bud-
dhist monastic world.
GROWTH AND DIFFUSION OF BUDDHISM. From the huge
monasteries of classical India, the teachings of the Buddha
THE ROLE OF MONASTERIES IN THE COMMUNITY. Until
moved out with great rapidity for over fifteen hundred years
more recent times with the advent of state-supported schools
until the destruction of Na¯landa¯ University in 1198 and then
and bureaucratic offices, Buddhist monasteries were often
the influx of Muslims three hundred years later. As early as
the local repositories for documents, artistic training, and
250 BCE, A´soka’s own son, the monk Mahinda, took the
medicine, as well as centers for education in writing and
Buddhist dharma in the form of the Pali Therava¯dan canon
reading. In some societies but not all, Buddhist monks are
to Sri Lanka. With translation of these texts into the local
tightly embedded in their communities as the ritual special-
Sinhala dialect, an ideology that fused race, religion, and re-
ists. They provide ceremonies for the laity for house open-
gion, was adopted and continued by successive Buddhist
ings, new businesses, births, dangerous periods, exorcisms,
states. Today, Buddhism remains the major religion of the
illness, and death, all functions currently legally regulated by
island.
modern states through certification, licensing, business con-
tracts, and social work. In pre-1960 Tibet monks were also
Historical transmission of Buddhism with law. Sri
often the literate legal specialists, maintaining legal records,
Lanka is an example, along with states such as Tibet, Burma,
drafting documents, presenting and arguing cases, and fash-
and Thailand, of areas that received Buddhist teachings from
ioning legal settlements for both monastic and lay parties.
another country at the same time that they unified and devel-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW AND RELIGION IN BUDDHISM
5349
oped advanced legal and administrative procedures. This is
current Chinese provinces of Gansu and Ningxia, produced
the first type of historical transmission of law that occurs in
law codes strongly influenced by Buddhism. However, the
a Buddhist context. From this acculturation process evolved
Vietnamese law codes derived from Chinese states such as
jurisprudential cultures, legal processes, rituals, and law
the Lê code is described by its translators as having a Confu-
codes that were heavily inspired by Buddhism. Recalling the
cian core. The situation in Korea and Japan is similarly prob-
reign of King A´soka, the idea of the compassionate chakra-
lematic. King Sosurim of the north state of Koguryo˘ official-
vartin, or wheel-turning king, often became the model for
ly introduced Buddhism into what is now called Korea in
the ruler in these states.
372 BCE and at the same time established a school for Confu-
cian learning. The legal codes and centralized administrative
The first king to unify Burma was King Anawrata of
system that he promulgated during his reign are arguably not
Bamar, who created a Buddhist capital at Pagan in 1057 CE.
heavily influenced by Buddhism. Similarly, although Prince
This Pali Buddhist king worked with monks to create the
Sho¯toku promoted Buddhism as the state religion of Japan
dhammasat and rajasat secular law codes based on Buddhist
at the end of the sixth century
treatises, Hindu law, and the Sinhalese version of the Vinaya.
CE, scholars have argued that
the Confucian tradition has always accompanied and super-
In the following centuries, these law codes spread across what
ceded Buddhism’s effect on the Japanese legal system and law
are now Burma, Thailand, Cambodia, and Laos, adapting to
codes. As more research is done on the relationship between
the local areas, languages, and spirit cults. In succeeding
law and Buddhism in these cultures, new information and
dynasties, especially under the Konbaung Empire (1752–
perspectives will emerge.
1885), Burmese Buddhism moved down into the village
level, with local monasteries taking over the functions of edu-
Buddhism in legal pluralism. A third category of the
cating the youth, providing a standardized Buddhist ethical
relationship between Buddhism and law is legal pluralism.
code, and unifying the country culturally and legally.
Many modern states such as Sri Lanka, Vietnam, Laos, and
Transmission of Buddhism to a developed state. A
Mongolia have layers of colonialism, fragmentation, ethnic
second type of Buddhist transmission occurred when the re-
struggles, and global influence that have resulted in particu-
ligion entered a state that already had an advanced literate
larized legal pluralisms. Sri Lanka, an original Buddhist legal
tradition, including a legal and political administrative appa-
state, has overlays of Kandyan law, Catholic Portuguese in-
ratus. China is perhaps the best example of this second type.
fluence (c.1505–1658), Calvinist Dutch law in certain re-
Traveling along the Silk Route, merchants brought Bud-
gions (c. 1658–1796), and a period of English colonial rule
dhism into several Central Asian kingdoms, but when it
from 1795 until independence in 1948. With ethnic strug-
reached the area of what is now known as China around 50
gles between Buddhists, Hindus, and Muslims, the recogni-
tion of the fishing laws of the Mukkuvar people and the Te-
CE, it encountered resistance in the form of an in-place legal
system already strongly based in Daoism and Confucianism,
savalami legal code of the Tamil people of the Jatna region,
with its ties to family and a prescribed set of harmonious so-
legal pluralism defines modern Sri Lanka. This complex in-
cial relations.
terplay of legal forces has resonance in modern-day Vietnam
as well, with several forms of Therava¯dan Buddhism overlaid
While Buddhism had a strong influence on Chinese
by Chinese Maha¯ya¯na Buddhism and Confucian legal codes
ethics, art, architecture, and literature, some scholars have ar-
from an invasion in the fifteenth century. Spanish Catholi-
gued that it did not have a strong legal impact on the various
cism in the sixteenth century was followed by French colo-
Chinese Buddhist states from the Han (206 BCE–220 CE)
nists, the rise of the Viet Minh, and occupation by the Unit-
through the Tang (618–907) into the Song (960–1279)
ed States in the 1950s and 1960s.
dynasties, or even in the brief revival of Buddhism under the
Mongolian Yuan dynasty (1215–1368). Instead, they de-
A TYPOLOGY OF NONSTATE BUDDHIST INFLUENCES ON A
scribe a legal administration controlled largely by Confucian-
LEGAL SYSTEM. Interactions between Buddhism and law also
trained officials, with Buddhist monasteries vying for local
occur when (1) basic Buddhist principles and reasoning pro-
political power and popular support. While this is an enor-
cesses, (2) Buddhist practices, rituals, and procedures, and
mous simplification of a very long period of complex history,
(3) Buddhist ideas about legal subject matters such as mur-
it is a thesis that is worth investigating as Buddhist legal re-
der, theft, inheritance, and land tenure are employed by the
search continues. In the Tang period, for example, a time of
population when using the legal system. Finally, (4) Bud-
flourishing Buddhism, the great Law Code (Ku T’ang-lu shu-
dhist ideas can be captured in literature such as the ja¯taka
yi) was concerned in its four main divisions—the code, the
tales of the former lives of the Buddha, in puppet plays, art,
statutes, the regulations, and the ordinances—with the pre-
or numerous other aspects of culture and then influence the
vention, apprehension, and punishment of crime and with
way in which a legal system operates.
commercial law from a Confucian point of view. Scholars
Foundational concepts. First, legal systems are strongly
also report the use of the legal system to persecute and harass
influenced by the foundational ideas that their participants
Buddhist monasteries at various points in Chinese history.
employ, such as the concepts of causation, intention, cos-
The record of the outer-lying kingdoms is mixed. The
mology, conflict, notions of the community, karma, compas-
Tanguts of the Xixia dynasty (1038–1223), located in the
sion, identity and subjectivity, status, jurisdiction, sanctuary,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5350
LAW AND RELIGION: LAW AND RELIGION IN BUDDHISM
shame, apology, and evil. For example, in Buddhism the
ing the person’s mind to a tranquil life and the dharma was
Christian theological problem of evil does not exist. Instead,
often seen as the best form of punishment. Also, legal oaths
an illegal, evil, or immoral act committed by a human being
were taken in front of artistic renderings of the Dalai Lama
is the result of either received karma from a previous life or
or the Buddha.
an intentional choice made during this lifetime. Illegal acts
CONCLUSION. The study of secular law in Buddhist culture
are an inevitable part of the human state of sam:sa¯ra that is
and society is a relatively new area that requires a multidisci-
defined by duh:kha, suffering due to human hatred, greed,
plinary approach including comparative law, Buddhist
and delusion. These three elements of suffering are the root
studies, anthropology, history, religious studies, sociology,
cause of all antisocial acts by individuals. Given that individ-
and sociolegal studies. There is little doubt that Buddhism
uals who do not follow the dharma are ignorant of the per-
has strongly influenced and been strongly influenced by legal
petual cycle of sam:sa¯ra, open conflict in the form of lawsuits
culture in vast parts of Asia. The role of communism, for ex-
and altercations are to be expected. Even legal categories such
ample, in extinguishing Buddhist practices has not even been
as lying and theft exist only as a result of human greed and
touched in this review. Other categories that need to be more
pride. Thus, legal controversies in most Buddhist societies
fully investigated are Buddhist law and women, violence and
indicate a lack of knowledge and understanding of the
Buddhism, uprisings based on Buddhism, monastic martial
dharma.
arts training, messianic movements, and animist spirit tradi-
Karma is another Buddhist concept that can influence
tions. While a few in-depth projects have been completed,
legal proceedings. The reason for an illegal occurrence in this
it is an open and exciting field ready for detailed research,
lifetime could be found in one of several previous lives or in
both historical and current, and more textual translations,
this life; the punishment of an illegal act in this life could
comparisons, and theorizing.
occur in this life or in a future life. Studies of the use of
SEE ALSO Buddhist Books and Texts, article on Canon and
karma as a rationale for not pursuing an injury case in a mod-
Canonization—Vinaya.
ern Thai city have demonstrated this. One scholar has found
that individuals who do not sue commonly state that their
BIBLIOGRAPHY
current injury is the karmic result of their own previous, per-
Bodiford, William. Soto Zen in Medieval Japan. Honolulu, 1993.
haps unintended, negative acts. Strikingly, injury suits are
Brook, Timothy. “Patronage and the County Magistrate: Dangy-
decreasing in this city and karmic rationales are being used
ang County Hubei.” In Praying for Power: Buddhism and the
more frequently with the increase in globalism.
Formation of Gentry Society in Late-Ming China. Cambridge,
Legal practices and rituals. In pre-1960 Tibet, monas-
Mass., 1993.
tic ritual debate techniques were one of the foundations of
Ch’en, Paul Heng-chao. Chinese Legal Tradition under the Mon-
legal argumentation. Specialists in monastic legal decision
gols: The Code of 1291 as Reconstructed. Princeton, N.J.,
making were often appointed to represent a monastery in a
1979.
secular civil suit. Also, ritual ceremonies of catharsis and
Dunnell, Ruth W. The Great State of White and High: Buddhism
apology often follow lawsuits in Tibet, Japan, and Burma.
and State Formation in the Eleventh Century Xia. Honolulu,
This is a rich area for further investigation.
1996.
Dutt, S. Buddhist Monks and Monasteries of India. London, 1962.
Legal subject matters. Third, ideas about the nature of
theft and the factors that should be considered in assessing
Engel, David. Code and Custom in a Thai Provincial Court: The
a case of theft in the Tibetan law codes were closely tied both
Interaction of Formal and Informal Systems of Justice. Mono-
to the customary rules of the plateau and to the discussion
graphs for the Association of Asian Studies. Tucson, Ariz.,
1978.
of theft in the Vinaya. Criminal cases were assessed by the
four factors of Na¯ga¯rjuna, a great Indian Buddhist scholar
French, Rebecca R. “The Cosmology of Law in Buddhist Tibet.”
of the second century, who looked to the object of the action,
Journal of the International Association of Buddhist Studies 18,
no. 1 (1994): 4.
the motivation of the actor, the action itself, and the comple-
tion of the act. These four factors were written into the Law
French, Rebecca R. The Golden Yoke: The Legal Cosmology of Bud-
Codes of the Dalai Lamas. By several reports, these ideas of
dhist Tibet. Ithaca, N.Y., 1995.
how to factor a case of theft were employed by the Tibetan
Gombrich, Richard. “Buddhist Karma and Social Control.” Com-
population in their legal decision making even after the Chi-
parative Studies in Society and History 17, no. 2 (1975):
nese takeover in 1960; here, litigants are applying Buddhist
212–220.
factoring concepts in a new non-Buddhist, colonial court.
Gunawardena, R. A. L. H. “The People of the Lion: Sinhala Con-
sciousness in History and Historiography.” In Ethnicity and
Narratives and art. Fourth, the story of the personal
Social Change in Sri Lanka, ed. Colombo: Social Scientists
enlightenment of the Buddha was cited in Tibetan courts for
Association, pp. 55–107. Dehiwala, Sri Lanka, 1985.
the importance of fashioning punishments that would
Hinuber, Oskar von. “Buddhist Law According to the Theravada
uniquely fit a defendant and improve his karma. As the Bud-
Vinaya: A Survey of Theory and Practice.” Journal of the In-
dha taught that each individual was an impermanent collec-
ternational Association of Buddhist Studies 18, no. 1 (1995):
tion of ever changing physical and mental states, condition-
7–45
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW AND RELIGION IN CHINESE RELIGIONS
5351
Horner, Isaline B., trans. The Book of Discipline. London, 1938–
ior. Then there is law as regulator of religious bodies, often
1966.
as protection for the state against the potential challenge of
Horner, Isaline B. Women under Primitive Buddhism. London,
religious authority and popular superstition. There is also the
1930. Reprinted Delhi, 1975.
situation wherein law helps to enforce the implementation
Huxley, Andrew. “The Reception of Buddhist Law in Southeast
of religious practices and ritual protocol. Conversely, religion
Asia, 200 BCE–1860 CE.” La réception des systèmes juridiques:
may relate to law inasmuch as it may help to further politico-
implantation et destin, ed. Michel Douchet and Jacques
legal aims. Other associations between law and religion, in
Vanderlinden, pp. 139-237. Brussels, Belgium, 1994.
a more broad sense, would be law as an embodiment of cus-
Johnson, Wallace. The T’ang Code. Princeton, N.J., 1979.
tom; ritual prescriptions and proscriptions as para-legal be-
havior; and law modeled on and implemented in harmony
Ketelaar, James. Of Heretics and Martyrs in Meiji Japan: Buddhism
with the cosmos.
and Its Persecutions. Princeton, N.J., 1990.
Lingat, Robert. The Classical Law of India. Translated by J. Dun-
“Religion” in China encompasses what in the Judeo-
can Derrett. Berkeley, Calif., 1973.
Christian tradition might be considered secular behavior.
McKnight, Brian, and James T. C. Liu. The Enlightened Judg-
While Buddhism, Daoism, Christianity, Islam, Judaism,
ments: Ch’ing-Ming Chi, the Sung Dynasty Collection. Albany,
Manichaeism, and Zoroastrianism are all woven to varying
N.Y., 1999.
degrees into the fabric of Chinese history, the most pervasive
features of Chinese culture continue to be its patriarchal so-
Nikam, N. A., and Richard McKeon, trans. The Edicts of Asoka.
Chicago, 1959.
cial order and its li, which can be defined as “ritual, rites, de-
corum.” Li encompasses a range of behavior, including the
Nguyen, Ngoc Huy. The Lê Code: Law in Traditional Vietnam.
correct performance of religious ritual; religious and secular
Athens, Ohio, 1987.
ceremonial behavior and institutions that enable a harmoni-
Prebish, Charles S. Buddhist Monastic Discipline: The Sanskrit
ous, usually Confucian society; and socially correct deport-
Pra¯timoks:a Su¯tras. University Park, Pa., and London, 1975.
ment, especially the observance of obligations between supe-
Reynolds, Frank E. “Dhamma in Dispute: The Interactions of Re-
rior and inferior. Many manifestations of li have some
ligion and Law in Thailand.” Law and Society Review 28
religious and certainly spiritual dimensions to them. The pa-
(1994): 433.
triarchal order (itself supported by ritual texts and behavior)
Rhys-Davids, T. W., and C. A. F. Rhys-Davids, trans. The Dia-
was at the core of ancestor worship, which, at times, was inti-
logues of the Buddha (D¯ıgha Nika¯ya). 3 vols. London, 1899–
mately connected to notions of legal authority, punishment,
1921.
and criminality.
Schopen, Gregory. Bones, Stones and Buddhist Monks: Collected
Li worked sometimes in concert with and sometimes
Papers on the Archaeology, Epigraphy and Texts of Monastic
separately from law to form the framework for social control.
Buddhism in India. Honolulu, 1997.
As a check on improper behavior (which is often but not al-
REBECCA R. FRENCH (2005)
ways simultaneously illegal behavior), li served as an ever-
present, sometimes quasi-legal, sometimes para-legal force.
And even though a fundamental tenet of Confucian ideology
LAW AND RELIGION: LAW AND RELIGION IN
presumed a dichotomy between li and law (fa), still, li broad-
CHINESE RELIGIONS
ly defined sometimes provided validation for legal proceed-
Over the past three thousand years, religion and law in China
ings. At other times, li was itself protected by the law.
have been contemporaneous forms of social control. Many
At the same time that the referent to “religion” in this
of the multiple forms of dynamics between the two have cen-
entry necessarily changes according to the materials available
turies-old roots.
for study, so does that of “law.” Law was often inseparable
INTRODUCTION. Any thorough discussion of law and reli-
from the ruling political authority, which thus also served as
gion in China that attempted to cover a three thousand year
the legislative authority, law enforcer, and/or lawgiver. In
time span would require multiple volumes. Even then,
this entry, reference is made to a wide range of legal behavior,
source limitations engender further obstacles to comprehen-
documents, and legislation.
siveness. For instance, for one period there may be complete
CATEGORIES OF RELATIONSHIPS BETWEEN LAW AND RELI-
legal codes, whereas for another only ritualistic records of
GION. The following proposed categories of relationship are
legal events might remain. Some evidence comes from gov-
explored here as a means to present in a manageable way an
ernment sources, others are products of popular religion.
overwhelming amount of information about a highly intri-
Cultural spheres may also affect practice and belief. None-
cate web of relationships between law and religion.
theless, certain recurrent and often overlapping patterns are
detectable in the relationships between law and religion in
Law and the spirit realm. In the early historical period
China. For instance, there is the relationship between law
in China, the division between religion on the one hand, and
and the spirit realm, where religious authority often enhances
politics and law on the other was blurred. The first potential-
legal authority, or, may serve as a deterrent to illegal behav-
ly legal information dates to approximately 1200 BCE 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
5352
LAW AND RELIGION: LAW AND RELIGION IN CHINESE RELIGIONS
comes to us from the oracle-bone inscriptions of the late
ducted with a high degree of rationality and secularity, the
Shang state (c. 1200–1050 BCE). These were divinations to
inclusion of religious rhetoric in legal activities may have en-
the king’s deceased ancestors conducted by the king and his
abled the legal process and legal decisions to invoke age-old
diviners, the contents and sometimes the results of which
religious authority to lend validity to earthly proceedings and
were later inscribed on turtle plastrons or cattle scapulae. It
humanly determined verdicts. The ritually enacted transmis-
was thought that the ancestors not only could communicate
sion of legal decisions to the ancestors also would have autho-
with the God on High, but also that they were among the
rized the proceedings and their outcomes.
significant otherwordly powers that could influence earthly
Oaths containing self-imprecations are found in both
happenings and guide the king in his decision-making.
legal and religious contexts. Those sworn by losing litigants
These politico-religious writings are the only extant docu-
paralleled the syntactical structure of later pledge and loyalty
ments of significant length from the Shang period, but they
texts from the early fifth century BCE state of Jin, which were
were certainly not the only ones to have existed. Legal docu-
spirit-sanctioned contracts between individuals of a common
ments probably would have been part of an estimated vast
lineage. These covenant texts, inscribed on jade and stone
administrative corpus, and these likely would have served as
tablets and later buried in pits containing animal sacrifices,
the primary documents recording legal activity and rules.
were appeals to the ancestral spirits of Jin’s deceased rulers
Thus, while a mere handful of the approximately 200,000
to help the covenantor serve the covenant lord and protect
known oracle-bone inscriptions seek advice from the spirit
the Jin state. They called down punishment from the ances-
world on implementing punishments or on conducting legal
tral spirit world upon the covenantor and his lineage should
matters—and such an interpretation of those inscriptions is
he breach the stipulations he swore to uphold, thus function-
not definitive—they cannot necessarily be considered repre-
ing as a means of spirit-sanctioned deterrence and para-legal
sentative of all the legal activity occurring during the late
enforcement.
Shang. At the same time, we cannot ignore the implications
of this sacred form of ancestral communication on the vali-
Connections between the spirit world and earthly affairs
dation of politico-legal behavior.
are evidenced in some excavated sources dating to the War-
ring States period (from the mid-fifth century to 221 BCE).
The Shang were overthrown by the Zhou around 1150
In an inscription on a jade tablet from the state of Qin, the
BCE, an event recorded in many historical texts, some of
owner, in order to petition the spirit of Hua Mountain to
which are closely contemporary to the actual conquest.
cure his disease, first stipulates that he is “without guilt.” Al-
Much of the language in these documents couches the Shang
manacs from throughout the Eastern Zhou period also testify
downfall and subsequent Zhou conquest in legalistic terms.
to the belief that events could be determined by unearthly
The fall of the Shang was viewed as a result of moral decline
powers through divination. Many of the entries in these texts
and criminality on the part of the last Shang king, while the
indicate that a robber may be caught on a particular day, or
conquest by the Zhou was the punishment for such behavior.
that a crime will occur. Some even provide partial names of
In order to legitimate control over the subjugated Shang peo-
robbers, and/or descriptions of their personalities and physi-
ple, the Zhou utilized a rhetorical device, “the Mandate of
cal features.
Heaven” (tian ming). It was not that the Zhou invaded and
Chinese folk religion which developed from at least the
overthrew the Shang, but rather Heaven (tian), acting much
Han period (206 BCE–220 CE), and especially folk Buddhism
like judge and jury, decreed that the privilege to rule be
of the sixth through ninth centuries CE, gradually incorporat-
stripped from the Shang and transferred to the Zhou. Al-
ed supernatural laws and elaborate spirit worlds that were ex-
though the Shang did not share with the Zhou the belief in
pected to be morally superior to the earthly realm. They con-
Heaven as the most potent deity, the Zhou’s reliance on this
tained references to multiple hells for earthly offenses. These
rhetorical religious device must have bolstered their claim to
were populated by lawyers and judges, and trials were con-
power.
ducted therein. Certain hells existed to mete out additional
Dating to the Western Zhou dynasty (1050–770
punishment on criminals who had already been executed on
BCE)
are a couple dozen ritual bronze vessels inscribed with legalis-
earth for their crimes. The deep-rooted nature of such popu-
tic contents: appointments to positions entailing legal duties,
lar beliefs necessarily bolstered earthly propensities to obey
records of court cases, land transfers, contractual agreements,
the law.
and private sales transactions. Again, these inscriptions not
The interplay between the two spheres of law and reli-
only comprise a miniscule fraction of all inscribed ritual ves-
gion was most marked with the notion that the head of state
sels, they also would not have been the primary vehicle for
was often simultaneously the supreme religious authority. A
recording legal matters. Bronze inscriptions tended to be re-
person’s ancestors were powerful in their own family’s lives,
cords of noteworthy events that were transmitted to deceased
but those of a ruling lineage could affect the entire state. This
ancestors of the vessel owner through their ritual cooking
is especially evident when the two authorities came together
and feasting using the vessel on which the inscription was
in the person of the one true king or emperor—titled “The
cast. Of interest here is the use of religious rhetoric in legal
Son of Heaven” (tian zi)—who, theoretically if not in prac-
contexts. While Western Zhou legal proceedings were con-
tice, usually also stood at the apex of the legal bureaucracy.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW AND RELIGION IN CHINESE RELIGIONS
5353
Moral rectitude, and correct performance of state-level secu-
Minor offenses by a clergy member fell within the jurisdic-
lar and religious rituals were among the factors validating the
tion of the temple, while serious offenses (such as sexual as-
emperor’s right to rule as well as the decisions (legal and oth-
sault, homicide, robbery) were to be tried in a court of law.
erwise) that he made. Such was the case, for example, of the
During the Song (960–1279), the government repeatedly
feng and shan sacrifices dedicated to Heaven and Earth, or
tried to prohibit Manichaeism, whose adherents were often
the fasting rituals of absolution performed by the Qing
rebelling against the state. By separating its leaders from their
(1644–1911) emperors at the Temple of Heaven.
followers, and by regulating their gatherings, the state suc-
ceeded in slowly diffusing Manichaeism’s threat to the cen-
Law as regulator of religious authority and enforcer
tral government. (This practice has been employed repeated-
of ritual. China’s ruling powers periodically have had to
ly throughout China’s history, more recently with the exile
grapple with how to protect themselves from the omnipres-
of Tibetan Buddhism’s spiritual leader, the Dalai Lama.)
ent threat of insurgence from religious groups, primarily un-
State intervention in religion is also evident in the conferring
official ones, as well as how to keep in check the authority
of living buddhas. During the Ming dynasty, the state as-
of formal and widely practiced religions. The earliest extant,
sumed legal jurisdiction over the identification of the rein-
complete legal code which was generated by a central govern-
carnation of living buddhas and the approval of their en-
ment dates to the Tang dynasty (618–907). The Tang Code
thronement. This was done in accordance with established
evinces what was a lasting practice of close supervision by and
religious rituals and historical conventions of Tibetan Bud-
even interference from the central government in religious
dhism. This practice was followed by the Qing, and is still
affairs. The 737 revision of the imperial code stipulated legal
upheld today under the jurisdiction of the State Council’s
provisions governing religious activity, a practice that contin-
Bureau of Religious Affairs.
ues to this day under the constitution. The banning of het-
erodox (i.e., not government-approved) practices, such as
The regulation by law of religious acts also had another
witchcraft, fortune-telling, prophecies, treating disease by ex-
dimension. At times throughout China’s history it would
orcism, and supplications for offspring was common, espe-
seem that the social force behind ritual observances was not
cially when such practices had political implications. Exam-
always sufficient. In the Tang and later codes, articles were
ples can be found in Articles 161, 162, and 165 of the Great
included which enforced certain ritual activities. The Ming
Qing Code, and in the 1999 Decision of the Standing Com-
and Qing codes include entire sections concerning the Board
mittee of the National People’s Congress. Article 36 of the
of Rites (li bu). The Tang Code also contains articles which
1982 constitution has similar implications.
essayed to enforce officials to properly conduct their duties
regarding the imperial sacrifices; to ensure the practice of the
Since the Six Dynasties period, the clergy also were sub-
purification ritual according to the ritual schedule; to protect
ject to varying forms of bureaucratic control. They enjoyed
sacrificial objects and structures; to punish non-observance
certain privileges, such as exemption from land tax on their
of rules of proper ceremony (li) and demeanor (yi); to enforce
monasteries and temples, and reprieves from corvée labor
proper mourning for parents and husbands, proper care for
(state-mandated) and military conscription. Thus, religious
ill or critically disabled parents, and proper burial etiquette;
clergy and institutions came to be considered by many to be
and to uphold ritually correct village wine-drinking activi-
societal parasites. Buddhism presented a further problem.
ties. All of these behaviors are among those that were general-
Upon ordination, its monks and nuns were required to sever
ly dictated by li.
all ties and obligations with their families, society, and the
state, and instead to operate under Buddhism’s own hierar-
The Tang, Song, and Qing codes also invoked ritual
chy and system of property ownership. Such autonomy was
texts of previous periods to support laws regulating extra-
antagonistic to a culture based in large part upon a complex
religious activities. For instance, Song legal conservatives ap-
formula of social and familial relationships and obligations.
pealed to Warring States ritual texts as support for reduction
Legislation specifically aimed at the clergy is found in the
of penalties. The Great Qing Code also incorporated many
Tang, Song (960–1279), Ming (1368–1644), and Qing
stipulations from earlier ritual texts, especially the Zhou li
codes. For example, the Tang and Song codes incorporate
(Rituals of Zhou), as well as some general ritual observances.
statutes governing property ownership by religious clergy, as
Certain legal organs protected the presumed chastity of
well as the relations between the clergy and the state. Similar-
women of a particular social standing by requiring a male rel-
ly, Article 176 of the Great Qing Code stipulates that Bud-
ative to appear in court in her stead. And while the state did
dhist and Daoist clergy must observe proper Confucian ritual
not sanction the long-standing custom of vendetta, the Tang
observances for their parents and sacrifices to their ancestors.
and Song codes, following the example of preceding dynas-
This can be seen as a means to keep religious orders under
ties, did grant some leniency for sons or grandsons who at-
the control of the greater political order, and of protecting
tempted to avenge the murder of their elders. Under the
the patriarchal Confucian social order.
Song, even more lenient treatment than that prescribed by
law was sometimes granted.
Weakening of religious authority is seen in other ways,
too. According to the reconstructed Yuan Code of 1291, spe-
Religion and law in Communist China. The relation-
cial jurisdiction was granted to Buddhist and Daoist clergy.
ship between religion and law in Communist China (1949
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5354
LAW AND RELIGION: LAW AND RELIGION IN CHINESE RELIGIONS
to the present) is a complex one, and incorporates historical
in a long line of religiously inspired uprisings that sought to
antecedents like those discussed above. With the exception
challenge State authority. The government’s repeated sup-
of the Cultural Revolution (1966–1976), when all religious
pression and regulation of Muslim religious activities in Xin-
activity was banned, religious freedom is protected under the
jiang are considered by the state to be legal because they are
Chinese Constitution as well as under the criminal, civil,
linked to separatist activities. Similar concerns influence gov-
clectoral, military, and compulsory education laws. The cen-
ernment control of Buddhism in Tibet. The recent crack-
tral government instated departments of religious affairs to
down on Falun Gong practitioners may, perhaps, also be
ensure that this freedom is honored. Additionally, Article 36
viewed in this light.
of the constitution grants equal rights and protection from
Religion’s subordination to China’s political agenda is
discrimination to citizens practicing “normal religion,” that
seen in other ways as well. For example, the Vatican is con-
is, those five religions recognized by the state (Buddhism,
sidered first and foremost to be a political entity, and reli-
Daoism, Catholicism, Christianity/Protestantism, and
gious interaction with it will only be permitted once it sup-
Islam). Parties, including state officials, who harm the reli-
ports China’s “one-country policy” by severing relations with
gious feelings or freedom of an individual or group are to be
Taiwan. China’s religious bodies must also be self-governing
dealt with according to the law, although this is not always
and independent of foreign control, although it does permit
carried out.
interaction between Chinese and foreign religious bodies
when the latter recognizes the former as their equals. Where
Government-recognized religious organizations receive
Catholicism is concerned, this effectively prevents relations
financial assistance from central and local governments for
between the Vatican and the Chinese Catholic Church, as
repairs to churches, mosques, temples, and monasteries, as
the state’s policy requires that its bishops be consecrated by
well as tax exemptions for land and buildings used for reli-
the Chinese church. Furthermore, each of the five recognized
gious purposes. The Chinese government also offers services
religions is monitored by a “patriotic association” (which,
for Chinese Muslims who wish to make the pilgrimage to
among other things, approves religious leaders for applicant
Mecca, and financial support for the printing of religious
congregations), and they, in turn, are responsible to the
scriptures.
state’s Bureau of Religious Affairs. All religious activity and
On the surface it appears that legal institutions protect
fixed places of worship which are not registered with the ap-
religious freedom. However, this protection is not without
propriate patriotic association are considered illegal. Addi-
qualification. Religious freedom is subordinate to China’s
tionally, Communist Party members are prohibited from
political aims. For example, one of the tenets underpinning
practicing even state-recognized religions.
Communist Party rule is the building of “spiritual civiliza-
CONCLUSION. The preceding discussion and sample evi-
tion,” specifically, “socialist spiritual civilization,” a role that
dence serve as a springboard for further investigation into the
the state itself strives to monopolize rather than leave to inde-
complex relationship between law and religion from the late
pendent religious organizations. The ultimate goal of the
second millennium BCE. At times symbiotic, at times antago-
party is to make religion obsolete in China. However, cur-
nistic, law and religion have been two indispensable elements
rent trends in various localities, wherein the prestige of and
of social control in China. While the specific dynamics of
interest in joining the Communist Party is waning as that
their relationship have varied according to historical and so-
of religion is on the rise, suggest that the people prefer reli-
cial circumstances, many have endured for centuries, if not
gious organizations in the role of spiritual leaders. China’s
millennia.
constitution is written in such a way as to permit the state
SEE ALSO Buddhism; Buddhism, Schools of, article on Chi-
broad control over religious freedom as a means of ensuring
nese Buddhism; Chinese Religion; Confucianism; Dalai
the state’s “supremacy,” and of stemming the tide of any
Lama; Falun Gong; Tian.
movements that are potentially harmful to the state. It stipu-
lates that no individual may use religious beliefs or activities
BIBLIOGRAPHY
to undermine the government. This includes disrupting pub-
Balazs, Etienne. Le traité juridique du “Souei-Chou.” Leiden, 1954.
lic order, interfering with the state educational system, or
Ch’en, Paul Hen-chao. Chinese Legal Tradition under the Mongols:
harming another citizen. Local and central governments also
The Code of 1291 as Reconstructed. Princeton, N.J., 1979.
grant or deny permission for the restoration and opening of
Ch’ü, T’ing-tsu. Law and Society in Traditional China. Paris,
places of worship. Most importantly, only religions that are
1961.
formally recognized by the state may exist, and these must
Eberhard, Wolfram. Guilt and Sin in Traditional China. Berkeley,
be law-abiding and patriotic by supporting the Communist
Calif., 1967.
leadership and socialist system. Furthermore, their leadership
Huang, Philip C. C. Code, Custom, and Legal Practice: The Qing
structures must be identifiable, possibly so that they may be
and the Republic Compared. Stanford, Calif., 2001.
more easily controlled by the state. Government suspicion
Johnson, Wallace, trans. The T’ang Code. 2 vols. Princeton, N.J.,
of religions or cultic movements has ample historical prece-
1979.
dent. The Five Pecks of Rice Rebellion of 184, and the Yel-
Jones, William C., trans. The Great Qing Code: A New Transla-
low Turban Rebellion of 190, are among the earlier examples
tion. With introduction by William C. Jones. Oxford, 1994.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW, RELIGION, AND LITERATURE
5355
MacCormack, Geoffrey. The Spirit of Traditional Chinese Law.
source as well of their common fascination with questions
Athens, Ga., 1996.
of hermeneutics. Elucidation of the canon is a great religious
McKnight, Brian E. Law and Order in Sung China. Cambridge,
and a great legal expertise, hallowed alike in courtroom argu-
U.K., 1992.
ment and Sabbath sermon, legal brief and scriptural com-
Skosey, Laura A. “The Legal System and Legal Tradition of the
mentary. Canons of sacred scripture include law in both lit-
Western Zhou, c. 1045–771 BCE.” Ph.D. diss., University of
eral and figurative modes: literally, as exemplified in the
Chicago, 1996.
Jewish Torah by the Decalogue and the related prescriptions
Wechsler, Howard. Offerings of Jade and Silk: Ritual Symbol in the
in Leviticus, Numbers, and Deuteronomy, and figurally in the
Legitimation of the T’ang Dynasty. New Haven, Conn., 1985.
Christian formulation penned by St. Paul in his Epistle to the
Weld, Susan. “The Covenant Texts from Houma and Wenxian.”
Romans—itself an exegesis of Torah—regarding the spirit
In New Sources of Early Chinese History: An Introduction to
and the letter. Legal opinions and briefs deploy a range of
the Reading of Inscriptions and Manuscripts, edited by Edward
narrative techniques to plot the “facts of the case” and thus
L. Shaughnessy, pp. 125–160. Berkeley, Calif., 1997.
shape the appropriate purview of juridical deliberation, and
Yang, C. K. Religion in Chinese Society. Berkeley, Calif., 1961.
the writing of judicial opinions is, among other things, a rhe-
torical art of interpretation, whether in explication or dissent.
LAURA A. SKOSEY (2005)
The point is not to elide distinctive legal and religious tradi-
tions, but to underscore the less frequently noted, yet crucial
and foundational, literary and interpretive connections be-
LAW AND RELIGION: LAW, RELIGION, AND
tween law and religion.
LITERATURE
If law and religion both take innate recourse to literary
The critique of “the textual bias” in studies of culture is im-
expression, it is equally the case that works of imaginative lit-
portant, and we ignore the implications at our peril: interpre-
erature frequently and vigorously engage religion or the law,
tation never exists independently of social context or setting,
or both. It is striking that scholars of law and literature whose
especially the institutional. Yet it is inevitably and decisively
work engages in sustained literary interpretation have lav-
the case that language and its conventions play a dominant
ished more attention on the novel. While there are important
and decisive role in the complexly variegated realms of law
studies of law and poetry, and especially of law and drama
and religion, and perhaps most acutely at their myriad inter-
(most notably Sophocles and Shakespeare), the modern
sections. Scholars of religion and scholars of law have each
novel’s susceptibility to plurality in both linguistic expression
acted explicitly on this recognition, generating the fields of
and social setting, its sheer plasticity, afford it a particular fas-
“religion and literature” and “law and literature.” This shared
“turn to the literary” reflects some common questions and
cination for the innately adversarial processes of argument
interests. First, and most generally, there is the common rec-
and evidentiary discussion that characterize most modern
ognition that to grasp securely the cultural standing of reli-
legal systems. Standard citations tend to focus on twentieth-
gion or of law mandates sustained attention to specific forms
century works, and range from Franz Kafka’s The Trial
of expression; and that, in turn, that the relationship is dia-
(1914) and Albert Camus’s The Stranger (1940) to Truman
logical, so that literature is understood to influence religion
Capote’s self-proclaimed journalistic work of historical fic-
and law even as law and religion are understood to influence
tion, In Cold Blood (1965) and William Gaddis’s A Frolic of
literature. It also reflects, secondly, a recognition that ques-
His Own (1994). But the range, even limiting the purview
tions of linguistic construction and deconstruction, of deter-
to the novel, is extraordinarily wide and diverse. Henry Fiel-
minate and indeterminate linguistic meaning and the degree
ding (1707–1754), both a distinguished jurist and one of the
to which social context addresses such concerns, is a central
first great English novelists, deployed in the creation of his
question. And, finally, in each instance but with differing de-
self-proclaimed “new Species of Writing” the literary forms
grees of emphasis and controversy, each includes on the part
of sermon and legal brief in the service of cultivating his hal-
of some an attempt to correct or augment a deficiency in
lowed virtue of “readerly sagacity.” The History of Tom Jones,
scholarship. The debate about the “turn to the literary” in
A Foundling (1749), Fielding’s greatest novel, displays its au-
law and literature is discussed below and is nascent by com-
thor’s familiarity with classical legal argument in its sophisti-
parison to the discussions in religion and literature. Readers
cated use of ongoing commentary, intercalary tales, and re-
should consult relevant entries for its history in religion and
trospective viewpoint. The novel constructs a scenario in
literature.
which the maxim (averred by both the theology and the law
of the day) “that Virtue is the certain Road to happiness, and
That both legal systems and religions arbitrarily deploy
Vice to misery” is brought into severe question but ultimate-
language has as its crucial corollary the fact that in doing so
ly affirmed.
they generate and employ literary conventions of both usage
and form. The shared concept of “canonical” writings,
Also noteworthy for the interactions of law, religion and
whether sacred scripture or constitution and statute, extend-
literature is the corresponding emergence, also as early as
ing in turn to commentary and judicial opinion, indexes the
Fielding’s own time, of the figure of the literary critic who
deep family resemblances between religion and law. It is the
renders learned judgment on literary works toward the 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
5356
LAW AND RELIGION: LAW, RELIGION, AND LITERATURE
mation of an authoritative canon of “the classics.” What is
represented, especially in the work of Juergen Habermas,
perhaps the first major controversy of belles letters had to do
Hans-Georg Gadamer, and Paul Ricoeur, and in important
with the concept of poetic justice, and its appropriate use in
traditions in twentieth-century literary studies ranging from
drama. Two English “men of letters,” Joseph Addison and
the American New Critical tradition of John Crowe Ran-
John Dennis, debated hotly the question of whether the
som, William Wimsatt, and Cleanth Brooks, to the decon-
drama ought to reflect the justice of this world or the next,
structionist theories of Jacques Derrida. A more vigorous
of death or the Final Judgment. Instigated by the production
comparative scholarship integrating law, religion, and litera-
and popularity of Nahum Tate’s revised version of William
ture can only enhance thought about canonical inspiration,
Shakespeare’s King Lear—in which Tate excised hundreds of
its relation to exegesis and its obligations, and the interplay
lines from the original, and rewrote the ending to transform
of the authorities of scripture, tradition, and experience in
tragedy into comedy in the name of poetic justice—the Ad-
elucidating authoritative sources for contemporary life. The
dison/Dennis debate was such that some seventy years later
obverse also holds: Charles Dickens’ Bleak House is deprived
Samuel Johnson was constrained to take up the case in his
of its moral scope when it is not understood to be as fully
authoritative Preface to Shakespeare (1765). Citing the popu-
engaged with social questions about the status of law in Vic-
larity of Tate’s version and his own aversion to the terrors
torian England as is any halakhic text with conceptions of
of the original, Johnson effectively “found for” Tate’s revi-
Jewish duty in modern civil society. Correspondingly,
sion. While Johnson’s judgment lacked the binding authori-
halakhic discourse is deprived of its imaginative scope and
ty of a judicial ruling, Tate’s King Lear rather than Shake-
figural discretion if we do not attend to its literary conven-
speare’s was performed on the English stage for the next one
tions and hermeneutical presuppositions. Only in such com-
hundred and fifty years.
parative contexts is it possible fully to recognize and appreci-
ate the complex interplay of received tradition and
As these brief and necessarily selective examples under-
contemporary practice that characterizes legal, religious, and
score, the engagement of law and religion in the realm of
literary practice.
imaginative literature and literary criticism is manifest.
T
Scholarship, however, has not kept pace with history in this
HE TURN TO LITERATURE IN STUDY OF THE LAW. If schol-
ars have not pursued these conjunctions, recent decades have
regard. While scholars of religion and of law have in recent
set the stage for the possibility of doing so through the turn,
decades explored in systematic and parallel ways the relation-
both in scholarship on the law and in scholarship on religion,
ship of their respective fields to literature and hermeneutics,
to the study of literature and the complementary study of in-
their common efforts have not intersected. Before sketching
terpretive theory. The last two decades of the twentieth cen-
these developments and discussing a particularly important
tury witnessed an efflorescence of the “law and literature”
and illustrative dispute in the domain of “law and literature,”
field: courses exploring the interface now study legal curricu-
a brief caveat may be in order. The point of stressing these
lar across North America, and the publications have kept
parallels is to underscore the prospect of comparative analysis
pace. The field of religion and literature has a somewhat ear-
rather than direct analogy. The Jewish tradition of halakhah,
lier pedigree, dating at least to the late 1940s and arguably
rabbinic exegesis addressing the proper understanding of
to the earliest decades of the twentieth century. Its integra-
(sometimes obscure) scriptural tenet to (sometimes chal-
tion into the broader study of religion—witnessed by the
lenged or compromised) religious practice, has no direct ana-
widespread prevalence of the category of narrative in the
logue in the Christian tradition. Yet both halakhah and Mar-
study of religion, and the recourse to the hermeneutical tra-
tin Luther’s commentary on the Book of Genesis reflect an
dition across nearly all dimensions of the study of religion—
ongoing recourse in the Jewish and Christian traditions to
has been more systematic. Such has been the success of reli-
interpret their scriptures in ways that inform the theological
gion and literature so conceived that its integration across
and moral livelihoods of their respective communities. Com-
historical, theological, and human scientific study is
parison that is principled—that does not fall into reduction
manifest.
or assimilation—affords clarity both about fundamental
human cultural practices and their distinctive manifestations
Such integration is less clear in the case of study of the
in individual communities. An excellent example of this con-
law and literature. Central to the field is a debate about the
cerns ongoing debates in American jurisprudence concerning
use and abuse of the literary turn in the study of law. Two
the relationship of the Constitution to the rendering of legal
of the most important figures in this debate are James Boyd
opinion. When a Supreme Court Justice argues that his job
White and Richard Posner: each offers a formulation of the
is to elucidate the intent of the Founding Fathers, and only
field, and each has engaged the other’s work critically. White,
that, he is in fact engaging a set of hermeneutical issues that
whose The Legal Imagination (1973) served to crystallize in-
have a history dating to ancient Greece, and a relevance to
terest in the field, argues that two predominant conceptions
a broad range of humanistic work in both religion and litera-
tend to delineate studies of law and literature: the “findings”
ture. Longstanding debates about the inspiration and inter-
conception, in which the law uses literature to establish
pretation of the sacred scriptures of Judaism and Christianity
truths about the inhumanity of law; and the “technologies”
revolve around precisely the question the Justice invokes in
conception, in which the au courant terminologies of critical
his declaration. The European hermeneutical tradition is also
theory are deployed to perpetuate longstanding debates
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW, RELIGION, AND LITERATURE
5357
about legal interpretation. Dissatisfied with both concep-
problems of literary and legal texts are different, Posner ar-
tions, White argues for a third, better option: that law is best
gues that these approaches most fully honor the nature of
understood as a compositional art in which the mind uses
their object: law adjudicates disputes and establishes the so-
language to make meaning and establish community. Be-
cial arrangements that ameliorate them; literature delights us
cause the law has this role, it follows that it is essential for
with its beauty and wit. One body of texts exerts social con-
lawyers to establish a voice, one that is both professionally
trol, while the other is an art. Posner is in turn skeptical
excellent and individually authentic. White argues that, ex-
about establishing even a willed conjunction. He finds
amined carefully, this recognition is not unique to the law:
White’s “law as literature” conjunction to be based on a view
lawyers are in this regard one professional group contributing
of literature as edification that is both vague and didactic—
to the broader cultural matrix of professionals, including
terms which together describe the antithesis, in Posner’s
poets, politicians, priests, and indeed all citizens, who aspire
view, of great art and thus do not persuade him. There is for
to the same. White’s conception thus seeks to move beyond
Posner the further problem of social utility: what new in-
the correlative formulation of law and literature to the de-
sights does the study of literature bring to specific fields of
scriptive formulation of law as literature: to the understand-
the law? Here Posner contrasts literary theory unfavorably
ing that literature is not a recourse to expand reference or elu-
with economic theory, asserting that applications of econom-
cidate theory in the law, but is rather its essence. Law is
ics permeate many standard fields of legal study and even
neither more nor less than a cultural form of literary
create new ones. While Posner avers that law and literature
expression.
should be understood to be complementary rather than com-
At stake for White in this claim is the public culture of
petitive, it is clear that their conjunction is more social than
a social order. Worried that law may simply take over and
dialectical.
transform a culture into one that operates by adversarial ar-
As it stands this debate is intractable because of the stilt-
gumentation, White advocates for the recognition—against
ed relationship in each case between meaning and power. For
the mechanistic tendencies that he sees to run very deep in
White, meaning is central and must trump pure power,
our culture—that fundamental to our lives as human beings
while for Posner power in an important sense simply is
is the use of language to make meaning. Framed in this way,
meaning. The late Robert Cover, in a suggestive and neces-
law is understood to be one of the fundamental processes by
sarily incompletely developed but seminal article, anticipates
which society argues about its values. Promoting a kind of
precisely this dilemma. Postulating that every community
“negative capability,” the Romantic poet John Keats’ phrase
has a nomos, or regulative code—it is telling that Cover rein-
for the ideal receptive state for poetic reception, White advo-
troduces religion into the conversation by drawing a parallel
cates a sensibility in which this recognition eases adversarial
between the Greek term and the Hebrew Torah—Cover ar-
opposition and its ensuing isolation: we can admire opinions
gues that it is internally tensive in its parts: “For every consti-
with which we disagree and condemn aspects of opinions
tution there is an epic,” he writes, and “for each Decalogue
with which we are in concord. This capacity will both under-
a scripture” (Minow, Ryan, and Sarat, p. 96). Society con-
score the commonality of the endeavor, and lead us to the
structs a nomos not solely of law, then, but of law and litera-
essential recognition that the world is, in the end, a matter
ture, to encompass power and meaning, and thus acknowl-
of conversation and discourse.
edge the degree to which uncontrolled meaning destabilizes
In contrast, Richard Posner regards the law precisely as
power, and uncontrolled power destabilizes meaning. The
a set of rules for social control, and he is dubious that literary
central point, Cover argues, is to recognize this conjunction
criticism or works of literature can or do present a formaliz-
for the fundamental tension that it is, and to expect the dis-
able theory or method that can inform the law. Posner allows
cretion of judges, and by implication artists, to be informed
that lawyers and literary critics are both close readers, but
by it.
they read very different materials, and therein lies all the dif-
Cover’s untimely death, and a style of writing that defies
ference. Hamlet and the United States Constitution both
apodictic summary, leaves his readers without the full devel-
present puzzles, but the natures of the puzzles differ and
opment of the idea of nomos, and its implications for the re-
there are few telling commonalities. There are, to be sure,
lationship between power and meaning, that one might
craft values from reading literature, and perhaps literary criti-
wish. But the analogy of nomos to Torah that informs his
cism, that help judges to think and write better than they
work has its complementary development in both the Jewish
would otherwise. But the bottom line, in Posner’s judgment,
and Christian traditions. Thus Jon D. Levenson shapes his
is that law and literature represent different realms of literary
treatment of theodicy in Judaism around the juxtaposition
discourse that require different valuations.
in the Scriptures of the Covenant between God and Israel.
Posner thus articulates distinctive approaches to law and
In that Covenant, fealty to the law assures divine guidance
to literature, and must formulate as well a rationale for their
and protection. Yet the Jewish canon also includes the story
conjunction that is more willed than innate. He advocates
of Job, in which a man utterly faithful to the Covenant none-
respectively for a pragmatic approach to the law, and a for-
theless experiences tragedy and the utter absence of God. In
malist approach to literature. Following his claim that the
strictly logical terms, the juxtaposition bespeaks a contradic-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5358
LAW AND RELIGION: LAW, RELIGION, AND CRITICAL THEORY
tion. Levenson has no wish to understate that fact or its im-
tant survey, and a lively if at times tendentious treatment of
pact. Yet, like Cover, he argues that the canonical incorpora-
major themes.
tion of the covenant promise and the story of Job into one
Rose, Gillian. Mourning Becomes the Law: Philosophy and Represen-
common scripture acknowledges that power and meaning do
tation. New York, 1996. An exercise in the philosophy of
not fully accord in human experience. Religions of the book
law, deeply informed by continental thought.
construct canons precisely to afford themselves both law and
White, James Boyd. Justice as Translation: An Essay in Cultural and
story, both power and meaning, and the crucial capacity to
Legal Criticism. Chicago, 1990. The best summary statement
acknowledge their sometimes uneasy juxtaposition and even
from White of his view of the field.
conflict in human experience. Religion adds to the study of
law and literature a crucial umbrella of coherence, that en-
RICHARD A. ROSENGARTEN (2005)
ables full engagement and obviates the otherwise destructive
impasses effected by the Posner/White debate. Through its
processes of canon formation, and the intertextual reference
LAW AND RELIGION: LAW, RELIGION, AND
the canon enables, religions of the book afford the fullest
CRITICAL THEORY
possible informing relationship and ongoing conversation—
In the course of a case concerned with contempt of court,
between the legal regulation of power, and the literary ex-
an English judge not long ago remarked: “if any secular rela-
pression of vagaries of personal identity and experience.
tion is analogous to that between priest and penitent, it is
CONCLUSION. Legal theorist and philosopher Ronald Dwor-
that between lawyer and client” (X Ltd v. Morgan Grampian).
kin proposes a view of legal reasoning as analogous to a chain
The judge in question, officially entitled Master of the Rolls,
novel, in which a judge inherits a history of opinion to which
or in a vernacular idiom, Lord of the legal writings, appears
she or he must add the latest chapter. Dworkin seeks to cap-
to have meant that there is no higher duty than that owed
ture with this formulation what he regards as the exquisite
to the law. The relationship between lawyer and client is a
equipoise necessary for a responsible judiciary: it is con-
fiduciary one, it is based upon faith, and it relays the truths
strained both by what has been written, and by the demand
contained in the texts or scripture of law.
of a new chapter. Dworkin’s formulation would not pass
muster with either White or Posner: for White, it would fall
This judicial aside can help to remind us that for all of
into the technologies conception of theorizing, while for Pos-
its seemingly secular aura, the contemporary legal tradition
ner the founding statutes of the U.S. Constitution are not
still harbors theological roots and practices, a hermeneutics
analogous to the opening chapter of a novel. The above sur-
that developed first as a dogmatics or unraveling of canoni-
vey would appear to suggest, however, that White may un-
cal, text-based truths. The great scriptural moments of law,
derestimate the need for a requisite theoretical architecture
from the eighteenth-century BCE Code of Hammurabi to the
to support his claim that law is one of a set of cultural expres-
U.S. Constitution, from the civilian codes to the books of
sions under the aegis of literature; and, correspondingly, that
common law, still place law apart or purport to remove it
Posner may underestimate the degree to which a Shakespeare
from the mundane political domain, and so perpetuate a reli-
or a Tolstoy can accomplish a great deal in an opening scene
gious function. In that the interpenetration of law and reli-
or chapter. Dworkin’s formulation appropriates and makes
gion is structural rather than always immediately apparent,
usefully concrete Hans-Georg Gadamer’s conception of “the
its reconstruction is best illustrated historically as well as con-
history of effects”: the idea that, when we encounter a work
ceptually.
of the imagination, we encounter not only it but its recen-
UNDER GOD AND LAW. The modern Western legal tradition
sions and valorizations through time. Such a formulation
has its roots in a dual law whose source is first divine and
honors the power of imagination in the human adventure
only latterly spoken through the mouth of the mundane sov-
with ideas, and underscores how central the imaginative ca-
ereign or judge. The Judeo-Christian tradition of law de-
pacity is not only to literature, but to religion and the law.
pended heavily upon the image of a divine legislator whose
orders governed both nature and society. From the very be-
BIBLIOGRAPHY
ginnings of the tradition, the source of law was the dictate,
Dworkin, Ronald. Law’s Empire. Cambridge, Mass., 1986.
commandment, or tables of an invisible God whose decrees
Fish, Stanley. The Trouble with Principle. Cambridge, Mass. 1999.
were enigmatic and in need of protection and interpretation
Law and Literature (formerly Cardozo Studies in Law and Litera-
by authorized human intermediaries, oracles, and, later,
ture), New York, 1989–. The longest running, and arguably
lawyers.
the best, journal devoted to the field.
Minow, Martha, Michael Ryan, and Austin Sarat, eds. Narrative,
The Renaissance inherited a theistic—specifically, mo-
Violence, and the Law: The Essays of Robert Cover. Ann Arbor,
notheistic—conception of law through the Corpus Iuris
Mich., 1992.
Civilis, or great code of Roman law that the Eastern Emperor
Nussbaum, Martha C. Poetic Justice: The Literary Imagination and
Justinian I (482–565) had ordered compiled in early-sixth-
Public Life. Boston, 1995.
century Byzantium (Berman, 1983). The text had been lost
Posner, Richard A. Law and Literature. 2d ed., rev. and enl. Cam-
for several centuries before its rediscovery in Bologna toward
bridge, Mass., 1998. The most useful and most complete ex-
the end of the twelfth century, and it became both the source
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW, RELIGION, AND CRITICAL THEORY
5359
of law and the rule of its method (Legendre, 1964). Although
of written reason, or ratio scripta, namely Latin rather than
no more than a collection of fragments, maxims, and opin-
the vernacular, because God and law were best protected
ions of long-deceased Roman lawyers, the Corpus Iuris repre-
from both the blandishments of popular use and the depre-
sented to the later age the irrefragable truth of law. It was
dations of the local tongue (Goodrich, 2003).
preserved and studied as a sacred text. This means, in es-
Third, the textual basis of law imposed hermeneutics,
sence, that what mattered was the status of the text and the
or the science of textual interpretation, as the proper method
rites of access to it rather than the vagaries of its content. In
of legal study. Encoded in a foreign tongue and surrounded
the description of one humanist lawyer, early jurists would
by rites of solemnization and authority, only the chosen
travel to Italy to study the original text of the law, which was
few—the sovereign and its various delegates—could properly
“guarded like a sacred relic, only being very rarely shown ac-
pierce the veil of the text, and embody and interpret the laws.
companied by candles and torches, thus did the ancient
The historical trajectory of law from the divine ruler to the
mystagogues show their law to the faithful” (Hotman, 1567,
human subject meant that legal hermeneutics was not simply
p. 120). The source of such a view is not hard to discern.
bound to the doctrine delivered through texts, but also was
The Corpus indeed begins by announcing that God is its au-
under the duty of discovering the singular and primary truth
thor—Deo Auctore—but also early on indicates that the
that underpinned any given legal text. Monotheism in short
study of law is the study of all things, both divine and
dictated that just as there was only one God, so too there
human. So too, within the early common-law tradition, it
could only be one meaning of law, and that was the meaning
was God and law that governed, and those who represented
that accorded best with the hermeneutic labor or divination
the law were expressly the delegates of maiestatis, or divine
of what the deity—or latterly the emperor, the founding fa-
authority. In a characteristic phrase from a guide to the study
thers, or sovereign—intended (Legendre, 1988).
of law authored by an English lawyer writing at the very end
THE NORMATIVE FUNCTION OF LAW. Dogmatics, the pa-
of the sixteenth century, “law and religion do lie together”
tient exegesis or exposition of the meaning of an incorrigible
(Fulbecke, 1599, p. 103). They are between the same persons
text, is common to religion and law. To the extent that theo-
and about the same things.
logian and jurist are alike concerned with expounding not
The rules of legal method, both in Europe and in the
the letter but the spirit, not the words but the truth of the
anglophone common-law world, are derived from the inher-
text, the technical role of interpretation is secondary to its
ited Roman exemplars. Although God was from the early
normative function. The text must produce not simply a
modern period onward decreasingly the explicit source of
meaning but an object of reverence: an image, concept, or
law, the Western tradition remained bound to a series of reli-
term that the subject can love. The text must bind the social,
giously inspired dogmatic axioms. First and paradoxically,
and to do so it must get under the skin of its subjects and
the source of law remained a mystery, or arcanum, that ex-
attach them to law. Within the Western tradition such ven-
ceeded the bounds of temporal human knowledge. Law was
eration of the law was both explicit in the Decretals—the pri-
founded upon something other than law. The text was sim-
mary source of ecclesiastical law, which directly ordained a
ply a visible manifestation of an invisible cause; the law was
love of texts in the injunction venerandae romanae leges (the
in the end the expression of a law of law and thus only the
laws of the Romans must be venerated)—and more structur-
iuris peritus, or legally wise, could excavate and interpret the
ally in instituting the image of authority: a pontiff, sovereign,
proper meaning of rules that by this definition were necessar-
or other social father figure who acted as the living emblem
ily too old to be uncovered by historians or too technical to
of a divine law.
be understood by the untrained. In good Christian fashion,
The term dogmatics derives from the Greek dokein and
lawyers believed that the text was simply a mnemonic or sign
means “to think,” but it also has a secondary meaning of
of a higher order of truth, and hence it was a primary rule
“reverie,” or the recounting of dreams and visions. The alter-
of method that it was not the letter of the law, but according
nate connotations capture the dual function of the textual
to the Roman jurists, it was rather its interlinear force and
art of law. According to the Roman tradition it was the func-
power, the intention that spoke through it, that had to be
tion of law vitam instituere, or “to institute life,” and this
observed. For the English legal sage Sir Edward Coke, it was
function can be interpreted plausibly to include two princi-
equally “non verba sed veritas est amanda—not the words, but
pal projects. The first was broadly aesthetic and amounted
the truth that is to be loved” (Maclean, 1992, p. 33).
to enacting the social or instituting a theater of justice and
truth (Gearey, 2001). The second was more strictly ethical—
Second, although the source of law existed prior to and
instituting a subject who would take up his or her role in the
exceeded any specific written representation, the immediate
hierarchy of textually assigned places and thus live faithfully,
secular presence of law was to be found in a text or series of
according to the dictates of the social father, and within the
texts that were the bearers of the esoteric but visible rule of
law.
law. Law was a system of texts, and it was in and through
the scripture of law that the sanctity or separateness of law
“The theater of justice and truth” is an expression that
was maintained. A chief marker of such distance from the
derives from the early modern era, and it captures well the
mundane lay in the language of law, which was explicitly that
essentially symbolic function of law that more contemporary
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5360
LAW AND RELIGION: LAW, RELIGION, AND CRITICAL THEORY
law formulates less elegantly in the maxim that “justice must
respects duly established judicial rules and procedures, an-
not only be done, but must be seen to be done.” To have
other little tune insinuates that the state is ‘law’ in the sense
its effects, law has to be staged. It has to establish a scene of
that wine is ‘Bordeaux’. . . . Has the structure via which the
law, and this means not simply an image of authority or au-
normativity of juridical and political institutions operates in
thorship of law, but a series of ceremonies or rites of solemni-
the West really changed? Has the absolute reference point
zation through which the sanctity of law can be promulgated
constituted by God remained vacant?” (Lecourt, 2001,
or made socially present. This depends first upon a spatial
p. 129).
metaphor—the separation of the legal from the social within
an elaborate architecture of courts and codes of procedure
Viewed in historical perspective, the separation of
that include control of both how the law is represented and
church and state was a displacement of the religious function
what can be said about it (Haldar, 1999). The architecture
from the former to the latter, involving a juridification of the
of law signals a hierarchy and power that is apparent not only
rites of solemnization rather than their erasure. In good
in the often dramatic scale of the courthouse (its columns,
Roman fashion, modern people go to court for the truth, to
domes, and rotunda) but also in the courtroom itself, with
the market for credit or belief, but only privately attend the
its familiar bar that marks the separation of law (the bench)
confessional, mass, synagogue, or Sunday service (Saunders,
from the social, and across which the law will sound. The
1997). Reason appears to be free of the church but remains
bar is what Franz Kafka (1883–1924) framed as the gate or
staunchly Christian, indelibly Western, and resolutely singu-
door before which the peasant protagonist of his parable “Be-
lar. In the manner of the earlier juristic tradition of univers-
fore the Law” waited uselessly, or at least under a misappre-
alia, or imperial and global statements of legal truth, it
hension for the entirety of what remained of his life (Kafka,
should also be pointed out that reason attaches to institutions
1976).
that are hierarchically ordered, organized according to sys-
tems of authorized texts, and generally dogmatic in their
The law requires both a physical demarcation of its dis-
methods. The legal function, in other words, takes over the
tance from the mundane, as well as a professional caste of
public space of religion or the founding image of the social,
lawyers, the fiduciaries who will mediate and disseminate the
yet renders itself more or less impervious to the political cri-
protocols that institute and maintain that distance. The role
tique of religion by adopting an increasingly secular and eco-
of the lawyer is that of guardian of the secrets of texts, be-
nomical, or efficient, appearance in its more visible social
cause it is the texts of law that establish the hierarchical places
forms of presence, whether on Court TV or in the various
and legitimate roles of the social. In classical law, the text is
grandstand trials that more or less continuously perturb the
not simply something to read, it is the space people inhabit.
media.
Hence the life and death significance of hermeneutics, the
legal art of manipulating the arcane elements of legal texts,
In a contemporary critical idiom, the key question that
the foreign languages, the enigmas, archaisms, and other pro-
remains to be fully addressed is that of what the residual reli-
tocols through which the law gains its legitimacy and its
gious function of law entails. From an anthropological per-
force. It is indeed the unique feature of the Western legal tra-
spective it is evident that the rites, rituals, arcane languages,
dition that it is fundamentally enigmatic. The ritual charac-
and architectural and artistic insignia of law all convey signif-
ter of legality is not directly a feature of celebration or educa-
icant social and political messages, and not least the attri-
tion, but rather it separates and distances so as to establish
butes of authority and attachment. In these terms, law both
hierarchy and inculcate reverence for a theistically derived
provides a sense of community and models the modes of be-
truth and law. Whereas non-Western traditions, such as that
longing, of citizenship, and of social role. These begin with
in China, have frequently relied upon governance through
the family and end with the sovereign and the reason of state.
the simplicity of laws, the Western tradition has used the
Their logic, if not always their religious roots, has been the
complexity of legal language and the intricacy of texts as one
object of a variety of critiques based loosely in gender studies,
further symbol of the divine provenance of law (Soupiot,
social theory, and critical race studies.
2002).
In many senses the most obvious and potentially the
CRITICAL THEORIES. The beginning of all critique lies in the
most far-reaching of critiques of the religious function of law
critique of religion. This Marxist axiom probably stands in
lies in the critique of the paternal role of the law, and specifi-
need of revision. The beginning of all critique now probably
cally of the father figure in whose name the lawyer speaks.
lies in the critique of law, although as elaborated above, this
The tradition is explicitly and expressly patristic, and the law
means critique of a law that is both divine and human in its
speaks in the name of a singular father. This has had a variety
origins. In a recent study of the “mediocracy,” the contem-
of detractors based in feminist theory and in gender and
porary French intellectual leftist Dominique Lecourt offers
transgender studies. At its most basic, the tradition models
the view that it is precisely the failure to challenge an un-
a singular law and an equally monolithic reason. A logic of
thinking adherence to the sanctity of law that undermines
identity and a privileging of the same thus take precedence
critical theory: “Today,” he opines, “there is no more em-
over difference and diversity. As Luce Irigaray, one of the
phatic discourse than that extolling the virtues of the ‘state
most legally oriented of feminist critics, has put it, this means
of law’. . . . When we hear encomia to a form of state that
that there is in doctrinal terms only one sex and only one
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW, RELIGION, AND CRITICAL THEORY
5361
form of legal personality or citizenship. Using the fact that
tradition is coincident with the limits of the religious culture
there are two sexes—three if one counts the relationship be-
and history that it represents. That the Christian tradition
tween the sexes as a further distinct form of sexuality—she
was both imperialistic and universalizing gains expression
argues for explicit legal definition, protection, and rights for
contemporarily in the expansionist tendencies of law and
a feminine legal personality (Irigaray, 1992). She continues
economics. The fact that the discipline of law is not any lon-
to advocate a doctrinal accounting of the feminine and so in-
ger expressly religious in its self-presentation should not ob-
terestingly proposes a diversification of both the texts and
scure the fact that lawyers currently undertake the fiduciary
methods of law. Doctrinal difference here requires attention
role and bear the status insignia that in previous eras be-
to the body as well as to the more familiar abstractions of law,
longed to the priest and enjoyed the protection of the
and favors the reason of emotion, the aesthetic and poetic,
church.
as supplements to the rigid morality of law.
SEE ALSO Canon; Codes and Codification; Justinian I; Lit-
Parallel to the argument for difference predicated upon
erature, article on Critical Theory and Religious Studies.
gender is the broadly sociological critique of the caste and
class, or priesthood, of lawyers (Kairys, 1990). Here the so-
BIBLIOGRAPHY
cial class and political place of the legal profession is subject-
Berman, Harold. Law and Revolution: The Formation of the West-
ed to a substantive critique of the instrumental function of
ern Legal Tradition. Cambridge, Mass., 1983.
legality. Law protects private wealth rather than public good.
Debray, Régis. A Critique of Political Reason. London, 1983.
It favors the rich, or corporate interest, over the poor. The
profession itself both represents and belongs to a ruling elite.
Fulbecke, William. Direction or Preparative to the Study of Law.
London, 1599; reprint, Clark, N.J., 2003.
The political economy of lawyering inexorably supports the
hierarchical and singular logic of established power, or the
Gearey, Adam. Law and Aesthetics. London, 2001.
status quo ante, leading critical legal scholars—a brief but ex-
Goodrich, Peter. Oedipus Lex: Psychoanalysis, History, Law. Berke-
pressive conference of radical legal academics—to the posi-
ley, Calif., 1995.
tion that law is indistinguishable from politics, and that legal
Goodrich, Peter. “Distrust Quotations in Latin.” Critical Inquiry
reason is simply theology by other means (Schlag, 2000).
29 (2003): 193–215.
Writing within a Christian tradition is inevitably a
Haldar, Piyel. “The Function of the Ornament in Quintilian, Al-
Trinitarian enterprise, and so there is ineluctably a third po-
berti, and Court Architecture.” In Law and the Image: The
sition to depict. Critique of the gender bias and class interests
Authority of Art and the Aesthetics of Law, edited by Costas
Douzinas and Lynda Nead. Chicago, 1999.
of law, of the residual paternal function and priestly status
of lawyers, was in cultural terms an internal critique. Femi-
Hotman, François, Anti-Tribonian. Paris, 1567.
nism and gay and lesbian studies had their roots in white,
Irigaray, Luce. I Love to You: Sketch for a Felicity in History. New
middle-class, and frequently legal circles. The critical legal
York, 1992.
studies movement was overwhelmingly masculine and root-
Kafka, Franz. The Trial. London, 1935; reprint, 1976.
ed in a white, middle-class academy. Concerned primarily
Kairys, David, ed. The Politics of Law: A Progressive Critique. New
with projecting their own anger at their exclusion from
York, 1990.
power onto the juridical structure, they ironically adopted a
legalistic stance in critique of law, and paradoxically offered
Lecourt, Dominique. The Mediocracy: French Philosophy since the
a series of universal solutions to the problem of the extant
Mid-1970s. London, 2001.
universalism. Critique here tended to represent most directly
Legendre, Pierre. La Pénétration du droit romain dans le droit
the interests of the critics themselves, and at best simply
canonique classique. Paris, 1964.
spoke for—rather than empowering or giving voice to—the
Legendre, Pierre. Le Désir politique de Dieu: Étude sur les montages
majority of those excluded by the sexism or elitism of the ju-
d’Etat et du Droit. Paris, 1988.
ristic tradition. Amongst the various flaws in such a position
Maclean, Ian. Interpretation and Meaning in the Renaissance: The
was the absence of any sustained attention to racial difference
Case of Law. Cambridge, U.K., 1992.
or to non-Western cultures.
Saunders, David. Anti-Lawyers: Religion and the Critics of Law and
The final branch of critique thus has been critical race
State. London, 1997.
theory. It has introduced the history and the plural forms of
Schlag, Pierre. The Enchantment of Reason. Durham, N.C., 2000.
diverse non-Western cultures into the analysis of law. Histo-
Soupiot, Alain. “Ontologies of Law.” New Left Review 13 (2002):
ries of slavery have been introduced into the analysis of the
107–121.
law of property, and fiction, dance, and jazz have been culled
Williams, Patricia. The Alchemy of Race and Rights. Cambridge,
for their expressions of alternative norms and laws (Williams,
Mass., 1988.
1988). Although authored primarily from within the West-
ern legal tradition, critical race theory provides at least one
Case Reference
impetus for perceiving the limits of Western law. Viewed as
X Ltd v. Morgan Grampian (1991) 1 AC 1.
the expression of a social form, the limit of the Western legal
PETER GOODRICH (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
5362
LAW AND RELIGION: LAW, RELIGION, AND HUMAN RIGHTS
LAW AND RELIGION: LAW, RELIGION, AND
well as to activate sanctions against countries that are
HUMAN RIGHTS
major violators of this freedom.
The roots of human rights reach back into history as long
4. A number of European countries have in the last few
as human beings have struggled for liberty and justice, yet
years imposed or proposed restrictions on newer reli-
the modern international human rights movement only took
gious formations (“sects” and “cults”), as well as on im-
shape, through the agency of the United Nations, in the
migrant religious communities, such as Islam. These
wake of World War II. Despite the voluminous output of
new developments have served to shift the focus onto
literature on human rights, scholarly analysis of the promo-
actual violations of religious freedom by individual
tion and protection of the freedom of religion and belief, and
states, as well as bringing it closer to “home.” It is pre-
the ambivalent relationship of human rights concepts to reli-
dominantly minority religions who continue to suffer
gious traditions, only started to become apparent in the
the worst forms of human rights abuses on a global
1980s—subsequent to the development of specific interna-
scale.
tional human rights instruments. The manifold reasons for
DETERMINING ORIGINS AND DEFINING TERMS. More than
this orphan status include secularist perceptions of religion
fifty years after the drafting and adoption of the historic Uni-
as privatized, irrelevant or dangerous, sensitivity of religion
versal Declaration of Human Rights in 1948, with its pur-
questions, relativist concerns, and difficulty of achieving con-
pose of establishing a “common standard of achievement for
sensus and definition across many different traditions. Yet
all peoples and all nations,” human rights parlance has now
the rise of religion to prominence on the world stage has
achieved the status of a global lingua franca. Yet the origins
added new impetus to analyzing and engaging religious ideas
and trajectory of the human rights movement are contested
and institutions from a human rights perspective, and vice
by both its proponents and opponents, notably over its reli-
versa.
gious or secular foundations. Paul Gordon Lauren refers
CONTOURS AND CHALLENGES. Several specialized texts on
more constructively to the evolution of the human rights vi-
the ambivalent relationship between religion and human
sion as the many “tributaries” of the “ever expanding and
rights emerged in the 1990s. Arguably the most influential
evolving river of human rights” (Lauren, p. 9). There are also
publication was the two-volume Religious Human Rights
valuable accounts of the semantic, political, and theological
(Witte and Vyver 1996; van der Vyver and Witte 1996). It
wranglings that shaped the emergent human rights discourse.
represented the first attempt to bring together different reli-
David Little rejects any pretensions to a single method-
gious traditions and scholarly disciplines to examine, from
ological approach to the complex and uncertain interrela-
an international perspective, the various permutations of the
tionship of religion and human rights. His analytical frame-
relationship between religion and human rights. By the end
work is predicated on the two fundamental interests of
of the 1990s it also became possible to consult reports on
religious people: being able to affirm, express, and manifest
how freedom of religion is understood, protected or denied
their convictions, and being able to avoid unfair discrimina-
around the world.
tion or bias on account of religion. Little defines a “human
International developments in the last few years with re-
right” as:
gard to freedom of religion and belief have forced the hand
1. A moral right advanced as a legal right.
of scholars to pay more attention to what is possibly the most
2. Protecting something of indispensable human impor-
controversial of rights.
tance.
1. There is a growing awareness of the role of religion in
3. Ascribed naturally.
social and ethnic conflict (e.g. the Balkans, Nigeria, In-
4. “Non-derogable” (if primary), or subject to limitations
donesia, etc.), and in international terrorism.
under prescribed conditions.
2. The former communist countries of Europe and Eurasia
5. Universally claimable by all people against all others, or
have embraced, at least in theory, democracy and
by certain generic categories of people such as “women”
human rights, occasioning significant religious plural-
or “children”(Little, 1996).
ization and conflict.
The lack of theoretical and conceptual clarity of rights lan-
3. The United States took steps to make religious freedom
guage troubles a number of scholars. Preferring to eschew the
a central aspect of its foreign policy in the form of the
confusing array of philosophical theories proposed to ac-
International Religious Freedom Act of 1998. As a re-
count for human nature and human rights, Jack Donnelly
sult of this law there is now an Ambassador-at-Large for
describes human rights as “the social and political guarantees
International Religious Freedom, an office in the State
necessary to protect individuals from the standard threats to
Department, an Advisory Commission, and annual re-
human dignity posed by the modern state and the modern
port on the state of religious freedom worldwide; in ad-
markets” (Donnelly, pp. 20–22). Defining religion is even
dition, the President is required to act to oppose all vio-
more of a challenge. The complexity and variability of defini-
lations of religious freedom and employ the tools of
tions of religion from a legal perspective are cogently pres-
U.S. foreign policy to promote religious freedom, as
ented by Jeremy Gunn (Gunn, 2003).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW, RELIGION, AND HUMAN RIGHTS
5363
LEGAL PROTECTION AND INTERPRETATION. Four major
Boyle and Sheen acknowledge the considerable agreement
modern instruments are concerned with the protection of
that has been reached on the content of these freedoms in
freedom of religion and belief, although we should not over-
international law, notwithstanding the remaining disputes,
look the significant norms regarding freedom of religion es-
chiefly over the interpretation of the requirements of these
tablished by both the Treaty of Westphalia (1648) and the
international standards. They see the more serious reality as
Minorities Regimes of the post-World War I system. The
the “open repudiation in practice” (Boyle and Sheen,
first is the 1948 Universal Declaration of Human Rights
pp. 4–5) of norms accepted by the majority of states in the
with its most crucial provision, Article 18: “Everyone has the
United Nations in binding international agreements. These
right to freedom of thought, conscience and religion; this
allegations of violations, generally pertaining to restrictions
right includes the freedom to change his [sic] religion or be-
on practice and association, are forwarded to states, which
lief, and freedom, either alone or in community with others
must then respond. They are also documented biannually in
and in public or private, to manifest his religion or belief in
the reports by the Special Rapporteur of the Sub-
teaching, practice, worship and observance.” The first clause
Commission on Freedom of Religion and Belief of the Unit-
guarantees the right to freedom of thought (and the inclu-
ed Nations Commission on Human Rights. These reports
sion of theistic, non-theistic, and atheistic belief is a feature
are integral to the normative interpretation and development
of these international documents), and the second enumer-
of the international norms pertaining to religion, as are the
ates the specific rights therein. Kevin Boyle and Juliet Sheen
views of the Human Rights Committee of the ICCPR. How-
write that this article constitutes a paradigm of the wide-
ever, the U.S. State Department is more effective in docu-
spread debates over the nature of human rights in general,
menting abuses.
because it “raises the issue of the universality and indivisibili-
ty of rights, of the primacy of international law over national
Many scholars point to the nature of the relationship—
law and religious codes, of individual, minority and collec-
practical and not just legal—between religion and the state
tive rights and of the relationship between rights, duties and
(“church-state” is proving less and less applicable as a de-
community.”
scriptor in the face of religious pluralization) as being forma-
tive in accounting for the substantive differences in the
In 1959 followed Arcot Krishnaswami’s much-cited
achievement of religious freedom around the world. There
Study of Discrimination in the Matter of Religious Rights and
is a growing body of literature on Europe in matters of free-
Practices. Krishnaswami was appointed by the Subcommis-
dom of religion and belief—which is to be expected given
sion on Prevention of Discrimination and Protection of Mi-
its historical significance—and a surge of cases raising diffi-
norities to study rights pertaining to religion and belief, and
cult questions under Article 9 of the European Convention
to draw up a program of action to eradicate religious discrim-
on Human Rights (ECHR). The Organization for Security
ination. He concluded that the collective aspect of the free-
and Co-Operation in Europe (OSCE) has been described as
dom to manifest religion or belief was especially important,
a “trendsetter” for the way it has raised the profile of religious
as it was prone to state intervention and regulation. He noted
freedom on the international agenda of participating states
the particular vulnerability of minorities in this regard. The
and focused critical international attention on their respec-
International Covenant on Civil and Political Rights
tive practices, although its far-reaching norms are politically,
(ICCPR) and the International Covenant on Economic, So-
rather than legally, binding.
cial and Cultural Rights (ICESCR) were adopted in 1966
C
and ratified in 1976. The ICCPR is the only global human
OMPATIBILITY/INCOMPATIBILITY ARGUMENTS. A large
portion of the scholarship on the relationship between reli-
rights treaty with articles on religion and belief that contains
gion and human rights addresses the issue of their compati-
measures of implementation.
bility or incompatibility. For Louis Henkin (1998) religious
In 1981 (after years of intensive lobbying and compli-
ideologies differ from the human rights ideology principally
cated negotiations) came the landmark Declaration on the
in terms of sources and bases of authority. Religious tradi-
Elimination of All Forms of Intolerance and Discrimination
tions are more totalizing, and oriented (notably smaller, mi-
Based on Religion or Belief. It served to elaborate what the
nority religions) toward the rights of their own adherents, or
1966 Covenant adumbrated. To placate non-religious be-
religious rights more generally. While acknowledging the
lievers “whatever” was inserted before the word “belief” in
shared concept of human dignity, he highlights recurring dif-
Article 1(1), and explicit references to “changing one’s reli-
ferences in contemporary interests and concerns, namely the
gion” were deleted from the text at the behest of Muslim del-
areas of freedom of religion and religious choice, equality
egations, although this had already been partly degraded in
and nondiscrimination, gender distinctions, and capital
the ICCPR.
punishment.
A number of legal scholars have helped illuminate the
Those who advocate the compatibility approach tend to
theory and practice of the freedom of thought, conscience,
opt for a strong foundationalist orientation, believing human
religion and belief in international law. Many consider that
rights to be the modern political outcome of ancient religious
it is preferable to strengthen existing norms and mechanisms
beliefs and practices. In addition to the numerous works on
rather than move toward a more legally binding convention.
Christianity and human rights, some focus on other tradi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5364
LAW AND RELIGION: LAW, RELIGION, AND HUMAN RIGHTS
tions such as Buddhism, Judaism, Hinduism, or traditional
ment, but also contradict each other—which is to be expect-
African religions. There exist also several comparative works,
ed, as all rights are instruments of negotiation and mediation
often driven by an ecumenical, Golden Rule approach. Some
of competing claims. Similarly, he stresses the contingency
studies explore differing points of emphasis, such as the in-
of universalist projects to date, while calling for more global
terdependence of rights and duties, the concept of person-
participation in the construction of the human rights ideal.
hood, and the dynamic between individual and collectivity
This is reiterated by such critical theorists as Boaventura De
in religious communities. The case of Islam is viewed as par-
Sousa Santos, with his concern to transform the conceptual-
ticularly challenging in terms of whether Islamic law and the-
ization and practice of human rights from a globalized local-
ology support the modern notion of human rights.
ism into a cosmopolitan project. This reconfiguring of the
CULTURE MATTERS. Culture both complicates and enriches
relationship between culture and rights is considered as argu-
the whole question of human rights theory and implementa-
ably the most important development in recent rights theory
tion. The truth-claims and traditions of religious and ethnic
and practice. Yet sensitivity to believers’ positions, while not
groups feed into, and even exacerbate, the unending debates
conceding to relativist arguments, continues to represent one
about universalism and relativism, or cultural domination
of the most pressing challenges for the field of human rights.
and subordination. Frequently these are centered on con-
PROSELYTIZATION. Some consider that the right to engage
cerns for the rights of peoples or populations identified as in-
in missionary activity is perhaps the most controversial aspect
digenous who have suffered both under colonialism and
of religious freedom. This is closely linked to the disputed
postcolonialism. In the case of Latin America, for example,
right of changing and exiting one’s religion. The new “war
some scholars have argued that religion provided the founda-
for souls,” precipitated by the globalizing forces of democra-
tion for the defense of the rights of indigenous peoples in
cy and capitalism, became the focus of an international proj-
Latin America, as well as legitimating the atrocities against
ect conducted by Emory Law School’s Law and Religion
them. The protection now available to ethnic minorities in
Program.
the form of Articles 18 and 27 of the ICCPR to maintain
their language, culture, and religion is predicated on the con-
Perhaps the most problematic issue to emerge from the
trol of sacred sites, skeletal remains, burial artifacts, and other
research was the clash between the right of an individual or
items of religious and cultural significance.
group to promote, teach or propagate his or her religion or
belief, and the right of an individual or group to resist such
Others would consider that it is the challenge that these
disruptive incursions. Disseminating one’s religion is pro-
indigenous peoples, along with other ethnic minorities, are
tected by both individual and group rights. Asymmetrical
mounting to the individualistically oriented human rights
power relations are generally inherent in the proselytization
paradigm that is more preoccupying. There is a rich body of
exercise, although this type of interreligious encounter can
literature emerging on “group rights,” some of it framed
arguably stimulate cultural exchange and self-critique. With
within current discourse on multiculturalism and cultural
the growth of religious revivalism and militancy within our
self-determination, in which religious identity often features
global network society, the human rights community is grad-
prominently. The particular problems of religious rights
ually waking up to the potent influence of the media in pro-
come about as they constitute classic “civil” or “individual”
moting both tolerance and intolerance.
rights and yet are fundamental to the protection of the rights
W
of minority, indigenous, and other groups. The dichotomy
OMEN’S RIGHTS. A strong focus of the scholarship on the
no less controversial case of women within the overall picture
of group versus individual rights is also a major issue as far
of religion and human rights has been on the religious tradi-
as how countries and societies view the right to freedom of
tions themselves. This is hardly surprising given the denial
religion or belief, and one which adversely affects minorities.
of their rights that many women experience both as citizens
Proponents of “Asian values” or “Islamic values” argue
and as members of religious communities, and the fact that
that the communitarianism, authoritarianism, and emphasis
religious norms frequently underpin social practices of exclu-
on economic development in their societies are antithetical
sion and domination. Women’s rights to equality under state
to Western liberal conceptions of human rights. Such advo-
and international human rights law frequently clash with the
cates have been challenged for using cultural reservations as
rights of religious collectivities to self-determination. Reli-
a “smokescreen” for human rights violations, and for pro-
gion is also a source of liberation or repression for women
moting a static and polarized image of the human rights
from a variety of textual, historical, legal, cultural and social
movement. Some question the univocality of terms such as
perspectives.
universal or freedom.
The freedom of choice is important for women within
Human rights scholar and advocate Abdullahi An-
religious systems, but not at the expense of their basic human
NaDim has been one of the most prominent proponents of
capabilities. Conflicts frequently arise between religious and
the need for human rights to seek cultural legitimacy
customary laws and international human rights norms over
through internal and cross-cultural dialogue and to support
the equality and freedom of women in matters of land alloca-
more inclusive and equitable processes of change. He realisti-
tion, inheritance, marriage, and divorce. External freedoms,
cally sees how individual rights and collective rights comple-
or the public manifestations of religion, are areas where
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW, RELIGION, AND HUMAN RIGHTS
5365
women’s rights to freedom of religion and belief are often
uscirf.gov), and the biannual reports of the U.N. Special
compromised, as in dress codes and female genital muti-
Rapporteur on freedom of religion and belief (http://
lation.
www.unhchr.ch/html/menu2/7/b/mrei.htm). See also the
news service on religious intolerance and discrimination
CONCLUSION: LINGUA FRANCA, LINGUA SACRA? Now more
from Human Rights without Frontiers (http://
than ever the convergences and divergences of human rights
www.hrwf.net).
culture(s) and religious culture(s) in our globalizing world
An-NaDim, Abdullahi A., ed. Human Rights in Cross-Cultural Per-
calls for new interpretations. Scholars of religion need to ex-
spectives: Quest for Consensus. Philadelphia, Penn., 1992.
amine the ways in which both mainstream and minority reli-
gious organizations resist and accommodate the increasingly
An-NaDim, Abdullahi A., ed. Proselytization and Communal Self-
Determination in Africa. Maryknoll, N.Y., 1999.
powerful discourse of international human rights as part of
the strategies of these groups for recognition in the public
Barry, Brian. Culture and Equality: An Egalitarian Critique of Mul-
sphere. The naturalization of human rights norms can lead
ticulturalism. Cambridge, Mass., 2001.
to the objectification and standardization of religion. It also
Bloom, Irene, J. Paul Martin, and Wayne L. Proudfoot, eds. Reli-
serves to blur conventional distinctions between public and
gious Diversity and Human Rights. New York, 1996.
private. Similarly, it points to the capacity of religious com-
Boyle, Kevin, and Juliet Sheen, eds. Freedom of Religion and Belief:
munities to generate much-needed political will for the im-
A World Report. London, 1997.
plementation of human rights standards. Likewise, an appro-
Cowan, Jane K., Marie-Benedicte Dembour, and Richard A. Wil-
priate focus on the cultural translation of human rights in
son, eds. Culture and Rights: Anthropological Perspectives.
diverse settings would illuminate the ambivalence surround-
New York, 2001.
ing their reception and implementation. Attention to the
Danchin, Peter, and Elizabeth Cole, eds. Protecting the Human
new strategies being developed by many states to regulate
Rights of Religious Minorities in Eastern Europe. New York,
freedom of religion and belief would enhance understanding
2002.
of patterns of discrimination more generally. In other words,
Evans, Caroline. Freedom of Religion under the European Conven-
the critical and comparative study of religion can help raise
tion on Human Rights. New York, 2001.
questions about the troubling question of human rights qua
Evans, Malcolm D. Religious Liberty and International Law in Eu-
religion, in other words, the (occasional) intolerance of the
rope. New York, 1997.
human rights movement toward its detractors, and its func-
Gunn, T. Jeremy. “The Complexity of Religion and the Defini-
tioning at times as a new world religion. For that reason, it
tion of ’Religion’ in International Law.” Harvard Human
has been argued that because religious thinking has contrib-
Rights Journal 16 (Spring, 2003): 189–215.
uted to the conceptual and practical development of human
Hackett, Rosalind I. J., Mark Silk, and Dennis Hoover, eds. Reli-
rights, and legal regulation draws increasingly on human
gious Persecution as a U.S. Policy Issue. Hartford, Conn.,
rights norms, it should resist being coopted.
2000.
In sum, the particular skills that religion scholars bring
Hackett, Rosalind I. J., and Winnifred Fallers Sullivan. “A Curva-
to the table in terms of what Ninian Smart called “worldview
ture of Social Space.” Culture and Religion 16, no. 1 (2005).
analysis.” The critical interpretation of sacred symbol, sound,
Hastrup, Kirsten, and George Ulrich, eds. Discrimination and Tol-
text, space, ritual, object, community, as well as cultural dif-
eration: New Perspectives, International Studies in Human
ference and identity, are highly germane in the analysis of
Rights. The Hague, Netherlands, 2001.
human rights discourse and practice. Moreover, the location
Henkin, Louis. “Religion, Religions, and Human Rights.” Journal
of religious studies scholarship at the intersection of the hu-
of Religious Ethics 26, no. 2 (1998): 229–239.
manities and social sciences, together with its focus on reli-
Howland, Courtney W., ed. Religious Fundamentalisms and the
gious belief and practice as embedded historical and contem-
Human Rights of Women. New York, 1999.
porary realities, can serve to complement, if not healthily
Lauren, Paul Gordon. The Evolution of International Human
challenge, the domination of human rights questions by
Rights: Visions Seen. Philadelphia, 1998.
legal, political, and philosophical theorists.
Lerner, Natan. Religion, Beliefs, and International Human Rights.
Maryknoll, N.Y., 2000.
SEE ALSO Human Rights and Religion.
Little, David. “Studying ‘Religious Human Rights’: Methodologi-
cal Foundations.” In Religious Human Rights in Global Per-
BIBLIOGRAPHY
spective: Legal Perspectives, edited by J. D. v. d. Vyver and J.
Good overview articles on the nature and history of the human
Witte, pp. 45–78. The Hague, Netherlands, 1996.
rights idea can be found under “human rights” at http://
Mayer, Ann Elizabeth. Islam and Human Rights: Tradition and
www.britannica.com. For a range of texts on religion and
Politics. 3d. ed. Boulder, Colo., 1998.
human rights, see the invaluable http://www1.umn.edu/
humanrts/links/religion.html, as well as http://www.
Ministry of Foreign Affairs, ed. Seminar on Freedom of Religion or
religlaw.org/interdocs/rhrbdtoc.htm. For reports on freedom
Belief in the OSCE Region: Challenges to Law and Practice.
of religion and belief, see the annual reports by the U.S. State
The Hague, 2001.
Department (http://www.state.gov) and the U.S. Commis-
Nussbaum, Martha C. Women and Human Development: The Ca-
sion on International Religious Freedom (http://www.
pabilities Approach. New York, 2000.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5366
LAW AND RELIGION: LAW, RELIGION, AND MORALITY
Richardson, James T., ed. Regulating Religion: Case Studies from
focus on philosophical accounts of the validity of legal,
Around the Globe. Dordrecht, Netherlands, 2004.
moral, and religious claims and concepts. Others emphasize
Santos, Boaventura Sousa de. Toward a New Legal Common Sense:
the many structural similarities between law, morality, and
Law, Globalization, and Emancipation. Evanston, Ill., 2003.
religion, since each sphere claims authority and obedience
Sharma, Arvind. Hinduism and Human Rights: A Conceptual Ap-
over the lives of adherents, each reproduces itself through a
proach (Law in India). New York, 2004.
tradition of concepts and rituals, and each claims universality
Stahnke, Tad. “Proselytism and the Freedom to Change Religion
and a comprehensive character. Still others hope to articulate
in International Human Rights Law.” International Reli-
a religious or moral worldview which unites each of the
gious Liberty Association. Available from http://
spheres in some comprehensive fashion, often subordinating
www.irla.org/documents/articles/stahnke-proselytism.html.
legal goals and processes to religious or moral claims. Which-
Stahnke, Tad, and J. Paul Martin, eds. Religion and Human Rights:
ever method is adopted, the fact remains that the social struc-
Basic Documents. New York, 1998.
ture of law continues to develop as an increasingly isolated
Steiner, Henry J., and Philip Alston. International Human Rights
sphere. Law in the West has grown more unified as an instru-
in Context, Law, Politics, Morals. 2d ed. New York, 2000.
mental mode of social formation, purged of the supposedly
Tahzib-Lie, Bahia. “Applying a Gender Perspective in the Area of
extraneous elements of religious and moral culture. At the
the Right to Freedom of Religion or Belief.” Brigham Young
same time, religion and morality, to their adherents, contin-
University Law Review 3 (2000): 967–988.
ue to be comprehensive in their claims about the proximate
Van der Vyver, Johan D., and John Witte, eds. Religious Human
and ultimate goods for human life. But as a mode of culture,
Rights in Global Perspective: Legal Perspectives. The Hague,
religion has exploded into countless, disconnected ways of
1996.
life. One major problem for the relation between modern
Witte, John. “A Dickensian Era of Religious Rights: An Update
law, religion, and morality is whether these social spheres re-
on Religious Human Rights in Global Perspective.” William
late to each other any longer, and if so, how they relate.
and Mary Law Review 42 (2001): 707–799.
Witte, John, and Johan D. van der Vyver, eds. Religious Human
Modern democratic legal systems usually accommodate
Rights in Global Perspective: Religious Perspectives. The Hague,
some form of religious plurality and refrain from establishing
Netherlands, 1996.
or privileging any particular religious entity or practice
R
through legal sanction. But these legal systems are often un-
OSALIND I. J. HACKETT (2005)
able to account fully for the idea that religion is not just a
distinct set of religious rituals, a defined community, and a
discrete body of doctrines. Religion is also a worldview, a set
LAW AND RELIGION: LAW, RELIGION, AND
of ideas and beliefs of conscience about the nature of the
MORALITY
world, that for many people shape all of their moral, eco-
The relation between law, morality, and religion in the West
nomic, social, and personal affairs and choices. Religion and
has grown progressively more complex and fragmented over
morality have become increasingly private and individual af-
the last five hundred years. Historically, two paths emerged
fairs, formed by interaction between the human subject, his
in Western thought regarding the relation of transcendent
or her culture, and his or her conscience.
justice and positive law secured in the secular political order.
The natural-law tradition followed Platonic philosophy by
Until the late Middle Ages, a predominant idea in the
locating human cognition of true justice in a rational aware-
West was that the cosmos and all of nature contain intrinsic
ness of the divinely sanctioned order of the universe. The
rational principles which human beings can apprehend in
other tradition arose from conceptions of obedience to di-
order to understand how to form their political, moral, and
vine command. Such movements were more skeptical of
legal affairs. This “natural law” was an eternal order invested
human apprehension, reserving knowledge about justice to
by the Creator in all reality. While it could be apprehended
that received by revelation of the Divine Will. The Hebraic
independently from religious revelation, natural law was
tradition, typified by the Ten Commandments, was struc-
thought to be consistent with deeper cosmological truths.
tured around the community’s faithful response to the laws
The Protestant tradition broke from this structure and
of the God who created and sustained them. The Christian
adopted an Augustinian anthropology in which humans live
apostle Paul claimed that only through fideistic awareness of
in two realms simultaneously, the empirical reality of time
God’s activity can true justice be revealed, and that only ab-
and space and the transcendental sphere of the numinous ex-
solute reliance on faith alone as the means of grace could de-
perienced by faith alone. The claims of religion about the
liver one from evil. For Augustine, the world of things below
transcendent Divine cannot be verified or denied by empiri-
is for security only—to restrain evil—and the true focus of
cal or rational investigations, and the location of religious ex-
the believer’s attention was the heavenly kingdom, known
perience is the individual’s conscience. Under the conditions
through faith alone. Human knowledge could not achieve
of modernity, fueled by these Protestant ideas, it has become
any awareness of true justice.
increasingly the case that claims can only enter legal dis-
There are many approaches to the study of the changing
course if they are universalizable and empirically testable.
connections of these spheres of human life. Some theorists
Law deals with discovery of facts and adjudication of testable
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW, RELIGION, AND MORALITY
5367
claims—what the law “is” has an empirically verifiable char-
worldview can be seen here since the greatest good for each
acter. Therefore, modern law as it has developed does not di-
individual is his or her own natural preservation, not flour-
rectly relate to claims of religious revelation, private intu-
ishing as defined by a transcendental moral or religious good.
ition, or other sources of “ought-claims.”
Hobbes argued that since the natural condition of hu-
Western law has often, especially in recent centuries, fo-
mankind was a war of each against all, self-interested agents
cused on the concept of sanction, that element of the law’s
must recognize by reason that their surest possibility of
origin in a legitimate process of legislation which gives any
achieving self-preservation can only come through transfer
law its authority as a command that must be obeyed. With
of their natural liberty to a common and ultimate authority
the decline of natural law as a persuasive model, the human
who can adjudicate disputes, provide an established law, and
process by which law is created took on greater importance.
create conditions of security for each individual. In Hobbes’s
If law can no longer be discovered in the nature of things,
view, humans are not naturally social as Aristotle had held;
for modern people its authority comes from the legitimacy
rather they enter society by convention, for the promotion
of the institutional procedures of the legal system, accorded
of their own interest. The social contract is the mechanism
by its subjects who have authorized it to have power on their
whereby individuals mutually and equally lay down their
behalf. Positive law—that law which is posited or willed
rights to every other citizen, forming a society which trans-
through the legislative process—has nearly become the ex-
fers their collective, natural liberty over to the coercive power
clusive focus of obedience and legitimacy. Positive law so
of the sovereign. Thus the will of the sovereign alone, autho-
conceived bears only historical relations to moral and reli-
rized by the contract between citizens, creates the force of
gious culture, and any direct links are historically contingent
law. The legislating sovereign is not bound by nor aims to-
once adopted into legal code. In modernity, the human ruler
ward transcendental moral or religious goods, nor does the
or community sanctions human law, using criteria of effi-
civil law aim for anything other than external compliance.
ciency and utility to achieve social, economic, and political
The sovereign must, however, institute order in the earthly
goals desired for any number of practical reasons. Concep-
kingdom. And, as Hobbes knew well, skirmishes over reli-
tions of political goals and legal rights are increasingly identi-
gious doctrines had caused many of the bloodiest conflicts
fied with individual preferences and prevention of harm,
in human history. To alleviate these conditions, he argued
rather than transcendental or religious goods.
that the political sovereign must judge doctrinal disputes and
shape a coherent and unified set of religious beliefs and prac-
The problem for law and politics under these new con-
tices for the political community, lest their squabbles cause
ditions is a crisis of legitimacy: how, under conditions of
civil unrest.
such radical social upheaval, can political will-formation and
legal obedience be achieved and successfully reproduced?
John Locke’s (1632–1704) Second Treatise on Govern-
From the new American society, where writers worry about
ment (1690) shaped a legal philosophy to support the English
increasing individualism and decreasing religious checks on
Revolution of 1688 and espoused perhaps the most influen-
such unbridled drives, to the old Europe, where the church
tial theory of modern liberal democracy. He argued, against
has lost most of its grip over the hearts and minds of the citi-
Hobbes, that the sovereign was bound by a criteria of tran-
zenry, many have seen a profound crisis develop in how soci-
scendental justice known by natural reason. Locke demon-
ety can remain cohesive and functional under law when,
strated the creation of civil society in a manner similar to
from a moral and/or religious standpoint, there exist a vast
Hobbes, basing its legitimacy in the state’s role of protecting
plurality of uncoordinated societies.
property rights and serving as a fair, common arbitrator of
disputes. However, Locke decreed that God appointed the
LAW, MORALITY, AND RELIGION IN CLASSIC MODERN
government to restrain the partiality and violence of humans
THEORY. Niccolò Machiavelli (1469–1527), in The Prince
and to remedy the inconveniences of the state of nature. Ac-
(1517), dismissed the concept of the common good as the
cording to Locke, each individual recognizes by natural rea-
primary telos of the sovereign’s legislative activity, replacing
son the fundamental law of nature: each human, being equal
it with the hallmark of political realism, the raison d’état. Ma-
and independent, should not harm any other in his or her
chiavelli’s prince only needed to concern himself with the
life, liberty, health, or property. Under the social contract,
balance and preservation of power while exercising statecraft.
the sovereign must legislate toward the common good of the
Thomas Hobbes (1588–1679), in his Leviathan (1651), car-
collective members. The only legitimate end of state action
ried this vision forward by claiming that the goal of self-
is the peace, safety, and public welfare of the people. If the
preservation was the primary function of individuals who or-
legislator acts against the ends of security and preservation
ganized themselves into a legal state to achieve greater and
of the people, Locke contended that the people, using natu-
lasting security. The right of nature, according to Hobbes,
ral law as their guide, have the right to rebel and to establish
is the simple liberty each human has to use his or her own
the government anew, since an unjust or arbitrary sovereign
power, as desired, for the preservation of his or her life and
would be in a state of war against them.
to do anything which, according to his or her own judgment
and reason, he or she conceives to be the most appropriate
Civil authority is here limited to the preservation of ma-
means to reach that goal. Hobbes’s break with the medieval
terial property and earthly security, not to the creation 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
5368
LAW AND RELIGION: LAW, RELIGION, AND MORALITY
pietistic or moralistic state. Locke thereby rules out the eccle-
sistent with the freedom of every other individual. The civil
siastical authority from having anything to do with the gov-
law is posited by the common sovereign who acts in a man-
ernance of common affairs. Further, he contends that, being
ner consistent with universal reason, promulgating law that
free and equal, each individual should have freedom of con-
all rational subjects could have agreed to for themselves. The
science over his or her own thoughts and affairs. In his Letter
only direct goal of the civil state is the achievement of this
Concerning Toleration, Locke argues, also against Hobbes,
coexistence of external free actions. The civil law does not
that the care of souls, the management of estates or health,
have as its goal the moral betterment of the social agents nor
the choice of religious rituals, and private judgments about
religious community-building, but simply to provide the
doctrine or political matters all belong to the individual, and
conditions upon which free agents could pursue these or
toleration must therefore be accorded by the sovereign and
other ends. Kant held that religion can provide important
fellow citizens for various patterns of life.
motivation for pursuing a moral life under the civil law, but
this meant that religion must be elevated to its rational
Locke does merge religious claims and law together,
meaning, and its subjective and impassioned elements must
however. All human actions ought to be conformable to the
be tamed by reason.
law of nature, which he equivocates with both natural reason
LAW, RELIGION, AND MORALITY IN MODERN JURISPRU-
and the will of God. The fundamental law of nature is a dec-
DENCE. William Blackstone (1723–1780) strongly espoused
laration of the basic good of the preservation of life, written
natural-law theory in his Commentaries on the Laws of En-
into the very fabric of human life. No human law can be
gland (1765–1769). Human positive law must be subsumed
good or valid that cuts against this law. However, the criteria
under the natural order, and “no human laws are of any va-
by which a law is judged remain exclusively rational. This
lidity, if contrary to this.” Alexis de Tocqueville (1805–
is not a contradiction, since Locke assumes that the proper
1859), in the first volume of his Democracy in America
operation of natural reason—the gift of God—would yield
(1835), described how such a practical fusion of religion,
a result that correlates with the intention of the Divine.
law, and morality was present throughout the early American
Locke also articulated two instances where the sovereign
colonies. The penal laws of early America were above all con-
could interfere with an individual’s personal beliefs. Locke
cerned with reproducing moral order in society. Thus, laws
argued that those who claim allegiance to a foreign prince
often addressed the domain of conscience and were pietistic
should not be tolerated (such as Catholic allegiance to the
in scope—such as forbidding unmarried persons from keep-
papacy), since they would hold higher allegiance to someone
ing company, prohibiting kissing, laziness, or drunkenness;
other than the political sovereign of the territory. Thus moral
insistence on attending religious services; or disallowing blas-
conscience can be intruded upon when obedience to the au-
phemy—besides more obvious crimes such as rape and in-
thority of the legislator is compromised. Secondly, Locke ar-
cest. Tocqueville was most fascinated by the fact that these
gued that atheists must not be tolerated. Locke holds that if
laws often were not arbitrarily imposed but freely adopted
belief in God is taken away, then the ability to hold promises,
by the citizenry who wanted laws reflecting their religious
covenants, and oaths—the bonds of society itself—is made
mores.
impossible. But a more subtle and profound point is at stake,
one that shows the extent of the relation of law and religious
But Blackstone’s contemporary, David Hume (1711–
claims in Locke. Natural reason teaches that all humans,
1776), articulated skepticism about natural law that has held
being equal, are not to be harmed in the pursuit of life, liber-
lasting influence over jurisprudence; his analyses of human
ty, health, or property. Locke does not argue that reason
nature and philosophy rendered all ideas of justice dependent
teaches that humans are equal. Rather, this conclusion de-
upon invention, social custom, and habit. Jeremy Bentham
rives from a religious claim that humans are the created prop-
(1748–1832) defined political society in a way that followed
erty of God, sent to earth about God’s business, and thus
directly from Hume. Political society is formed when a num-
there can exist no subordination between humans that au-
ber of subjects are in the habit of paying obedience to a per-
thorizes another’s destruction or use. Humans are equal since
son, or an assemblage of persons, the sovereign. The com-
they are created equal. At the very heart of Locke’s arguments
mand of the sovereign is law. In A Comment on the
for the establishment of civil law is a fundamental religious
Commentaries, he directly refuted Blackstone’s notion of nat-
claim about the human being.
ural law as a criterion by which positive law is to be judged.
For Bentham, although a duly legislated law might be bad
In the German tradition, Immanuel Kant (1724–1804)
according to moral or religious criteria, it is still law. He ar-
argued that the civil law is created by rational, autonomous
gued that law should be based on the calculative capacity of
agents, who aim to institute a self-imposed structure to pro-
the human mind to apprehend how the outcome of actions
tect and guide their lives. Kant argued that the civil law
will maximize pleasure, and thereby chart a course of action
achieves moral ends for all persons, yet the state must extract
that will end in relative happiness. Bentham, like John Stuart
legal claims and institutions from particular religious and
Mill (1806–1873), believed that legislation should aim to
moral claims. For Kant, the civil condition institutes justice,
maximize social utility rather than institute transcendent
which he defined as the universal moral end of making possi-
moral principles in society. Legal codes evolve as particular
ble each individual’s self-determination in a way that is con-
societies develop. The law of any particular polity is not tran-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW, RELIGION, AND MORALITY
5369
scendent and static, but dynamic and fluid, incorporating so-
ties from holding that a rule is a valid law and that it should
cial customs, practices, and moral preferences into the civil
be overturned, modified, or resisted. The processes by which
law. Further, the only legitimate constraint over individual
law exists allowed the conversion and transformation of the
behavior is to prevent that action which inflicts harm upon
law, and these processes were driven by ideals that came from
others (the “harm principle”).
a variety of sources—moral, legal, economic, and utilitarian.
While there is often a coincidence between legal and moral
It was John Austin (1790–1859), a disciple of Bentham,
rules, a law is valid as a rule of law on the simple condition
who explicitly distinguished positive laws from other cultural
that it is enacted according to and consistent with the proce-
elements in his Province of Jurisprudence Determined (1832).
dures given in the society. The mere fact that the rule might
Such “extraneous materials” include the divine law, natural
conflict with a moral criterion is insufficient to invalidate the
law, and particular moral claims. Austin does hold that there
rule as a law.
are moral criteria that may be applied to the law, tests that
can determine if a positive law is what it ought to be. But
But where the utilitarians argued that the validity of law
positive laws are sufficient in their own power, not being
was sufficient in the capacity of the state to coerce those sub-
fashioned on the law of God but posited by utility. Austin
ject to it, Hart argued that the laws resonate more deeply in
famously declared, contrary to Blackstone, what has become
citizens than is accounted for by the concepts and motives
known as the “separability thesis,” which holds that “the ex-
of mere obedience or the avoidance of coercion. As he articu-
istence of law is one thing; its merit or demerit another.”
lated in “Positivism and the Separation of Law and Morals”
What law is by social agreement, and what it ought to be ac-
(1958), the proper distinction between law and morality
cording to moral or religious ideals, are distinct and not nec-
should be between “what is” (the law) and what from many
essarily related.
different points of view “could be” or “ought to be.”
Hart’s concern in Law, Liberty, and Morality (1963) was
LAW, MORALITY, AND RELIGION IN LATER THEORY. Ac-
to investigate the legal status of a class of actions that are con-
cording to Max Weber (1864–1920), modern Western so-
sidered immoral by communal standards but result in no
cieties developed on the basis of “functional differentiation”
harm to others. This work was written in response to Lord
between social spheres. This process of social division has
Patrick Devlin’s attack on the Wolfenden Report of 1957,
changed the basis of societal solidarity and disrupted social
which had argued that because no public harm issued from
integration by rationalizing and minimizing the impact of
homosexual relations between private, consenting adults, it
traditional forms of cultural cohesion, a process often termed
ought to not be illegal in England any longer. Hart agreed
“secularization.” Where the medieval worldview had created
with the report that without an external harm committed,
a homogenous social structure, modern life is marked by a
the law’s legitimate scope could not enforce some conception
vast plurality of social modes of existence and underlying
of communal moral standards against the private affairs of
worldviews, which splinter individuals into increasingly di-
consenting adults. Yet he did allow that the harm principle
verse modes of life. With traditional forms of religious and
was too narrow: the state could have a compelling interest
moral community no longer capable of producing social co-
to intervene in protecting a citizen from him or herself or
hesion, complex forms of bureaucratic structures have
when the citizen’s actions contend with standards of public
emerged with a monopoly of power to regulate activity, so-
decency. Fundamentally, however, Hart argued that moral
cial functions, and interaction. Social power has become in-
facts and values change, that the proposition that any devia-
creasingly centralized in the state bureaucracy, resulting in
tion from a society’s shared morality threatens its continued
the monopolization of power into the state. The state, as the
existence is unsustainable when faced with the simple fact of
legitimate political authority through law, has colonized
the continuous evolution of social norms.
other aspects of society, increasing its domination through
steering mechanisms of policy and planning. For Weber, the
The natural law tradition has continued to garner inter-
existence of a society’s rules and laws is not dependent on
est despite the realism and positivism that characterizes mod-
their satisfaction of moral purposes or goals; rather the laws
ern law. Hart’s primary interlocutor and critic, Lon Fuller,
are legitimate solely by reference to their origin in the proce-
in The Morality of Law (1969), argued for a vision of the
dures of the social system. Since laws are made to regulate
moral characteristics of any valid legal system, the so-called
social reality, an analysis of the law is primarily a description
internal morality of law. By looking at certain formal charac-
of how effective law is at meeting its goals. Such goals are
teristics or procedures that Fuller maintained must be
arbitrary from the standpoint of the descriptive analysis of
obtained in any legal system, he contended that these charac-
law, as well as from the standpoint of jurisprudence; the
teristics—such as comprehensibility and promulgation—
question is not what law ought to accomplish but whether
display a moral purpose and structure inherent to the law.
law achieves the desired goals of utility. This idea is basic to
In order to garner widespread compliance, the laws need
the “Legal Realism” and “Law and Economics” movements.
these characteristics to render them tasteful to the citizenry.
Further, any legal structure must ensure respect for human
H. L. A. Hart (1907–1992) argued that a legal proposi-
dignity and treat humans as subjects of their own actions, all
tion which ran counter to a moral proposition was still a
moral goals. Since the purposiveness of law is directed to so-
valid law. Yet, for Hart, there was nothing to prevent socie-
cietal balance, Fuller contends this goal is inherently moral.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5370
LAW AND RELIGION: LAW, RELIGION, AND MORALITY
For John Finnis, a contemporary theorist working in the
Austin, John. The Province of Jurisprudence Determined (1832).
tradition of Thomas Aquinas (1225–1274) and Blackstone,
Edited by Wilfrid E. Rumble. Cambridge, U.K., and New
the natural-law tradition still has validity as a theory of the
York, 1995.
obligatory force of positive law. In a nonsectarian fashion,
Bentham, Jeremy. A Fragment on Government (1776). Edited by
Finnis set out to describe those “basic forms of human good”
J. H. Burns and H. L. A. Hart. London, 1968.
that organize the goals of positive law, goods to which all hu-
Bentham, Jeremy. An Introduction to the Principles of Morals and
mans naturally subscribe. Civil laws aim to solve coordina-
Legislation (1789). Edited by J. H. Burns and H. L. A. Hart.
tion problems in the common pursuit of these basic, natural
London, 1970.
goods. For Finnis, a law which is unjust according to moral
Bentham, Jeremy. Comment on the Commentaries (edited by
criteria may still have the force of law, but the law in question
Charles Warren Evertt, 1928). Edited by J. H. Burns and H.
has not fully achieved the character of law.
L. A. Hart. London, 1968.
Jürgen Habermas (1929–), a neo-Kantian, recognizes
Berman, Harold. Faith and Order: The Reconciliation of Law and
the splintering of social groups described by Weber and the
Religion. Atlanta, 1993.
destructive effects this can have on social cohesion and for-
Blackstone, William. Commentaries on the Laws of England (1765–
mation of political will, but refuses to return to religious-
1769). 4 vols. Chicago, 1979.
based or natural-law conceptions. As a remedy to social dis-
Dworkin, Ronald. Taking Rights Seriously. Cambridge, Mass.,
integration, he argues for a conception of legal procedure
1978.
that allows a society to protect the rights of subjects and to
Feldman, Stephen M., ed. Law and Religion: A Critical Anthology.
achieve common interests while maintaining the diversity of
New York, 2000.
basic social structures. This is the only way out of the mod-
Finnis, John. Natural Law and Natural Rights. Oxford, and New
ern deconstruction of traditional norms of social conduct
York, 1980.
without turning social organization entirely over to the ob-
Fuller, Lon. The Morality of Law. New Haven, Conn., 1969.
jectivizing strategic calculations of social scientists and legal
George, Robert P., ed., Natural Law Theory: Contemporary Essays.
theorists. Habermas aims to reconstruct the contemporary
Oxford, and New York, 1992.
system of law around the notion of popular sovereignty in
such a way that legal subjects organize for themselves the po-
Greenawalt, Kent. Conflicts of Law and Morality. New York, 1989.
litical power they possess and structure their social interac-
Habermas, Jürgen. Legitimation Crisis. Translated by Thomas
tions so as to achieve certain strategic interests in a social
McCarthy. Boston, 1975.
order that is otherwise diverse, plural, and incommensurable.
Habermas, Jürgen. Between Facts and Norms: Contributions to a
Discourse Theory of Law and Democracy. Translated by Wil-
Legal structures can thus be the result of both the ratio-
liam Rehg. Cambridge, Mass., 1996.
nal reflection and the willful intention of humans who create
Hart, H. L. A. Law, Liberty, and Morality. Stanford, Calif., 1963.
social order through processes of interaction, using all of the
capacities that human beings can creatively bring to bear on
Hart, H. L. A. “Positivism and the Separation of Law and Mor-
the task. While this rational intentionality can be utilitarian
als.” In Essays in Jurisprudence and Philosophy. Oxford, and
New York, 1983.
and calculative, many modern theorists have shown how the
law is also infused with moral intentions based in rational re-
Hart, H. L. A. The Concept of Law. 2d ed. Oxford, and New York,
flection, natural desires, subjective goals, and religious belief.
1994.
Indeed, it could be argued that legal systems are not simply
Hobbes, Thomas. Leviathan (1651). Edited by Richard Tuck.
institutions that are obeyed through threat of coercion, but
Cambridge, U.K., and New York, 1996.
depend for their smooth operation and flourishing on per-
Hume, David. An Enquiry Concerning Human Understanding
sons who, ennobled by their religious and moral sentiments,
(1748). Edited by Eric Steinberg. Indianapolis, 1977.
actively cooperate and participate in social order through
Kant, Immanuel. The Metaphysics of Morals (1875). Translated by
law. Since legal structures safeguard individuals and commu-
Mary Gregor. Cambridge, U.K., and New York, 1991.
nities from harmful and destructive forces, regulate interac-
Locke, John. Two Treatises of Government (1690). Edited by Peter
tion so that freedom is maximized, and create conditions of
Laslett. Cambridge, U.K., 1960.
stability and order which allow humans to flourish, the law
Machiavelli, Niccolò. The Prince (1517). Translated by Harvey
achieves goals important for many persons of moral and reli-
Mansfield. Chicago, 1998.
gious goodwill. Thus, the pursuit of earthly justice is suffi-
Mill, John Stuart. On Liberty (1859). In The Basic Writings of John
ciently described by non-moral criteria, which, for some, can
Stuart Mill. New York, 2002.
be at the same time a religious and moral task. Yet in the
Patterson, Dennis, ed. A Companion to Philosophy of Law and
modern state, participation as a legislator or citizen is largely
Legal Theory. Cambridge, Mass., 1996.
a task driven by legal criteria and goals.
Pound, Roscoe. An Introduction to the Philosophy of Law. New
Haven, Conn., 1954.
BIBLIOGRAPHY
Augustine. City of God (413–426). Translated by George E. Mc-
Rawls, John. A Theory of Justice. Cambridge, Mass., 1971.
Cracken. Cambridge, Mass., 1957.
Rawls, John. Political Liberalism. 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
LAW AND RELIGION: LAW, RELIGION, AND PUNISHMENT
5371
Raz, Joseph. The Authority of Law: Essays in Law and Morality.
ment was often a ritual of purification that, once completed,
Oxford, and New York, 1979.
discharged fully the guilt of the offense. Although this may
Raz, Joseph. Ethics in the Public Domain: Essays in the Morality of
run counter to the modern understanding of punishment as
Law and Politics. Oxford, and New York, 1994.
designed to prevent further harm, it did contribute to the
Tocqueville, Alexis de. Democracy in America (1835, 1840).
maximization of certainty within the legal system. Punish-
Translated by Harvey C. Mansfield and Delba Winthrop.
ments enforced by authorities in this world were supple-
Chicago, 2000.
mented, and occasionally replaced, by threatened punish-
ments in the afterlife or next life, which the English
Weber, Max. The Protestant Ethic and the Spirit of Capitalism
(1905). Translated by Talcott Parsons. London, 1992.
Utilitarian legal reformer Jeremy Bentham (1748–1832), the
foremost philosopher of punishment in the common law tra-
Weber, Max. “Politics as a Vocation.” In From Max Weber: Essays
dition, referred to as “religious sanctions.” Christian repre-
in Sociology. Translated by H. H. Gerth and C. Wright Mills,
sentations of Hell are paralleled by Hindu and Buddhist de-
pp. 77–128. New York, 1946.
pictions of the suffering caused in hells or other realms, or
Witte, John Jr., and Frank Alexander, eds. The Weightier Matters
in subsequent reincarnations in this world, through the con-
of the Law: Essays on Law and Religion. Atlanta, 1988.
sequences of one’s actions (karma) in this life. The social
MICHAEL KESSLER (2005)
function of such devices is to enhance obedience to the law
by augmenting the severity and/or certainty of punishment,
especially in the absence of other effective mechanisms of
legal enforcement. As Bentham argued, when such threats
LAW AND RELIGION: LAW, RELIGION, AND
are no longer taken seriously, they are mere fictions that do
PUNISHMENT
not serve the purposes of law.
Punishment represents a crucial intersection between law
and religion. As many scholars have noted, in its origins law
One of the difficult questions, from a modern perspec-
was closely connected with and often indistinguishable from
tive, is how far to extend the definition of “punishment” to
religion, and much of this early law was penal. The areas of
religious law. If this term is restricted to the type of punish-
private law and contract developed more gradually, although
ment associated with positive law, namely a sanction en-
the relationships and transactions that these areas of law for-
forced by authorities in this world for violation of a com-
malized were always present in society. This primacy of penal
mand, then it excludes many types of religious law. Some
law is hardly surprising, if we consider that the first obliga-
religious laws prescribe no specific punishment for their vio-
tion of the law, even before the advent of a concept of the
lation. An example is the Ten Commandments (Ex. 20),
state, was to preserve the security and well-being of individu-
which express commands (“Thou shalt [not]”) without spec-
als. Prior to modernity, law was often reinforced by an ex-
ifying sanctions. (However, sanctions for many of its com-
plicitly religious cosmology. Violations of the law were inter-
mands were specified elsewhere in the Pentateuch.) Threat-
preted as transgressions against the cosmic order, and were
ened retributions in the afterlife or next life lack, from a
punished accordingly. As the French sociologist Émile
modern perspective, the certainty of state-enforced sanc-
Durkheim (1858–1917) argued, offenses against our “collec-
tions. Many expiations and penances prescribed by religion
tive representations” were treated with special severity in
are self-imposed, rather than being imposed by the state. As-
early society.
cetic practices are prospective and prophylactic rather than
retributive: they seek to bring about a condition of religious
Modern, secular law no longer invokes an explicitly reli-
purity, rather than to compensate for some offense already
gious cosmology. The term law is now applied almost exclu-
committed. Trials by ordeal and judicial torture, on the
sively to positive law, meaning discrete rules promulgated by
other hand, are regarded as processes of truth-finding, rather
the state or its agents, and enforced by their sanctions. The
than substantive punishments for crimes for which guilt has
state now has a monopoly on punishment. Compliance with
already been determined. Despite these differences, there are
religious rules or norms, which are often called “morals” to
also profound similarities among these religious phenomena.
distinguish them from positive law, is voluntary rather than
They are all types of violence, often employing the same
coercive. The process by which religion lost its ability to en-
techniques, and they serve moral or spiritual ends, or what
force its provisions, and by which, at the same time, a secular
we may in a broader sense call “justice.”
legal order developed that no longer required the explicit
sanction of religion, is one of the key transformations in the
The German philosopher Friedrich Nietzsche (1844–
history of law. The present article focuses primarily on de-
1900), in On the Genealogy of Morals (1887), emphasized the
scribing this transformation in Western law and conceptions
continuities among punishments, religious ideas of retribu-
of punishment, although examples from other cultures are
tion, and asceticism. He argued that all of these phenomena
occasionally provided.
were manifestations of a fundamental “will to power.” In as-
PUNISHMENT AND ASCETICISM IN RELIGIOUS LAW. In the
ceticism, the human organism turned this will against both
vast majority of premodern traditions, religion played an im-
the world and its own nature. The ultimate expression of this
portant role in reinforcing a moral order. Ancient punish-
cruelty was the idea of God as both sacrifice and executioner.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5372
LAW AND RELIGION: LAW, RELIGION, AND PUNISHMENT
The greater physical cruelty of pre-modern punishments was
gious groups is the tendency to view prosperity as a sign of
a means of impressing moral obligations upon the memory.
Providence, and misery as a sign of God’s wrath. One re-
sponse to these “divine punishments” is the attempt to ward
Among the aspects of religious law most alien to mod-
them off by means of sacrifices and self-imposed punish-
ern law is its association of moral purity or innocence with
ments. An example is the Massachusetts Bay Colony during
physical or ritual purity, as evidenced by restrictions on diet,
the seventeenth century, which progressively added rules
dress, and sexual behavior, which we may broadly term “rules
against frivolous and irreligious conduct such as gambling,
of asceticism.” Leviticus and the Laws of Manu provide nu-
idling, and sabbath-breaking. These were in part extensions
merous examples within the Jewish and Hindu traditions, re-
of religious law, and in part responses to the hardships and
spectively. More severe forms of asceticism included the self-
depredations of colonial life viewed as retribution for moral
infliction of bodily pain. Although similar restrictions, and
backsliding. Such legal developments culminated, infamous-
voluntary practices such as vegetarianism, tattooing, and
ly, in the Salem witch trials at the end of the century, which
body-piercing, are prevalent in modernity, they are, with few
Mary Beth Norton (In the Devil’s Snare, 2002) interprets as
exceptions, no longer part of positive law. Rules of asceticism
an internal response to attacks from forces outside, including
often appear to conflate law with punishment. In other
native Americans. Speaking more generally and from a socio-
words, the command that constitutes the law in many cases
biological perspective, Walter Burkert explains sacrifice,
also itself entails physical suffering or deprivation. Although
scapegoating, and atonement as measures for alleviating anx-
any law is in some sense a restriction, modern, positive law
iety (Creation of the Sacred, 1996). Although such attitudes
clearly separates a command from a sanction attendant upon
and practices may appear to be quite distant from modern
its violation.
legal punishment, they remain deeply entrenched in human
In his Introduction to the Principles of Morals and Legisla-
psychology.
tion (1781), Bentham argued that the sole rational basis for
Similar ideas served within the Christian tradition to
law was utility, meaning the principle of the greatest good
structure a grand narrative of history, both communal and
for the greatest number. He understood “good” and “plea-
individual. Adam’s sin of disobeying God was inherited by
sure” as synonyms. Pain of any sort, including punishment,
all humans as “original sin.” Christ redeemed this sin
was an evil that could be justified only in the interest of
through the Passion, which combined the ideas of sacrifice
avoiding greater pain. Consequently, he opposed the princi-
and punishment. However, individuals still needed to give
ple of utility to that of “asceticism” associated with religion.
their voluntary assent and belief to this salvation, or they
From his view, asceticism maximized pain for its own sake.
would be subjected to the terrors of Hell. While threatening
He also argued that deriving the idea of moral purity from
future punishment, this system emphasized moral and spiri-
that of physical purity was a pernicious fiction. (In her analy-
tual reform, in marked contrast with the modern emphasis
sis of the dietary provisions of Leviticus, the anthropologist
on the deterrence and isolation of offenders. The Christian
Mary Douglas presented a more sympathetic analysis of the
system of punishment may have reached its fullest develop-
contribution of such ascetic regulations in contributing to a
ment with the proliferation of penitential manuals in the
symbolic moral order.) From the religious perspective, the
Middle Ages. These manuals elaborated different rules for
purpose of asceticism, as a kind of prophylactic punishment,
different social groups, extending to the populace at large a
is often precisely the avoidance of greater pain in the future,
system of discipline that had previously been confined to the
such as an eternity in Hell. Therefore, even from the perspec-
monastery. The anthropologist Talal Asad argues that the
tive of a utilitarian calculus, asceticism can be rational. What
goal of penance was to produce disciplined social bodies;
explains Bentham’s rejection of asceticism is not its applica-
the quest for individual spiritual perfection was pursued
tion of pain, but rather his disbelief in such future punish-
within communities and manifested in social relations. He
ments, and in the ability of asceticism to prevent them.
emphasizes the connection of such penitential practices with
Suffering is, of course, universal, even when we do not
the rise of the inquisitorial system, which used judicial tor-
impose it on others as punishment, or on ourselves as asceti-
ture as its basic method of truth-finding.
cism. The problem of accounting for suffering or evil is pe-
RETRIBUTION: FROM RELIGION TO MODERN LAW. Another
rennial, and it shows the close connection of punishment
feature of pre-modern religious law that presents problems
with theodicy, or the vindication of God’s justice. People
of interpretation from a modern perspective is its emphasis
look for meaning even, and perhaps especially, where there
on retribution or retaliation. The so-called “law of talion”
is none apparent. This explains the tendency to interpret suf-
(lex talionis) provided a strict equivalence between the pun-
fering as a punishment for wrongs previously committed.
ishment imposed on the criminal and the original injury im-
The Hindu and Buddhist doctrine of karma is often invoked
posed on his or her victim. Perhaps the most famous example
not only to threaten future punishment, but also to explain
is the formula that occurs in several places in the Hebrew
present suffering as the result of actions in a past life. Among
Bible: “a life for a life, an eye for an eye, a tooth for a tooth”
biblical texts, the Book of Job grapples most explicitly with
(Exodus 21:23–24; Deuteronomy 19:21; cf. Leviticus 24:20).
this problem of suffering, but ultimately preserves the inscru-
Variations of talion are also found in many other, especially
tability of God’s interventions. More common among reli-
pre-modern cultures.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW, RELIGION, AND PUNISHMENT
5373
Modern theorists frequently have characterized retribu-
tainty of punishment. Another means was to employ punish-
tion as “barbaric” or “primitive.” Durkheim emphasized the
ments that were “characteristic” of the offense, namely that
connection of retribution with primitive forms of social orga-
bore some analogy to it. For example, arsonists might be
nization. For him, retribution represented a kind of blind
burned, and forgers might have their hands pierced with iron
passion striking out against any potential target. The English
pens. Bentham explicitly approved talion, or strict equiva-
legal historians Frederick Pollock (1845–1937) and Frederic
lence of injury, among the means of making punishments
William Maitland (1850–1906) condemned the adoption in
characteristic. Such punishments were not only more memo-
medieval England of the law of talion as a throwback to Juda-
rable, but more popular among the public. Bentham’s con-
ism. Part of the modern attitude toward retribution can be
cept of punishment as a form of rhetoric, combined with his
traced to the secular Enlightenment, as exemplified by the
principle of minimizing (real) suffering, led him to endorse
Italian philosopher Cesare Beccaria’s (1738–1794) influen-
the use of illusory punishments, such as hangings in effigy,
tial treatise Of Crimes and Punishments (1764), which argued
if these could serve the same deterrent effect as real punish-
against the use of torture and other cruel and unnecessary
ments.
punishments. Another part of the modern attitude toward
retribution, however, echoes Christian sources. Jesus said:
Bentham’s modern philosophy of punishment as a form
“You have heard it said, ‘An eye for an eye and a tooth for
of communication or rhetoric suggests a new interpretation
a tooth.’ But I say to you, . . . if any one strikes you on the
of retribution in pre-modern law. In many cases, retribution
right cheek, turn to him the other also. . . .” (Mt 5:38–39).
may have been used to reinforce the association between
Of course, no actual legal system can operate without the use
crime and punishment. The primary devices used to pro-
of sanctions. Christian antinomianism is more an ideal than
mote this association were metaphor (similarity) and meton-
a reality.
ymy (contiguity), although, as described below, sometimes
rhyme or other verbal associations were also used. Talion it-
A primary reason for the modern ambivalence toward
self prescribed one form of similarity, namely equivalence of
retribution is a transformation in the understanding of the
injury. Other punishments based on similarity are found, for
purpose served by punishment. Modern legal theory general-
example, in Manu 11:104, according to which a student who
ly recognizes several legitimate reasons for punishment: de-
sleeps with his teacher’s wife is supposed to embrace a red-
terrence of prospective crimes; the separation of offenders
hot iron statue of a woman. An example of a punishment
from society (“isolation”), especially through incarceration;
based on contiguity is Manu 8:334, which prescribes that
and the reform and rehabilitation of offenders. Each of these
whatever limb a thief uses to commit a crime should be cut
serves the basic goal of preventing further or future harm.
off. Retribution, far from being primitive, was in many cases
Retribution, except to the extent that it coordinates with one
a carefully orchestrated ritual practice designed to deliver the
of these other purposes, does not prevent future harm. For
“message” of a connection between crime and punishment.
this reason, it has a somewhat disreputable status in modern
As James G. Frazer (1854–1941) pointed out in his classic
law. However, the continuing use of capital punishment and
The Golden Bough, magical rituals also often depend on rela-
the introduction of a concept of victim’s rights in the United
tions of similarity and contiguity. To harm an opponent, a
States show that the concept of retribution still has some
magician may stick a pin into a voodoo doll resembling the
popular appeal.
intended victim, or burn an article of their hair or clothing.
These relations of similarity and contiguity are interpreted
For Bentham, as noted above, punishment was a further
as both causes and signals of the goal the ritual seeks to bring
evil that could be justified only by its deterrent effects. On
about. Although punishment looks backward to an offense
these grounds, punishment for the sake of retribution alone
already committed, it depends on similar associations.
was no more justified than asceticism. Threats of retribution
at the hand of the deity might be justified as deterrents.
The communication function of punishment may be cl-
However, if actually imposed, an eternal punishment in the
earest in those cases where the association with the crime is
afterlife for offenses already committed would be grotesquely
verbal and rhythmic. Manu 5:55 prescribes vegetarianism
disproportional and devoid of deterrent justification. Despite
with a pun: “The being whose flesh (mam:sa) I eat in this
his rejection of retribution for its own sake, Bentham em-
world, that creature (sa) will eat me (mam) in the next
braced retribution as a device for enhancing the deterrent ef-
world.” Probably the most elaborate “poetic punishment”
fect of punishments. Following an older English philosophi-
occurs in Dante’s Divine Comedy, which used the new verse
cal tradition that regarded mental operations as the result of
form of rhymed tercets to make everything in the poem re-
the association of ideas, he argued that the function of the
flect the Holy Trinity: even the three-headed Satan, who ap-
law was to create an ideal association between crime and
pears at the end of the Inferno as the upside-down, mirror-
punishment, so that when the criminal thought of commit-
image of the Holy Trinity revealed at the end of the Paradise.
ting a crime, the idea of the punishment would immediately
Another example, discussed by Bernard Jackson, is Leviticus
come to mind and deter the commission of the offense. Some
24:13–23, which encompasses the talionic formula (“an eye
of the means of reinforcing the mental association between
for an eye”) at its center in an elaborate chiasmus or quasi-
crime and punishment were to increase the speed and cer-
palindrome, where the first sentence parallels the last, 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
5374
LAW AND RELIGION: LAW, RELIGION, AND PUNISHMENT
second the second-to-last, and continuing along in that vein.
grappled with the question of how to replace the religious
The entire passage imitates, on a larger scale, the reciprocity
sanction, or threat of punishment from the deity, given the
of the talionic formula. The passage narrates God’s com-
decline in religious belief. One response was the “Panno-
mand to punish a blasphemer, and the community’s obedi-
mion,” a comprehensive legal code that supplied the lack of
ence to this command. It therefore depicts a successful act
clear and effective sanctions. The Panopticon, as the archi-
of communication, in which God’s message has been heard.
tectural counterpart of this code, similarly replaced the polic-
Palindromes, or inversions of word order, are used in many
ing function of an omniscient deity, and reintroduced the
languages to promote communication, for example in greet-
fear of retribution from an invisible guardian. Bentham may
ings and questions. Talion may have used similar devices to
even have had such religious parallels in mind: the Panopti-
reinforce the “message” of punishment.
con incorporated, within its inner circles, space for a chapel;
its inmates were supposed to be occupied in religious devo-
RELIGION IN MODERN PUNISHMENT. The concept of retri-
tion; and, perhaps most revealingly, Bentham acknowledged
bution, if not its more elaborate symbolic formulations, has
the religious connotations of the “apparent omnipresence”
been difficult to exorcise from modern law. In other respects,
he attributed to its guards (Bentham, vol. 4, p. 45).
however, modern punishment appears quite different from
its pre-modern ancestors. One of these differences is its great-
Furthermore, religion, including especially evangelical
er emphasis on incarceration. Michel Foucault’s (1926–
movements for social reform, played an important role in the
1984) classic Discipline and Punish identified several stages
rise and development of the modern penitentiary system.
in the development of punishment, beginning with the
Specifically, the ideas of reform and rehabilitation owed
“symbolic tortures” of the ancien régime in pre-
much to evolving Christian models. The influence of such
Enlightenment France. In a fashion closer to the older prac-
ideas continues, especially in the form of voluntary programs
tices of penance and torture, these punishments operated di-
of religious instruction offered in prisons. As previously
rectly upon the body of the offender, producing visible signs
noted, the modern law of punishment minimizes—in actual
of the law’s power. Such punishments gave way to the “ana-
practice if not in rhetoric— the goals of reform and rehabili-
logical penalties” of the Enlightenment reformers, in which
tation, and maximizes deterrence and, increasingly, the isola-
the goal was instead to construct a sign-relation or associa-
tion of offenders through incarceration. Religious programs
tion between the ideas of crime and punishment, so as to
in prisons, although extra-legal, fill for some prisoners the
deter the prospective criminal. Torture was now viewed as
important function of rehabilitation, especially through the
an evil connected with the cruelest and most superstitious as-
well-known phenomenon of “jail-house conversions.” In this
pects of religion. As we have seen, Bentham belongs mainly
way, older religious models of punishment as spiritual reform
to this stage of punishment.
make a significant contribution to prisoners’ constructions
of narratives of redemption. Famous examples are The Auto-
Foucault, however, took another aspect of Bentham’s
biography of Malcolm X (1965) and the film Dead Man Walk-
system of punishment, the circular prison called the Panopti-
ing (1995).
con, as the prime illustration of the modern stage of punish-
ment based on incarceration, regimentation, and constant
In the sentencing of offenders in the modern United
surveillance. The Panopticon consisted of a ring of prison
States, there are further intersections between law and reli-
cells surrounding a guard tower at the center. The cells were
gion. Religious arguments play an important role on both
lighted from behind and their occupants were visible to the
sides of the debate over capital punishment. A less sensation-
guards, who were shuttered and invisible from the stand-
al but more widespread aspect of modern punishment is the
point of the prisoners. As no one knew when she was under
statutory prescription of mandatory, fixed sentences for par-
surveillance, the structure itself was supposed to promote
ticular offenses, to the exclusion of judicial discretion. Critics
good behavior. As Foucault convincingly demonstrated, the
of mandatory sentences usually point to the unduly harsh
Panopticon was a paradigmatic, if extreme, example of cer-
punishments that may result when individual circumstances
tain modern institutions, such as the factory and the school,
are not taken into account. On the other hand, allowing ju-
which also promote surveillance and self-policing.
dicial discretion can lead to the inequitable result that differ-
ent punishments are awarded to different defendants for the
Although Foucault did not address the religious dimen-
same offense. This debate echoes the Christian dichotomy
sions of Bentham’s philosophy of punishment and of mod-
between strict justice and mercy, and potentially places the
ern practices of incarceration, several considerations suggest
latter in opposition to modern egalitarianism, which also has
the continuity of such ideas and practices with older religious
religious roots.
models. The first is that the modern prison bears numerous
structural and functional parallels to cenobitic monasticism,
CONCLUSION. The separation of religion from positive law
which gave us the original meaning of the terms cell and peni-
poses a potential problem for law, in that it represents the
tent(iary). Asad has drawn on Foucault’s work to illuminate
decline of the belief in a moral cosmos, and the loss of an
aspects of this older tradition. In each case regimentation, in-
earlier consensus regarding the purposes of punishment.
cluding confinement, served the goal of producing a subjec-
Modern law has provided its own replacements for the reli-
tion that was internal as well as external. Bentham often
gious sanction, but the difficulties of promoting deterrence,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW AND NEW RELIGIOUS MOVEMENTS
5375
the absence of effective mechanisms of reform, and, above
Lea, Henry C. Superstition and Force. 2d rev. ed. Philadelphia,
all, the reliance on mass incarceration illustrate the nature of
1870.
the challenge. Tim Murphy (The Oldest Social Science?,
Malinowski, Bronislaw. Crime and Custom in Savage Society. Lon-
1997) argues that the older system of religious law constitut-
don, 1926.
ed a “penetrative scheme” in which outer practices shaped
Megivern, James J. The Death Penalty: An Historical and Theologi-
the interior being, or “juridical soul.” By contrast, the mod-
cal Survey. New York, 1997.
ern, social scientific view of punishment emphasizes the con-
Merback, Mitchell. The Thief, the Cross, and the Wheel: Pain and
straint of external conduct, and may weaken the hold of law
the Spectacle of Punishment in Medieval and Renaissance Eu-
on the subject. Bentham struggled to preserve a penetrative
rope. Chicago, 1999.
scheme of punishment by borrowing elements from religion:
Nietzsche, Friedrich. On the Genealogy of Morals. In Basic Writings
the principle of retribution, ritual displays including illusion-
of Nietzsche, translated by Walter Kaufmann, pp. 439–599.
ism, the fiction of an omnipresent prison guard. Apart from
New York, 1968.
the proliferation of techniques of surveillance, these recom-
Smith, Peter Scharff. “A Religious Technology of the Self: Ratio-
mendations have, by and large, not been followed in modern
nality and Religion in the Rise of the Modern Penitentiary.”
punishment. In response to the arguments by some commu-
Punishment and Society 6 (2004): 195–220.
nitarian theorists in favor of the use of symbolic “shaming”
Yelle, Robert A. “Rhetorics of Law and Ritual: A Semiotic Com-
punishments, Martha Nussbaum argues against the appro-
parison of the Law of Talion and Sympathetic Magic.” Jour-
priateness, and indeed the humanity, of such practices and
nal of the American Academy of Religion 69 (2001): 627–647.
the emotions they produce (Hiding from Humanity: Disgust,
Shame, and the Law, 2004). As the debate over how to con-
ROBERT A. YELLE (2005)
stitute a system of punishment that is both moral and effec-
tive continues, questions of religion are never far from view.
LAW AND RELIGION: LAW AND NEW
SEE ALSO Afterlife; Atonement; Ordeal; Purification; Re-
RELIGIOUS MOVEMENTS
venge and Retribution; Sin and Guilt.
New religious movements (NRMs), sometimes referred to
pejoratively as “cults” or “sects,” have tested the boundaries
BIBLIOGRAPHY
of social control in many societies in the West since they de-
Alighieri, Dante. The Divine Comedy. Translated by John Sinclair.
New York, 1939.
veloped several decades ago, first in the United States, and
then in other countries. Indigenous NRMs, have also devel-
Asad, Talal. Genealogies of Religion: Discipline and Reasons of Power
oped in non-Western countries such as China, where the
in Christianity and Islam. Baltimore, 1993.
Falun Gong emerged some years ago, much to the consterna-
Bartlett, Robert. Trial by Fire and Water: The Medieval Judicial
tion of the Chinese government. Legal solutions have often
Ordeal. Oxford, 1986.
been sought to the perceived need to exert social control over
Beauchamp, Philip [Jeremy Bentham and George Grote]. Analysis
NRMs. This need for control is often promoted in Western
of the Influence of Natural Religion on the Temporal Happiness
countries by participants in what sociologists refer to as the
of Mankind. London, 1822; reprint, Amherst, N.Y., 2003.
“anticult movement” (ACM), made up of disaffected former
Beccaria, Cesare. Of Crimes and Punishments. Translated by Jane
members, parents of participants, leaders of a few traditional
Grigson. Oxford, 1964.
religious groups, political leaders, and even, on occasion,
Bentham, Jeremy. Works. Edited by John Bowring. 11 vols. Edin-
journalists. In both Western and non-Western countries, po-
burgh, 1843.
litical, legal, and judicial officials at every level have occasion-
Doniger, Wendy, and Brian K. Smith, trans. The Laws of Manu.
ally combined in efforts, often supported by the media, to
London, 1991.
exert control over NRMs. Thus the law, in some societies,
Douglas, Mary. Purity and Danger: An Analysis of the Concepts of
has become a major instrument of social control over NRMs,
Pollution and Taboo. London, 1984.
encouraging the courts to affirm community norms and val-
Durham, W. Cole, Jr. “Religion and the Criminal Law: Types and
ues as well as political ideology to the disadvantage of NRMs
Contexts of Interaction.” In The Weightier Matters of the
and other minority faiths.
Law: Essays on Law and Religion, edited by John Witte, Jr.
Legal actions against NRMs in various societies have
and Frank S. Alexander, pp. 193–227. Atlanta, 1988.
used preexisting laws, creative extensions of existing laws and
Durkheim, Émile. The Division of Labor in Society. Translated by
legal procedures, and even new legislation. The application
George Simpson. Glencoe, Ill., 1947.
of law to NRMs in different countries and regions of the
Foucault, Michel. Discipline and Punish: The Birth of the Prison.
world has varied considerably. These major applications of
Translated by Alan Sheridan. New York, 1995.
law as an instrument of social control over NRMs will be ex-
French, Rebecca. The Golden Yoke: The Legal Cosmology of Bud-
amined, as will efforts by NRMs to make use of the law to
dhist Tibet. Ithaca, N.Y.,1995.
challenge their detractors.
Jackson, Bernard. Studies in the Semiotics of Biblical Law. Shef-
CONSERVATORSHIPS AND NRMS. When NRMs first came
field, U.K., 2000.
to the attention of the general public and policymakers 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
5376
LAW AND RELIGION: LAW AND NEW RELIGIOUS MOVEMENTS
the United States, they were not viewed as a social problem.
conservatorship, they were found to be quite useful for a time
That changed quickly when it became clear that many
in civil actions against unpopular religious groups by former
NRMs in the U.S. and other Western societies were high-
members and their parents. While there is no sanctioned
demand religions—that is, religions requiring extensive com-
legal action that can be based on a claim of brainwashing,
mitment and lifestyle changes in the lives of their members.
these claims were used to underpin a number of other tradi-
Young, relatively affluent members of society were dropping
tional civil legal actions, such as fraud, deception, and inten-
out of school, becoming missionaries, or fund-raising on the
tional infliction of emotional distress.
streets of the United States and elsewhere. Parents of some
recruits in the United States sought help from government
For a number of years, judges and juries in the United
officials, but that was not easily obtained, given that the First
States often accepted such claims and sometimes awarded
Amendment of the United States Constitution guarantees
large monetary damages. Eventually, legal claims based on
religious freedom, and because most participants in NRMs
brainwashing were disallowed, this time by decisions in fed-
were of legal age. This impasse led some parents to self-help
eral courts. The major decision was Fishman v. United States
solutions, such as kidnapping and “deprogramming,” some-
(1990, N.D. California), a criminal case involving a former
times combined with legal efforts to exert control. In coun-
member of the Church of Scientology who was charged with
tries without First Amendment protections and with a more
mail fraud. He claimed an insanity defense and said he was
paternalistic approach toward citizens, direct state interven-
brainwashed by Scientology into committing criminal acts.
tion often replaced such self-help methods.
His defense was not allowed, on the grounds that brainwash-
ing was not a concept generally accepted within relevant sci-
The first use of the legal system against NRMs in the
entific disciplines. A federal civil case had also disallowed a
United States was to seek temporary guardianships or conser-
claim of brainwashing two years earlier in a case involving
vatorships. This gave parents legal control over their children
a suit by a former practitioner of Transcendental Meditation
and the assistance of law enforcement in the effort to secure
(Kropinski v. World Plan Executive Council, D.C. Circuit,
physical custody over, and even to deprogram, the young
1988). After these decisions, brainwashing-based actions be-
convert. Conservatorship laws are pervasive in the United
came less prevalent in the United States.
States, but their main focus is to allow adult children to as-
Legal theories based on brainwashing were more suc-
sume responsibility for elderly parents who can no longer
cessful as a defense in the United States when used, not by
fend for themselves. Use of conservatorship laws against par-
former NRM members, but by those who had kidnapped
ticipants in NRMs began in the mid-1970s, and it was suc-
them for purposes of deprogramming and had then been
cessful for several years, with the courts conveniently forget-
sued for false imprisonment or even charged with criminal
ting that the subjects of the laws were not elderly people, but
kidnapping. Deprogrammers would use a “necessity” or
young people who had joined a religious group of which
“choice of evils” defense, claiming that, because the NRM
their parents did not approve. The courts being asked by a
or “cult” member had been brainwashed and was under
parent to grant a conservatorship sometimes made a prob-
mind control, the deprogrammer had committed the lesser
lematic assumption that young people who had chosen to
of two evils. Such defenses, which were usually allowed, per-
participate in a newer religious group were, by so doing,
mitted the defendant to introduce evidence concerning the
demonstrating a lack of mental competence akin to that
beliefs and lifestyle of the NRM in question, something that
sometimes seen in elderly people suffering from dementia.
was usually not permitted under the First Amendment of the
Such uses of the law were dealt a severe blow in the
United States Constitution. However, such cases have be-
United States in 1976. In Katz v. Superior Court, the Califor-
come increasingly rare, as incidents of deprogramming and,
nia Supreme Court overruled a lower-court decision allow-
indeed, sentiments against NRMs have declined in recent
ing parents of several adult members of the Unification
years.
Church to apprehend the members by court order for pur-
At the same time, legal claims based on brainwashing
poses of deprogramming them. This case occurred in Cali-
have been gaining credence outside the United States in a
fornia, but it became persuasive precedent in other parts of
number of countries where NRMs are viewed by some as a
the country, and the use of conservatorship laws for purposes
major social problem. Such theories have become an impor-
of deprogramming waned. Efforts were made in a number
tant cultural export from the United States, where they first
of American states to change conservatorship laws to apply
came to prominence during the decades-long battle against
to young adults joining NRMs, but none of these efforts was
communism, but then were transformed for application
ultimately successful, although some came close.
against NRMs. Countries where the concept of brainwash-
BRAINWASHING CLAIMS IN LEGAL ACTIONS. Claims that
ing has achieved some legal currency include some in western
participants in NRMs had been brainwashed surfaced early
Europe, in Catholic regions such as South America, and in
in the United States as a part of efforts to exert social control
countries that were affiliated with the former Soviet Union.
over NRMs. Such claims were initially considered almost
Early in the twenty-first century, claims of brainwashing
prima facie evidence that a conservatorship was needed.
continued to justify hundreds of deprogrammings in Japan,
While such claims ultimately failed in legal contests over
especially of members of the Unification Church, sometimes
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAW AND RELIGION: LAW AND NEW RELIGIOUS MOVEMENTS
5377
by Protestant ministers. The term brainwashing has even sur-
schooling, corporal punishment, health care, and the possi-
faced in China, as part of efforts by the state to exert control
ble sexual abuse of children.
over the spread of Falun Gong.
Home schooling is legal in some Western countries if
In some other countries claims of brainwashing have
carried out with reasonable supervision of the state authori-
been used to undergird new legislation designed to make it
ties to ensure that the child is being given at least a minimal
harder for NRMs to secure new converts. In France, for ex-
education level. However, in some societies, such as France
ample, new legislation was passed in 1990 making “mental
and Germany, home schooling is not legal to the degree it
manipulation” a crime. In Russia, a 1997 revision of a liberal
is in the United States and elsewhere. The very attempt to
new law concerning religions attempted to prevent NRMs
school children at home may be viewed by state authorities
from coming into the country. Often, as in Russia, such new
and the general public as a form of child abuse.
laws have the backing of traditional churches.
Some religious groups also practice corporal punish-
LEGAL CONCERNS DERIVING FROM THE PRESENCE OF CHIL-
ment with children, such as spanking them for misbehavior.
DREN IN NRMS. Another major arena of legal action against
Spanking can be, and has been, quickly translated by the
NRMs involved children. As the NRMs in Western coun-
media into “beating” the children, which is thought to be
tries matured, families were often formed, and children were
child abuse by most citizens and policymakers. Such claims
born into the groups—a development that had significant
have arisen in custody disputes involving NRMs in a number
“domesticating” effects on the NRMs. The presence of chil-
of countries. Some episodes of extreme physical punishment
dren also eventually led to two major, and sometimes related,
have occurred in a few religious groups, and those have been
types of legal problems. First, custody battles erupted when
seized by the media, leaving an impression that all or most
one member of a couple in the group decided to divorce the
unconventional religious groups beat their children and,
partner or leave the group with their children. A second
therefore, commit child abuse.
problem arose when the state entered the picture to varying
degrees, exerting control over how the children were cared
Health-care needs of NRM children are also of concern
for and schooled. Indeed, the state was often obligated to in-
for authorities of the state. These concerns have been made
tervene if certain types of accusations were made, and some-
more prominent in recent decades by controversies over the
times graphic accusations of child abuse, including sexual
refusal of blood transfusions by Jehovah’s Witnesses and the
abuse, were made in the heat of a custody battle.
rejection of standard health care in favor of “spiritual heal-
ing” by Christian Scientists. The experience of these groups,
Custody of children is always a major issue when cou-
and their treatment by the media and the courts, have estab-
ples divorce. The issue becomes even more salient when one
lished important precedents for the way that health concerns
member of a couple is of a different faith, particularly a
relating to children in NRMs are dealt with. A common ste-
member of a “high demand” religion that has strict expecta-
reotype regarding NRMs is that they do not use traditional
tions about how to rear children. Courts in most modern so-
medical care, but rely only on prayer or similar methods
cieties are supposed to make custody decisions based on the
when children become ill. Although this stereotype is gener-
criterion of “best interest of the child,” which is a very flexi-
ally false, its prevalence has supported state intervention into
ble guideline allowing much discretion on the part of the
the health and well-being of NRM children.
judge or other authorities of the state. Often custody deci-
sions are made that favor the party who is not a member of
The most significant accusation that can be and has
an NRM or other controversial religious group. The court
been raised against some NRMs is that of child sex abuse.
may exercise its judgment in a manner that illustrates the
Such accusations, which have become more prevalent in
normative function of courts of making decisions that reflect
child-custody disputes involving ordinary members of soci-
the basic values of a society. The view of what is, and is not,
ety, change the entire dynamic of a divorce action. When
an acceptable religion is often used to justify custody deci-
they are made in a situation involving a controversial NRM,
sions by the courts.
as they have been by some in the anticult movement or in
child-custody disputes, then the impact is even greater and
When custody battles become rancorous, claims of vari-
can lead to immediate state intervention in the NRM in a
ous kinds of child abuse may surface, and these may be com-
number of countries around the world. Large numbers of
municated via the media or directly to state authorities who
children of NRM members have been seized in raids by state
may choose, or be obligated, to act on them. In many mod-
authorities in Argentina, Australia, France, and the United
ern Western societies since the 1980s, a plethora of laws de-
States, and there have been interventions involving smaller
signed to protect children have been enacted. These laws
numbers of children in other countries. In all of these in-
have had the overall effect of increasingly redefining children
stances, the children have eventually been returned to their
as the property of the state, as opposed to being the property
parents and the charges dropped. In Australia, damages were
of their parents. These new laws have made it easier to attack
even eventually paid to one group that had seen nearly 150
NRMs for not treating children as the society expects. Four
of its children seized in predawn raids to rescue them from
major areas of law come into play concerning some NRMs:
what the media called a “sex cult.”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5378
LAW AND RELIGION: LAW AND NEW RELIGIOUS MOVEMENTS
OTHER LEGAL ISSUES RAISED WITH NRMS. There are many
ber of countries of the former Soviet Union. Early in the
other legal issues concerning NRMs that have been raised
twenty-first century, the record of these legal efforts was de-
around the world. Communal NRMs have sometimes run
cidedly mixed, as the ECHR preferred a posture of deferring
afoul of zoning regulations that limit the number of unmar-
to member countries in matters having to do with religion.
ried adults who can live in a residence. Solicitation laws have
been enforced in various countries in an attempt to stop
Some NRMs have launched major legal attacks on their
NRMs from raising money. The Unification Church has
detractors in the United States and other countries, and they
won many such battles in the United States, but in other
have also attempted to make use of the ECHR when not
countries the legal precedents are not so helpful for NRMs.
dealt with in a manner that seems fair to leaders of the NRM.
Even in the United States, the Hare Krishnas (members of
Scientology is perhaps best known for using legal action as
the International Society for Krishna Consciousness) have
a way to deter detractors and promote its organization. Other
found limits placed on their solicitation of funds in airports
NRMs have also developed legal prowess, even if only out
and other public settings. Laws requiring contribution to so-
of the necessity of defending the organization or its leaders
cial security and health schemes have been applied to com-
and members in court actions. This allocation of group re-
munal NRMs in some countries, as have minimum wage
sources toward legal defense occurred first in claims of brain-
statutes, thereby undercutting some of the benefits of com-
washing for damages by former members in civil actions.
munal living. Immigration laws have been used to limit the
But, particularly with the advent of efforts by various govern-
ingress of members of some NRMs to various countries, in-
ments to assume authority over children of group members,
cluding the United States and the former Soviet Union.
some groups, such as The Family (formerly known as the
Children of God), have invested heavily in developing an ad-
One of the most complicated legal situations involving
equate legal defense.
an NRM may be that of the Bhagwan Shree Rajneesh group
that settled in Antelope, Oregon, in the 1980s. The Rajneesh
Some NRMs have also launched libel and defamation
group bought up the entire town and controlled all that oc-
actions against their detractors, a tactic that is only occasion-
curred there. Only members or invited guests could be pres-
ally successful, but which also serves as a deterrent. In Hun-
ent in the town. This had many ramifications, as the group
gary the Hare Krishnas (ISKCON) won a major victory
ran the local schools and police force and was serving as the
against a prominent religious leader who had published a
local government for the town. The state of Oregon, working
brochure defaming the group. In Russia, however, a major
closely with federal government agencies and the courts,
defamation action failed against a prominent representative
managed to exert control over the situation after numerous
of the Russian Orthodox Church who was publishing ex-
legal battles. Oregon successfully claimed that to assist the
treme accusations against a number of NRMs and other mi-
town in any way, including sending state revenues to fund
nority faiths. This case was actually used by the Russian Or-
operation of the schools and law enforcement, would violate
thodox Church and political authorities in the successful
the Establishment Clause of the United States and Oregon
effort to gain approval for restrictive legislation that would
constitutions. The Rajneesh group ceased operations in Ore-
limit the activities of NRMs in Russia.
gon, although not without a violent backlash. For instance,
Of course, there are limitations on NRM use of the
some leaders of the group devised a plan to poison members
courts. In societies such as China, where the courts are con-
of the general public by placing salmonella bacteria in salad
trolled to a considerable extent by the government, it is diffi-
bars in several restaurants in Oregon, causing several hun-
cult for NRM members to defend themselves in court, much
dred people to become ill.
less to mount legal offenses such as has been done by some
USE OF LAW BY NRMS. NRMs have sometimes been able
groups in Western societies.
to use the legal system in their defense, especially in countries
such as the United States, which has Constitutional protec-
CONCLUSIONS. In many societies, particularly those domi-
tion for religious freedom. Many other Western countries
nated by one particular traditional religious organization or
have statutory or constitutional provisions that allow NRMs
by a political ideology such as communism, the exercise of
to take legal action against those who criticize them. This in-
legal rights by NRMs has been decidedly difficult. Indeed,
cludes tax officials who might have exercised their judgment
NRMs usually lose in legal actions whatever the societal con-
so as to preclude an NRM from claiming tax exemptions
text, as the courts exercise their normative function and make
available to other religious organizations. The Church of
decisions in line with the basic values of a given society. It
Scientology has had some success in legal battles with tax of-
is surprising when NRMs win in court as they have some-
ficials and other governmental agencies in a number of coun-
times done in Western countries, and it demands explana-
tries, and thus has succeeded in securing for the organization
tion. NRMs have sometimes successfully defended them-
some legal privileges otherwise unobtainable. A number of
selves against legal attacks, and some have been able to
NRMs and other minority religions are attempting to use the
launch their own legal battles that have occasionally had a
European Court of Human Rights (ECHR) to deter the ex-
positive outcome for the organization. In such cases, the reli-
ercise of legal social control over them by the over forty-
gious group has gained some legitimacy, and perhaps at least
member Council of Europe, which includes a growing num-
the right to be left alone.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LAWRENCE, PETER
5379
SEE ALSO Anticult Movements; Brainwashing (Debate);
Richardson, James T. “Minority Religions (‘Cults’) and the Law:
Christian Science; Cults and Sects; Deprogramming; Falun
Comparisons of the United States, Europe, and Australia.”
Gong; Family, The; International Society for Krishna Con-
University of Queensland Law Journal 18 (1995): 183–207.
sciousness; Jehovah’s Witnesses; New Religious Movements,
Richardson, James T., and Massimo Introvigne. “‘Brainwashing’
article on New Religious Movements and Children; Raj-
Theories in European Parliamentary and Administrative Re-
neesh; Scientology; Unification Church.
ports on Cults and Sects.” Journal for the Scientific Study of
Religion 40 (2001): 143–168.
BIBLIOGRAPHY
Shterin, Marat and J. T. Richardson. “Effects of the Western
Anthony, Dick. “Pseudoscience and Minority Religions: An Eval-
Anti-Cult Movement on Development of Laws Concerning
uation of the Brainwashing Theories of Jean-Marie Abgrall.”
Religion in Post-Communist Russia.” Journal of Church and
Social Justice Research 12 (1999): 421–456.
State 42 (2000): 247–272.
Anthony, Dick. “Religious Movements and Brainwashing Litiga-
JAMES T. RICHARDSON (2005)
tion: Evaluating Key Testimony.” In In Gods We Trust, 2d
ed., edited by T. Robbins and Dick Anthony, pp. 295–344.
New Brunswick, N.J., 1991.
Bromley, David. “Conservatorships and Deprogramming: Legal
LAWRENCE, PETER (1921–1987), a pioneer in the
and Political Perspectives.” In The Brainwashing/
study of Melanesian religions and a native of Lancashire, En-
Deprogramming Controversy, edited by D. Bromley and J. T.
gland, came to Australia as a child and was educated at Gee-
Richardson, pp. 267–293. New York, 1983.
long Grammar School. As an undergraduate he studied clas-
Edelman, Brian, and James T. Richardson. “Falon Gong and the
sics at Cambridge University and after serving in naval
Law: Development of Legal Social Control in China.” Nova
intelligence during World War II returned to Cambridge to
Religio 6 (2003): 312–331.
study anthropology under Meyer Fortes. In 1949 and 1950
Flinn, Frank. “Criminalizing Conversion: The Legislative Assault
he undertook field research for his doctoral dissertation
on New Religions.” In Crime, Values, and Religion, edited by
among the Garia of the Madang district of what was then
J. M. Day and W. S. Laufer, pp.153–192. Norwood, N.J.,
the Territory of New Guinea. For the rest of his life he re-
1987.
turned regularly to the Madang area and concerned himself
Ginsburg, Gerald, and James T. Richardson. “‘Brainwashing’ Evi-
with Australia’s preparation of New Guineans for self-
dence in Light of Daubert.” In Law and Science, edited by
government and independence.
H. Reece. pp. 265–288. Oxford, UK, 1998.
Lawrence and his wife, Fanny, made Australia their
LeMoult, John, “Deprogramming Members of Religious Sects.”
home as he took appointments in Australian institutes of
In The Brainwashing/Deprogramming Controversy, edited by
higher learning and continued his research in New Guinea.
D. Bromely and J. T. Richardson, pp. 234–257. New York,
He served at the Australian National University (1948–
1983.
1957), the Australian School of Pacific Administration
Palmer, Susan, and Charlotte Hardman, eds. Children in New Re-
(1957–1960), the University of Western Australia (1960–
ligions. New Brunswick, N.J., 1999.
1963), the University of Queensland (1966–1970), and the
Richardson, James T., ed. Regulating Religion: Case Studies from
University of Sydney (1963–1965 and 1970–1986). Law-
Around the Globe. New York, 2004. This volume has thirty-
rence visited North America frequently and was a visiting
three chapters describing efforts to regulate and control mi-
professor at Queens University (1969), the University of
nority religions in North and South America, western, east-
Pittsburgh (1970), and Victoria University (1975). He par-
ern, and central Europe, including a number of former Sovi-
ticipated in the meetings of the Association for Social An-
et Union countries, as well as in Australia and the Far East.
thropology in Oceania, a scholarly society founded in North
Richardson, James T. “State and Federal Cooperation in Regulat-
America with a focus on the study of the cultures of the Pa-
ing New Religions: Oregon versus the Bhagwan Rajneesh.”
cific, and was elected an honorary fellow of the association.
In Regulating Religion, edited by J. T. Richardson,
He was also active in the Australian Anthropological Society
pp. 477–490. New York, 2004.
and served the journal Oceania as associate editor (1977–
Richardson, James T. “Law, Social Control, and Minority Reli-
1979) and editor (1979–1985). Papers on Melanesian reli-
gions.” In Chercheurs de Dieux dans l’espace Public—Frontier
gion given at a symposium in his honor in 1986 at LaTrobe
Religions in Public Space, edited by Pauline Cote, pp.139–
University in Melbourne were published posthumously as a
198. Ottawa, Canada, 2001.
special issue of Oceania (volume 59, number 1).
Richardson, James T. “Social Control of New Religions: From
‘Brainwashing’ Claims to Child Sex Abuse Accusations.” In
Lawrence’s theoretical interest was in the intellectual life
Children in New Religions, edited by S. Palmer and C. Hard-
of indigenous peoples; he saw himself continuing the intel-
man, pp. 172–186. New Brunswick, N.J., 1999.
lectualist approach to magic and religion promoted by Sir
Richardson, James T. “‘Brainwashing’ Claims and Minority Reli-
E. B. Tylor. In their introduction to Gods, Ghosts, and Men
gions Outside the United States: Cultural Diffusion of a
in Melanesia, Lawrence and coeditor Mervyn Meggitt fol-
Questionable Legal Concept in the Legal Arena.” Brigham
lowed Robin Horton in defining religion as “the putative ex-
Young University Law Review 1996 (1996): 873–904.
tension of men’s social relationships into the non-empirical
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5380
LEACH, EDMUND
realm of the cosmos” (p. 8); in Melanesia, they pointed out,
BIBLIOGRAPHY
gods, ghosts, ancestors, demons, and totems are closely asso-
Hermann, Elfriede. “The Yali Movement in Retrospect: Rewrit-
ciated with the settlements of human beings. Lawrence’s
ing History, Redefining ‘Cargo Cult.’” Oceania 63, no. 1
Road Belong Cargo became a classic in the study of cargo cults
(1992): 55–71.
and in the study of Melanesian religion. In it he traced a
Jebens, Holger. “How the White Man Thinks. Peter Lawrence:
complex of beliefs and ritual activities in the southern Ma-
Road Belong Cargo.” Paideuma 47 (2001): 203–221.
dang area from 1871 to 1950. He presented this cargo move-
Jebens, Holger, ed. Cargo, Cult, and Culture Critique. Honolulu,
ment as a process of changing myths and rites. In the various
2004.
phases of the movement the cultists appealed to traditional
Lawrence, Peter. Road Belong Cargo: A Study of the Cargo Move-
myths, embraced European myths, and combined myths
ment in the Southern Madang District, New Guinea. Man-
from both sources in attempts to discover the secret of the
chester, U.K., 1964.
Europeans’ cargo. The term “cargo cult” seems to have first
Lawrence, Peter, and Mervyn J. Meggitt, eds. Gods, Ghosts, and
been used in 1945 (Lindstrom, p. 15) and is not original
Men in Melanesia. Melbourne, 1965.
with Lawrence although he employed it. In the post-colonial
Lawrence, Peter. “Daughter of Time.” Inaugural lecture as foun-
Pacific the appropriateness of the term has been questioned.
dation professor and head of the Department of Anthropolo-
Lamont Lindstrom, for example, suggests that “cargo cults”
gy and Sociology. St. Lucia, Queensland, 1967.
probably reveal less about Melanesians than about the ideas
Lawrence, Peter. Don Juan in Melanesia. Saint Lucia, Australia,
and the motivations of the colonial officials and missionaries
1967.
who reported on them. That is, the construction of “cargo
cults” may point to a deficiency in Western understandings
Lawrence, Peter. The Garia: An Ethnography of a Traditional Cos-
mic System in Papua New Guinea. Manchester, U.K., 1984.
of other peoples. Elfriede Hermann, who worked in the
Southern Madang area in the 1990s, and is more familiar
Lindstrom, Lamont. Cargo Cult: Strange Stories of Desire from Mel-
than most with the ideas and practices of the people in the
anesia and Beyond. Honolulu, 1993.
region as well as with Lawrence’s work, wondered whether
MARY N. MACDONALD (2005)
is was advisable to use the term at all.
Lawrence also wrote on social structure, politics, and
law. The Territory of New Guinea was a United Nations
LEACH, EDMUND (1910–1989), a prominent Brit-
trusteeship administered by Australia that in 1975 merged
ish social anthropologist, is known for his critical adaptation
with the Australian Territory of Papua to become the inde-
of Claude Lévi-Strauss’s structuralist principles in the inter-
pendent state of Papua New Guinea. Lawrence believed that
pretation of myths and social institutions.
because he was conducting research in the region he had a
LIFE. Edmund Ronald Leach was born into a large, upper-
responsibility to educate colonial officials and missionaries
middle-class family of entrepreneurs in Sidmouth, Devon,
so that they could carry out their tasks with greater cultural
England. He studied mathematics and engineering at Cam-
awareness. During his time with the Australian School of Pa-
bridge University, graduating in 1932. The next year he ob-
cific Administration (ASOPA) he developed an anthropolo-
tained a commercial position with a trading firm with offices
gy curriculum for the teachers and public servants training
in China. The administrative duties it entailed soon grew
for work in Australia’s overseas territories. Later he was influ-
onerous, but the country itself fascinated him, and he seized
ential in the transformation of ASOPA into the International
opportunities to travel and to study the language and culture.
Training Institute, under the auspices of the Australian De-
Before returning home in 1936, he visited Botel Tobago, a
partment of Foreign Affairs, to provide education for admin-
small island off Formosa, where he encountered a “primi-
istrators from Third World countries.
tive” people, the Yami, on whom he made extensive notes.
Lawrence enjoyed the engagement with patrol officers
Back in England, he met Bronislaw Malinowski (1884–
and teachers at ASOPA. He was similarly gracious and help-
1942) and began attending his seminar at the London School
ful to missionaries, many of whom studied with him at the
of Economics. Here he decided upon anthropology as a ca-
University of Sydney. Raised Anglican, Lawrence professed
reer and embraced Malinowski’s distinctive type of function-
to be an atheist, although, as he once wryly remarked, “an
alism. Leach’s most important and extensive fieldwork took
atheist with doubts.” Lawrence’s sense of humor, and his
place during World War II, under exceptional circum-
frustration with British structural-functionalism, found an
stances. He arrived at the intended study site in northeast
outlet in a satirical poem, Don Juan in Melanesia. Peter Law-
Burma in August 1939, just before the outbreak of conflict
rence retired from the University of Sydney at the end of
in Europe. Burma was then a British colony, and Leach en-
1986. He died of a stroke on December 12, 1987. At the
listed in the Burma Rifles. However, before being called to
time of his death he was working on a book on the nature
active duty nine months later, he was able to engage in pre-
of religion.
liminary fieldwork among the Kachin, a remote mountain
people, and write up a draft of his notes. (This draft subse-
SEE ALSO Cargo Cults.
quently was lost, rewritten, then lost again.) After the Japa-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEACH, EDMUND
5381
nese invaded and overran Burma in 1940 to 1941, Leach
Strauss’s Les structures élémentaires de la parenté (1949), he
continued his military activities clandestinely behind the
was strongly drawn to the French anthropologist’s “structur-
lines, rendering invaluable service by recruiting and leading
alism.” Thereafter, without renouncing all functionalist
Kachin troops because of his fluency in their language. Both
principles, he employed a method that owed much to Lévi-
before and after the liberation of the colony, Leach’s duties
Strauss, but was not, he insisted, a “Lévi-Straussian method-
took him to many tribal communities. On the basis of this
ology” (1983a, p. 2).
extraordinary, though nonsystematic research, plus intensive
In a sense, structuralism can be classified as a continua-
study of documents upon his return to England, he wrote
tion of Frazerian anthropology in that it seeks to establish
his doctoral thesis at the London School of Economics in
facts true of “the human mind.” Although Lévi-Strauss trav-
1947 under D. Raymond Firth and A. R. Radcliffe-Brown.
eled extensively for some months in 1938 among “primitive”
Following a short government research mission to Sara-
tribes in Brazil, his fieldwork is deemed shallow by function-
wak, Leach was appointed lecturer in primitive technology
alist standards, and his writings are not truly dependent upon
at the London School of Economics in 1948. Soon he took
it. Rather, his method derives from the structural linguistics
a leave of absence to work on the book Political Systems of
of Ferdinand de Saussure (1857–1913) and Roman Jakob-
Highland Burma (1954), which became a classic in social an-
son (1896–1982). Significantly, Lévi-Strauss and Jakobson
thropology. In 1953, Meyer Fortes, formerly of the London
were colleagues in 1945 at the New School for Social Re-
School of Economics and by now head of the anthropology
search in New York. (Similarly, Leach was Jakobson’s col-
department at Cambridge University, invited Leach to join
league at Stanford from 1952 to 1953.) Just as Jakobson
his faculty. Thereafter, this university would be Leach’s base
taught that in all languages, humans code and decode sounds
of operations. From July to November 1954 he engaged in
into meaningful speech by combining them into bundles of
concentrated fieldwork in a peasant village in Ceylon, on the
binary oppositions, so Lévi-Strauss taught that the myths,
basis of which he wrote Pul Eliya (1961a). In 1960 he was
rituals, eating customs, and all other aspects of a society ex-
elected fellow of King’s College, and in 1966 he became its
press contrasting pairs (left/right, male/female, and so on),
provost. From 1971 until 1975 he served as president of the
between which mediating elements intervene. This is the
Royal Anthropological Institute. He was named to the Brit-
logic by which the human mind functions, he insisted, and
ish Academy in 1972, and was knighted in 1975.
his writings analyze these oppositions and mediations. Once
a structure is identified in one society or text, comparisons
Sir Edmund retired from the Department of Anthropol-
can be made with others. In his later work, especially, he
ogy in 1978 and the next year from the provostship, but he
came under criticism from Leach for departing from empiri-
continued to be active while health permitted: writing, at-
cal data in his search for universals applicable to all humanity
tending meetings, and lecturing at universities in England,
(Leach, 1970, p. 104). Leach criticized him too for distin-
the United States, and elsewhere. His last public lecture was
guishing between “cold” (primitive, ahistorical) and “hot”
given in the United States in April 1986. After a long strug-
(historically conscious) societies (1983a, p. 21–22).
gle with cancer, he succumbed to a brain tumor on January
Leach has said of his own magnum opus (1954) that it
6, 1989.
is a kind of “dialogue between the empiricism of Malinowski
THEORY AND METHOD. The social anthropology in vogue
and the rationalism of Lévi-Strauss” (1982, p. 44). The lat-
in England and the United States when Leach was a student
ter’s Les structures élémentaires had contained much about the
and began his career was functionalism. While this term cov-
Kachin, based on data obtained wholly from documentary
ers a variety of individual approaches, functionalism in gen-
sources. Although Leach made early use of Lévi-Strauss’s
eral may be defined as the attempt, using empirical data ob-
structuralism in his 1954 book, he signaled ethnological er-
tained from fieldwork, to determine how a society
rors in Lévi-Strauss’s statements on marriage relations among
“functions” as a system. Furthermore, the elements that
these people. The criticism led to a protracted polemics,
comprise a social system, such as marriage rules, economics,
eventually ending in a rupture between the scholars when
and religion, must be studied not as isolated entities, but in
Lévi-Strauss refused, in the revised version of his book (1967,
their total social context, as parts of a working whole. Mali-
1969), to acknowledge Leach correct. Nevertheless, there
nowski exemplified this methodology.
were numerous friendly exchanges between them from 1962
Contrasted with this approach is that typified by James
to 1966, when Leach was writing structural analyses of
Frazer (1854–1941), who in his monumental The Golden
myths, and in 1970 Leach penned a lucid, concise, and most-
Bough (1911–1915), a compendium of data about folklore,
ly positive study of Lévi-Strauss that became a standard in-
magic, and primitive religion, sought to discover fundamen-
troduction to his thought.
tal truths about human psychology through comparison of
To the end of his career, Leach continued to adhere to
apparently similar data, selected unscientifically from all
a basic principle of functionalism, namely, that “the real sub-
times and places. Leach’s fieldwork in northeast Burma fo-
ject matter of social anthropology is the actual social behavior
cused on kinship structures, and his first published article on
of human beings” (1970, p. 105), while also employing
the Kachin (1945, in 1961b) was dominated by Malinow-
methods of structural analysis derived from Jakobson and
ski’s functionalism. However, when he read Claude Lévi-
Lévi-Strauss.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5382
LEACH, EDMUND
MYTH AND RELIGION. In private life, Leach was a Humanist
they afford the basis for looking at familiar materials in a new
(Leach, 1972), and his beliefs carried over into his scholarly
way. “Mediation between opposites is precisely what reli-
work. Once when a fellow anthropologist called him a “vul-
gious thinking is all about,” he once said (Leach, 1983a,
gar positivist” (Clifford Geertz, in Banton, 1966, p. 35), he
p. 16).
retorted, “This intended insult I take as a compliment,” ad-
Leach also reviewed numerous books on religion by fel-
ding, “positivists, whether vulgar or otherwise, usually show
low anthropologists and wrote structuralist studies of reli-
signs of knowing what they are talking about, whereas theo-
gious art and architecture (1971b, 1978, 1983b, 1985). Al-
logians, even when disguised as Professors of Anthropology,
though a few American religion scholars utilize Lévi-
do not” (Leach, 1969b, p. 86). When he wrote about the Ka-
Straussian structuralist principles (e.g., Penner, 1989;
chin nats (spirits), he dismissed them as “nothing more”
Doniger, 1998), Leach is seldom cited. Leach is much better
(1954, p. 182) than ways of describing relationships among
known and referenced by anthropologists, especially in the
persons and groups in the society. Religion, as such, did not
United Kingdom.
interest him at this time.
Having been won over, largely, to the structuralist or
SEE ALSO Structuralism.
symbolist view of myth by 1959 (Leach, 1961b), in the
1960s and 1980s Leach wrote several structuralist interpreta-
BIBLIOGRAPHY
tions of biblical narratives and Christian doctrine (1969b,
Cambridge Anthropology. Special Issue: Sir Edmund Leach 13, no.
1983a), fields his Parisian counterpart eschewed. The most
3 (1989–90).
complex of these is “The Legitimacy of Solomon” (1966),
Doniger, Wendy. The Implied Spider: Politics and Theology in
a tour de force of the Jewish scriptures, which disregards bib-
Myth. New York, 1998. A great many references to Lévi-
lical criticism, theology, and historical concerns, and instead
Strauss, but Leach is cited only three times.
treats the text as “myth,” taking it as a whole. Leach identifies
Eliade, Mircea. Mephistopheles and the Androgyne: Studies in Reli-
recurring binary patterns concerning incest, murder/
gious Myth and Symbol. Translated by J. M. Cohen. New
sacrifice, endogamy/exogamy, descent, and inheritance, and
York, 1965.
shows how the writers (consciously or unconsciously) found
Frazer, James G. The Golden Bough. 3d ed., rev. and enl., 12 vol-
mediating agencies to resolve the “unresolvable” dilemmas
umes. London, 1911–1915.
in the narratives. For this article, Leach won the commenda-
Geertz, Clifford. “Religion as a Cultural System.” In Anthropologi-
tion of two prominent Jewish scholars, Jacob Neusner and
cal Approaches to the Study of Religion, edited by Michael Ban-
Abraham Malamat (Tambiah, 2002, pp. 303–305). In an-
ton, pp. 1–46. London and New York, 1966.
other article, “Virgin Birth” (1966) he shows how Christians
Leach, Edmund R. Political Systems of Highland Burma: A Study
can believe that Jesus was both supernaturally conceived (by
of Kachin Social Structure. London, 1954.
the Holy Spirit through the Virgin Mary) and the human
Leach, Edmund R. Pul Eliya, a Village in Ceylon: A Study in Land
messiah, descended from David through Joseph. In this case,
Tenure and Kinship. Cambridge, U.K., 1961a.
both Jesus and Mary are mediators between earth and heav-
Leach, Edmund R. Rethinking Anthropology. London, 1961b. Be-
en. Then Leach uses this illustration to contradict the claim
sides “Jinghpaw Kinship Terminology: An Experiment in
of certain anthropologists that some primitive tribes are ig-
Ethnographic Algebra” (1945): 28–53 and the ground-
norant of the connection between copulation and con-
breaking essay, “Rethinking Anthropology” (1959): 1–27,
ception.
the volume contains two short essays of interest to religion
scholars on symbolic representations of time: “Chronus and
Only once did Leach write expressly about the history
Chronos”: 124-132; and “Time and False Noses”: 132-136.
of religions: in a 1966 review of Mircea Eliade’s 1965 book
Leach, Edmund R. “Sermons by a Man on a Ladder.” Review of
Mephistopheles and the Androgyne. Since a major theme of
Mephistopheles and the Androgyne, by Mircea Eliade. New
this book is the coincidentia oppositorum, it was an appropri-
York Review of Books (October 20, 1966): 28–31.
ate volume for him to review, but in doing so, he also dis-
Leach, Edmund R. “High School.” Review of The Teachings of
cussed nine other works by Eliade. He charged the author
Don Juan: A Yaqui Way of Knowledge, by Carlos Castaneda.
with being a “Frazerian,” a “Jesuit,” and a Jungian, with in-
New York Times Review of Books (June 5, 1969a). A caustic
flating his outdated bibliographies, with believing in a pre-
critique of “the fashionable mysticism of hippydom.”
logical archaic mentality, and with speaking like “an enlight-
Leach, Edmund R. Genesis as Myth and Other Essays. London,
ened prophet.” He commends Eliade for stressing notions of
1969b. Contains “Genesis as Myth” (1962), “The Legitima-
polarity (sacred/profane, heaven/earth) and the necessity for
cy of Solomon: Some Structural Aspects of Old Testament
connecting links between them, such as the yogin and the
History” (1966), and “Virgin Birth” (1966).
shaman, but he says that the true implications of these ideas
Leach, Edmund R. “‘Kachin’ and ‘Haka Chin’: A Rejoinder to
have escaped him. Leach believed that “because Eliade has
Lévi-Strauss.” Man (n.s.) 4, no. 2 (1969c): 277–285.
recognized that religious symbols occur not singly but as bi-
Leach, Edmund R. Claude Lévi-Strauss. London and New York,
nary pairs, he is really committed to an analysis of structure.”
1970.
The value of structuralist analyses of religious texts, for
Leach, Edmund R. “Mythical Inequalities.” Review of The Death
Leach, was not that they reveal truth or meaning, but that
and Rebirth of the Seneca by Anthony F. C. Wallace; Natural
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEADERSHIP
5383
Symbols: Explorations in Cosmology by Mary Douglas; and
advanced little beyond the pioneering studies of Max Weber
Myth: Its Meaning and Functions in Ancient and Other Cul-
and Joachim Wach. While a great deal is known about indi-
tures by G. S. Kirk. New York Review of Books (January 28,
vidual religious leaders and have accumulated a reservoir of
1971a).
case studies of such leaders, far less is known about the phe-
Leach, Edmund R. “The Politics of Karma.” Review of Buddhism
nomenon of leadership. Indeed, what is lacking at present
and Society by Melford Spiro, Religion and Change in Con-
is a generally accepted concept of religious leadership. Schol-
temporary Asia, edited by Robert F. Spencer, and Islam Ob-
ars working in different religious traditions use diverse modes
served by Clifford Geertz. New York Times Review of Books
of theorizing and analysis and do so in pursuit of differing
(November 18, 1971b).
and often unrelated questions. Important but largely unrec-
Leach, Edmund R. “A Personal View.” Humanist News (January–
ognized work in the psychology of leadership in small
February, 1972).
groups, social exchange models of interaction processes de-
Leach, Edmund R. “Michelangelo’s Genesis: Structural Com-
veloped by sociologists, and shifts in focus from power to
ments on the Paintings of the Sistine Chapel Ceiling.” Times
leadership in political science thinking all provide new bases
Literary Supplement (March 18, 1978).
for generalizations about religious leadership across differing
Leach, Edmund R. Social Anthropology. Glasgow, 1982.
cultures and times.
Leach, Edmund R. “Anthropological Approaches to the Study of
Religious leadership may be defined as the process by
the Bible during the Twentieth Century” (1980): 7–32;
which leaders induce followers to act for certain transcenden-
“Against Genres: Are Parables Lights Set in Candlesticks or
Put under a Bushel?” (1982): 89–112; “Why Did Moses
tal goals that embody the values, motivations, and aspira-
Have a Sister?” (1980): 33–66; and “Melchisedeh and the
tions of both leaders and followers. Such leadership involves
Emperor: Icons of Subversion in Orthodoxy” (1983) 67–88.
the exercise of power in religious collectivities, but its do-
In Structuralist Interpretations of Biblical Myth, edited by Ed-
main is more limited than that of power. Unrestricted power
mund R. Leach and D. Alan Aycock. Cambridge, UK, and
over others is exercised to realize the goals of the power-
New York, 1983a. This book also includes an important
wielder whether or not these goals are shared by the follow-
methodological introduction: pp. 1–6.
ers. The essence of leadership lies in the manner in which
Leach, Edmund R. “The Gatekeepers of Heaven: Anthropological
leaders perceive and act on their own and their followers’ val-
Aspects of Grandiose Architecture.” Journal of Anthropologi-
ues and needs (Burns, 1978).
cal Research 39, no. 3 (1983b): 243–264.
WEBER’S TYPOLOGY OF RELIGIOUS LEADERSHIP. The
Leach, Edmund R. “Michelangelo’s Genesis: A Structuralist Inter-
groundwork for a comparative study of religious leadership
pretation of the Central Panels of the Sistine Chapel.” Semio-
was laid by the German sociologist Max Weber in his
tica 56, nos. 1–2 (December 1985): 1–30.
Wirtschaft und Gesellschaft (1925), the first strictly empirical
Leach, Edmund R. “Noah’s Second Son.” Anthropology Today 4,
comparison of the social structure and normative order of so-
no. 4 (1988): 2–5. Opposing racial discrimination.
cieties in world-historical depth. He contributed the outlines
Lévi-Strauss, Claude. Les structures élémentaires de la parenté. Paris,
of a typology of religious leaders as well as a major statement
1949. 2d rev. ed. Paris and the Hague, 1967. Translated as
on forms of domination and the bases of legitimization of
The Elementary Structures of Kinship by James Harle Bell,
authority underlying different types of leadership. In spite of
John Richard von Sturmer, and Rodney Needham. Boston
his stress on the independent significance of religious values
and London, 1969.
and ethics, he acknowledged the importance of the social ve-
Malamat, Abraham. “Comments on E. Leach: ‘The Legitimacy of
hicles through which the impact of religion is effected. His
Solomon—Some Structural Aspects of Old Testament His-
analysis of religious groups, as one instance of a variety of
tory.’” Archives Européennes de sociologie 8 (1967): 165–167.
nearly universal types of human groups found at differing
Neusner, Jacob. “The Talmud as Anthropology.” Annual Samuel
phases of historical development, highlights the crucial im-
Friedland Lecture, the Jewish Theological Seminary of
portance of religious leadership as a vehicle of religiosity and
America (1979). See Tambiah (2002): 301–303.
religious change.
Penner, Hans. Impasse and Resolution: A Critique of the Study of
Religion. New York, 1989.
Weber isolates the features peculiar to three major types
Tambiah, Stanley J. Edmund Leach: An Anthropological Life. Cam-
of leaders—magicians, prophets, and priests—through a
bridge, UK, 2002. Thorough, sympathetic treatment of
comparison with each other as well as with the subsidiary
Leach’s life and work, by a former pupil. Indispensable re-
leadership roles of lawgivers, teachers of ethics, and myst-
source.
agogues. The emergence of priests as distinct from practi-
M
tioners of magic centers on several points of differentiation:
AC LINSCOTT RICKETTS (2005)
(1) priests influence the gods by means of worship, whereas
magicians coerce demons by magical means; (2) priests are
“functionaries of a regularly organized and permanent enter-
LEADERSHIP. The concept of religious leadership, al-
prise concerned with influencing the gods,” whereas magi-
though indispensable to general discourse, has been of limit-
cians engage in “individual and occasional efforts”; (3) priests
ed value to the social scientific study of religion, which has
are actively associated with some type of social organization
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5384
LEADERSHIP
by which they are employed, in contrast to magicians who
for the religious counterpart of the demagogue—shared with
are typically self-employed; and (4) the priest exerts influence
the prophet a leadership role that demands a break with the
by virtue of his professional expertise in fixed doctrine and
established order. But whereas the prophet legitimates that
his vocational qualifications, whereas magicians exert their
break in ethical and moral terms, the bases of legitimation
influence by virtue of personal gifts and charisma made man-
for the mystagogue are primarily magical.
ifest in miracles. The nature of the learning of these leader-
Central to Weber’s delineation of the role of prophet
ship roles differs; priests undergo rational training and disci-
was his differentiation of two subtypes. One was the ethical
pline and magicians are prepared through an “awakening”
prophet, who preaches as one who has received a commission
using nonrational means and proceeding in part as a training
from God and who demands obedience as an ethical duty.
in purely empirical lore.
He is represented most clearly by Muhammad and
Weber recognized that in reality the contrasts just noted
Zarathushtra (Zoroaster). The Buddha by contrast typified
are fluid and by no means unequivocally determinable so
the exemplary prophet, who by his personal example demon-
that empirically the two contrasted types often flow into one
strates to others the way to religious salvation.
another. The crucial feature of the priesthood is centered on
A discussion of Weber’s typology of religious leaders is
“the specialization of a particular group of persons in the
distorted unless it includes reference to his discussion of the
continuous operation of a cultic enterprise permanently asso-
laity whom prophets and priests sought to influence. For a
ciated with particular norms, places, and times and related
prophecy is successful only if the prophet succeeds in win-
to specific social groups.”
ning permanent helpers. These include the amaga, or mem-
Building on Adolf von Harnack’s typology, Weber iso-
bers of the inner circle of devotees of Zoroastrianism; the dis-
lates the sociologically distinctive traits of the prophet as a
ciples of the Hebrew Bible and of the New Testament; and
“purely individual bearer of charisma who by virtue of his
the intimate companions of Hinduism and Islam. The dis-
mission proclaims a religious doctrine or divine command-
tinctive characteristic in all these cases is that these are per-
ment.” For Weber, it is this personal call that is the decisive
sonal devotees of the prophet who, in contrast to those of
element distinguishing prophet from priest. It is the latter
the priest, are not organized into guilds or office hierarchies.
who claims authority by virtue of his service in a sacred tradi-
In addition to these most active co-workers, there is a widen-
tion, whereas the prophet’s claim is based on personal revela-
ing circle of followers who support the prophet and expect
tion and charisma. It is no accident that almost no prophets
to obtain their salvation through his mission. These followers
have emerged from the priestly class. The priest typically dis-
may engage in intermittent action or associate themselves
penses salvation by virtue of his office even in instances in
continuously in a congregation. The latter community does
which personal charisma may be involved. It is the hierarchi-
not arise in connection with every type of prophecy; general-
cal office that confers legitimate authority upon the priest as
ly it is the result of routinization, that is, of a process securing
a member of an organized collectivity.
the permanence of the prophet’s preaching and the congre-
gation’s role as distributor and recipient of grace.
A second and closely linked point is Weber’s focus on
the prophet as an agent of change who takes personal respon-
Weber reserves the term congregation for situations in
sibility for breaking with the established normative order, de-
which the laity has been organized permanently in such a
claring this break to be morally legitimate. The leadership
manner that it becomes an active participant. Thus a mere
role of the priest by contrast is exercised typically in the ser-
administrative unit that delimits the jurisdiction of priests is
vice of an established order.
a parish but not yet a congregational community. From this
point of view, one finds that in medieval Christianity in the
Unlike the magician, the prophet claims definitive reve-
West and Islam in Near East the parish was essentially a pas-
lations, the core of his mission being doctrine or command-
sive ecclesiastical tax unit with the laity generally lacking the
ment, not magic. Again, Weber acknowledged that this dis-
character of a congregation. By contrast, it is the distinctive
tinction was fluid; magicians are frequently knowledgeable
characteristic of sects that they are based on a restricted asso-
experts in divination and prophets often practice divination
ciation of individual local congregations. In such circum-
as well as magical healing and counseling like the nevi Dim
stances the relationship between priesthood and laity be-
mentioned in the Old Testament. What distinguishes the
comes of crucial significance for the practical consequences
prophet from both the magician and the priest in this regard
of religion and for the exercise of religious leadership.
is an economic factor, namely, that prophecy is unremuner-
ated. Weber further differentiates prophets from the religious
Weber here argues that every type of priesthood is to
leadership roles of lawgivers, epitomized in the Greek
some extent in a similar position: To maintain its own power
aisumn¯etai, teachers of ethics, and mystagogues. While the
it must meet the needs of the laity to a very considerable de-
transition historically from prophet to each of these types is
gree. Because as a rule both the ethical and the exemplary
not clearly defined, Weber separated out from the category
prophet are themselves laymen, the prophet’s power position
of prophet these other types, treating them as analytically dis-
depends in both cases also on that of his lay followers. To
tinguishable leadership roles for “sundry purveyors of salva-
what extent the prophet would succeed as a leader depended
tion.” Of these, only the mystagogue—Weber’s neologism
on the outcome of a struggle for power. All prophets made
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEADERSHIP
5385
use of the prestige of their prophetic charisma and the sup-
writings of the church and legal historian Rudolf Sohm, in
port it gained them among the laity. The sacredness of the
particular his Kirchenrecht (1892). The term charisma as elab-
radically new revelation was continuously opposed to that of
orated by Weber refers to “a certain quality of an individual
tradition. Depending on the success of the propaganda by
personality by virtue of which he is considered extraordinary
each side, the priesthood might compromise with the new
and treated as endowed with supernatural, superhuman, or
prophecy, outbid its doctrine, eliminate it, or be subjugated
at least specifically exceptional powers or qualities. These
itself. Religious leadership, in short, is exercised typically in
. . . are regarded as of divine origin or as exemplary and on
competition or conflict with others in which the different
the basis of them the individual concerned is treated as a
leaders contend for the support of their potential followers.
‘leader.’” What is crucial is how the individual is regarded
by those subject to charismatic authority, that is, by the lead-
In Weber’s ensuing discussion of the major social classes
er’s followers or disciples. Such recognition is freely given
and their affinities for religion, he provides a comparative
and guaranteed by “what is held to be proof, originally al-
frame of reference for assessing the influence of class factors
ways a miracle, and consists in devotion to the corresponding
in conditioning the outcome of specific religious leaders’
revelation, hero worship, or absolute trust in the leader.”
claims for support by the laity. This includes a discussion of
intellectuals and of the conditions under which priests and
Weber notes that where charisma is genuine, the basis
monks become intellectual elaborators of religion, as was
lies not in such proof per se but rather in the conception that
true, for example, in India, Egypt, and Babylonia. In the reli-
it is the duty of those subject to charismatic authority to rec-
gions of the ancient city-states, however, notably among the
ognize its genuineness and to act accordingly. Psychological-
Phoenicians, Greeks, and Romans, the development of all
ly, such recognition is a matter of complete personal devo-
metaphysical and ethical thought became the province of
tion to the possessor of the quality, arising out of enthusiasm
nonpriests. Weber further emphasized the predominance of
or alternately out of despair or of hope. The charismatic lead-
high-status intellectuals as religious innovators and leaders.
er’s legitimacy to act is thus not derived from the follower’s
T
consent or from custom or law, but from a transcendental
HE BASES OF LEGITIMATION OF AUTHORITY. Weber’s ty-
pology of religious leadership is intricately linked to his so-
realm.
ciological analysis of forms of domination, with its threefold
The right of the leader to rule is determined by the fol-
typology of the bases of legitimation of authority to which
lower’s recognition of the godlike qualities either imputed to
such leaders made claim. [See Authority.] Domination was
him by the follower or bestowed on him through ascension
defined by Weber as “the probability that certain specific
to a charismatic office. The success of the charismatic leader
commands (or all commands) will be obeyed by a given
in developing a community of disciples or followers gives rise
group of persons.” Domination (“authority”) for Weber
to the charismatic community. But if that community is to
could be based on diverse motives of compliance “all the way
take on a degree of permanence—a matter of considerable
from simple habituation to the most purely rational calcula-
interest to the disciples and followers if their own positions
tion of advantage.” But he makes clear that every form of
are to be put on a stable, everyday basis—it becomes neces-
domination implies at least a minimum of voluntary compli-
sary for the character of the original charismatic authority to
ance and thus represents obedience based on self-interested
be altered radically.
calculation.
The problem of leadership transfer from the charismati-
For Weber, the key to leadership had to be found in the
cally endowed leader to his successor is thus inherently unsta-
kind of legitimacy claimed by the leader, the type of obedi-
ble. How this problem is met, if it is met at all, is amenable
ence demanded, the kind of administrative support devel-
to a range of solutions. These include the search for a new
oped to guarantee its success, and the modes by which such
leader, using as criteria qualities that will fit him for the posi-
authority is exercised. All of these would differ fundamental-
tion of authority, as has historically been so with the search
ly depending upon which of three types of legitimization was
for a new Dalai Lama; revelation manifested in the use of lots
most prevalent. The validity of claims to legitimacy, accord-
or divine judgment or other techniques of selection; designa-
ing to Weber, were based on (1) rational grounds, resting on
tion on the part of the original charismatic leader of his own
a belief in the legality of enacted rules and the right of those
successor (a very common form); designation of a successor
elevated to authority under such rules to issue commands,
by the charismatically qualified administrative staff together
that is, legal authority; (2) grounds resting on an established
with his recognition by the community; and transmission of
belief in the sanctity of traditions and the legitimacy of those
charisma by heredity or by ritual means. In the last case, cha-
exercising authority under them, that is, traditional authori-
risma becomes disassociated from a particular individual, is
ty; and (3) charismatic grounds “resting on devotion to the
objectified, and becomes a transferable entity that may be
exceptional sanctity, heroism, or exemplary character of an
transformed into a charisma of office. A critical example is
individual person and of the normative patterns or order re-
the transmission of priestly charisma by anointing, consecra-
vealed or ordained by him, i.e., charismatic authority.”
tion, or the laying on of hands.
The concept of charisma, “gift of grace,” was taken from
The Weberian typology of religious leadership was sub-
the vocabulary of early Christianity and drew heavily on
sequently enlarged by Joachim Wach in his Einführung in die
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5386
LEADERSHIP
Religionssoziologie (1931). Wach attempts to classify the vari-
World War II rarely if ever address the kinds of issues dealt
ety of types of religious authority “according to the principle
with by Weber. The study of religious leadership in these
of personal and official charisma,” although he recognizes
contexts typically involves an analysis of personnel recruit-
that a given type can include a combination of both ele-
ment, socialization, professionalization, training for the min-
ments. Even though the critical issue of leadership as deriv-
isterial or priestly role, and delineation of the various role
ing from different forms of charismatic authority is never ex-
segments of administrator, preacher, counselor, teacher, and
plicitly addressed by Wach, his typology has generally been
pastor. A recent review of the literature by the American soci-
presumed to constitute both a delineation of types of reli-
ologist Edgar W. Mills (1985) decried the absence of a con-
gious leaders and an analysis of the underlying types of legiti-
cern with leadership in most contemporary studies of the
mation of their rule. In addition to the categories of priest,
ministry. These themes reflect, as Roland Robertson (1970)
prophet, and magician already developed by Weber to which
has noted, organizational constraints upon the exercise of
Wach’s delineation provides little that is analytically new,
leadership in societies in which religion has become increas-
Wach adds the following types: founder, reformer, seer, di-
ingly differentiated and compartmentalized.
viner, saint, and religiosus. As with Weber, Wach’s analysis
is directed not only to an examination of the charismatic
Personal traits. Religious leadership like other forms of
basis of their claims to authority, but also to an elaboration
leadership cannot be reduced to some specific set of abilities
of the variety of religious roles played by such leaders. Even
or personal attributes. Even the prophet is not born with “the
as a classificatory tool, however, Wach’s typology needs to
gift of grace”; he must claim it. Natural endowment, intellec-
be substantially enlarged if it is to encompass the diversity
tual or emotional predisposition, and training are only acces-
of religious leadership known to contemporary scholars. Still
sory, and they vary considerably.
more crucial is the fact that with Wach, the emphasis shifted
from typology as a tool of analysis and explanation to a tool
A mixing of variables. Typologies of leadership, in-
of description and classification. It is to these analytic and
cluding those of religious leadership, have too often drawn
explanatory concerns to which this article must now return.
on a variety of analytical and theoretical considerations with-
out adequately differentiating the specific variables according
CURRENT THEORIES IN THE SOCIAL SCIENCES. Research in
to which a given religious leader is classified within one type
the fields of psychology, political science, and sociology may
rather than another. Indeed the very delineation of these
be drawn on to suggest a number of new directions for the
types and their nomenclature suggest a mixing of variables.
study of religious leadership.
Thus a delineation of religious leaders as founders, reformers,
Origins of religious leadership. One key to under-
revolutionaries, and conservationists focuses on the role of
standing leadership lies in recent findings and concepts in
such leadership in challenging, revitalizing, or maintaining
psychology, psychiatry, and psychohistory. Despite its cul-
the existing social and religious order. By contrast, a typolog-
tural limitations, psychobiography can be an important tool
ical distinction between expressive and instrumental types of
in analyzing the formative influences on religious leadership,
leaders emphasizes differences in the ways in which leader-
as Erik H. Erikson’s studies of Luther and Gandhi have doc-
ship is exercised and followers exhorted, as was also true of
umented. Viewing some of the influences in the early years
Weber’s original distinction between exemplary and ethical
of great religious leaders, one may come to better understand
forms of prophetic leadership. Other typologies have focused
the powerful influences of family, peer group, class, and ado-
on segmental roles or functions assumed by specific religious
lescent experience. Such studies, however, will always be in-
leaders, such as miracle workers, exorcists, moral teachers,
adequate, because they deal with only one segment and tend
mediators, ritual specialists, administrators, and scribes, as
to slight the effects of religious learning, political and institu-
well as intellectual leaders and educators.
tional contexts, and the role of followers in shaping the be-
REVISED ASSUMPTIONS. Underlying the Weberian approach
havior of leaders.
to religious leadership, and subscribed to equally by Wach,
Social sources of leadership. Typologies of leadership
are a number of assumptions that recent research has either
by virtue of their abstraction tend to disassociate leadership
seriously questioned or forced to abandon altogether. Classic
from its social-situational context. Leadership occurs, as
sociological treatments of religious leadership have leaned
Weber’s discussion of hierocracy, theocracy, and caesaropa-
heavily on conceptions applying to elites, to authoritarian
pism documents, in an immensely complex social network
systems and to rigid caste- and class-based societies. The lit-
of structured and patterned relationships. The psychology of
erature on religious leaders (and on leadership in general) has
small-group research documents, moreover, how leadership
generally been committed to images of strong-willed leaders
adheres not in an individual but in a role that is imbedded
and mindless masses. Weber emphasized the authoritarian
within some specified social system. Variations in the social
character of such leadership, especially charismatic leader-
context within which religious leadership is deemed to be
ship, by focusing on the exclusive prerogative of leaders to
critical represent an important historical variable. Thus,
command and the unquestioning obligation of subordinates
studies of religious organizations that have focused on their
to obey. As a result there has been an unfortunate emphasis
leadership in modern industrial societies in the period since
on the “great man” theory of leadership.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEADERSHIP
5387
The role of gender—to the extent to which it enters into
the leader himself. A more systematic attention to followers
these studies of religious leadership at all—has simply rein-
is likely to lead to the development of typologies not only
forced the sterotyped image of religious leaders as male. The
of followers but of various models of leader-follower relation-
conditions under which women claim and successfully exer-
ships.
cise such leadership has only recently become a topic of seri-
The topic of religious leadership needs to draw on the
ous scholarly investigation. The focus on the great men who
empirical findings, concepts, and theoretical insights of re-
exercised religious leadership has moreover ignored the vital
cent research by social scientists working for the most part
network of secondary, tertiary, and even “lower” leadership
outside the realm of religious studies. The rapid proliferation
in most societies and most religious communities.
of case studies of individual religious leaders, both past and
Weber’s delineation of charismatic leadership has been
present, has yet to be systematically integrated into a concep-
a source of considerable confusion. This confusion has arisen
tual framework capable of subsuming the complex character
because he integrated two distinct analytic components, the
of religious leadership. Greater integration is necessary if one
one social-structural and the other psychological, into his
is to move beyond description and classification to a level of
discussion of charismatic legitimations of authority. Each of
analysis that will incorporate the determinants, processes,
them highlights different aspects of leaders and of their rela-
character, and consequences of such leadership.
tionships to their followers. Yet, in focusing on the personal
SEE ALSO Charisma; Intellectuals; Priesthood; Prophecy;
and affective dimensions of the relationship between charis-
Shamanism.
matic leaders and their followers, Weber himself tilted the
balance toward an emphasis on personality. The dominant
BIBLIOGRAPHY
thrust of his analysis was toward linking charisma with cer-
Bendix, Reinhard. “Reflections on Charismatic Leadership.” In
tain structural strains that are likely to be pronounced during
State and Society: A Reader in Comparative Political Sociology,
periods of accelerated social change. But his analysis of the
edited by Reinhard Bendix, pp. 616–629. Boston, 1968.
social conditions that give rise to charismatic leadership re-
Bierstedt, Robert. “The Problem of Authority.” In Freedom and
mained sketchy. These ambiguities in Weber’s own discus-
Control in Modern Society, edited by Morroe Berger, Theo-
sion of charismatic leadership are reflected and magnified in
dore Abel, and Charles H. Page, pp. 67–81. New York,
the recent literature dealing with charisma, which has often
1954.
used historical materials in an undiscriminating way to refer
Burns, James MacGregor. Leadership. New York, 1978.
to almost all nonbureaucratic forms of leadership.
Erikson, Erik H. Young Man Luther: A Study in Psychoanalysis and
Although Weber never adopted the traditional image of
History. New York, 1958.
leadership as unilateral—one was either leader or follower—
Erikson, Erik H. Gandhi’s Truth: On the Origins of Militant Non-
his analysis of the relationship between the two, seen in the
violence. New York, 1969.
light of more recent research findings from the social sci-
Gibb, Cecil A. “Leadership: Psychological Aspects.” In Interna-
ences, tends to underplay the degree to which followers con-
tional Encyclopedia of the Social Sciences, edited by David L.
dition, shape, and mold both their leaders and the religious
Sills, vol. 9, pp. 91–101. New York, 1968.
movements of which they form a part.
Mills, Edgar W. “The Sacred in Ministry Studies.” In The Sacred
in a Secular Age, edited by Phillip E. Hammond. Berkeley,
Similarly, Wach’s discussion of the groups “correspond-
Calif., 1985.
ing to religious authority” is entitled “the audience” and in-
Robertson, Roland. The Sociological Interpretation of Religion.
cludes references to the ephemeral audience of the migrating
New York, 1970.
preacher or prophet, the crowd attending a religious celebra-
tion, and the permanent circle accompanying the founder
Sohm, Rudolf. Kirchenrecht. Leipzig, 1892.
and prophet. Such labeling of the group of followers as an
Tannenbaum, Arnold S. “Leadership: Sociological Aspects.” In
audience betrays the passivity with which they are presumed
International Encyclopedia of the Social Sciences, edited by
to function and relate to their leader. While past studies of
David L. Sills, vol. 9, pp. 101–107. New York, 1968.
religious leaders generally portrayed their followers as a pas-
Wach, Joachim. Einführung in die Religionssoziologie (1931).
sive audience or mere aggregation minus the leader, more re-
Translated by the author as Sociology of Religion. Chicago,
cent psychological and sociological research drawing on in-
1944.
teraction theory and social exchange theory has
Weber, Max. Wirtschaft und Gesellschaft: Grundriss der verstehen-
demonstrated conclusively that the concepts of leading and
den Soziologie (1922). 2 vols. Translated by Ephraim Fischoff
following are reciprocal. Thus, religious leaders are by no
et al. as Economy and Society, edited by Guenther Roth and
means exclusively and always engaged in acts of leading.
Claus Wittich. Berkeley, Calif., 1978.
Leaders and followers do at times exchange roles, with the
Willner, Ann Ruth. The Spellbinders: Charismatic Political Leader-
most active followers and disciples initiating acts of leader-
ship. New Haven, Conn., 1984.
ship. The expectations of followers and the acceptance ac-
New Sources
corded the leader may be as influential in shaping the charac-
Aberach, David. Charisma in Politics, Religion and the Media: Pri-
ter and consequences of that leadership as the resources of
vate Trauma, Public Ideas. Basingstoke, U.K., 1996.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5388
LEAH
Afsaruddin, Asma. Excellence and Preference: Medieval Islamic Dis-
The Israelites seem to have been ambivalent about ad-
courses on Leadership. Boston, Mass., 2002.
ding leaven to dough. Although its use conflicted with their
Clarke, Andrew. Serve the Community of the Church: Christians as
eating habits as nomads, once they settled in Egypt and Ca-
Leaders and Ministers. Grand Rapids, Mich., 2000.
naan they routinely consumed leavened bread.
Elazar, Daniel, ed. Authority, Power and Leadership in the Jewish
In the New Testament, leaven has at least three symbol-
Polity. Lanham, Md., 1991.
ic meanings: It is a sign of the Old Covenant that must yield
Fuller, Timothy, ed. Leading and Leadership. The Ethics of Every-
to the New Covenant; it is symbolic of corrupting influences;
day Life series. Notre Dame, Ind., 2000.
and it typifies small beginnings that have enormous potential
Harris, James. The Courage to Lead: Leadership in the African
for growth. Paul instructed the Corinthians to rid themselves
American Urban Church. Lanham, Md., 2002.
of the old yeast of evil and wickedness and to become instead
Hutch, Richard. Religious Leadership: Personality, History, and Sa-
the unleavened bread of sincerity and truth (1 Cor. 5:8). In
cred Authority. New York, 1991.
this way, they would be united with the risen Christ in an
GILLIAN LINDT (1987)
unending Passover. Paul thus turned the cultic practice of
Revised Bibliography
the Israelites into an ethical injunction. The suggestion that
leaven corrupts is also found in the admonition of Jesus to
be on guard against the yeast of the Pharisees, that is, their
LEAH SEE RACHEL AND LEAH
hypocrisy (Lk. 12:1). Like many other symbols, yeast had a
positive as well as a negative aspect. The parable comparing
the kingdom of heaven to a yeast that spreads through three
LEAVEN.
measures of flour (Mt. 13:33) refers to the fact that some-
The Hebrews and other peoples of the Middle
thing as small and unpretentious as yeast can have astonish-
East were taught to use leaven by the Egyptians, who may
ing potential.
have discovered its use as early as 2600 BCE. Although leav-
ened bread took on importance as a religious symbol during
Plutarch recounts that in Greco-Roman culture, the
the Azyme Controversy that finally divided Eastern and
priest of Jupiter was forbidden to touch unleavened bread be-
Western Christianity in 1054, the use of unleavened bread
cause it was unclean and corrupt. For Philo Judaeus, unleav-
has had far greater significance in religious ritual. As a conse-
ened bread was a symbol of humility and leavened bread a
quence, the ritualistic use of unleavened bread and the sym-
symbol of pride.
bolic meaning of leaven merit special attention.
The bread used for the Eucharist was leavened in the
The best-known use of unleavened bread is described
Eastern church and unleavened in the Western rite. These
in the twelfth chapter of Exodus, where H:ag ha-Matsot, the
geographical variations caused no difficulty until the Middle
Feast of Unleavened Bread, and Passover are interfused in a
Ages, when the discrepancy gradually became a point of con-
historical commemoration of Israel’s deliverance from Egypt.
tention. It reached a climax in 1054 in the Azyme Contro-
Other texts in the Hebrew scriptures indicate that the two
versy preceding the Great Schism that divided the Eastern
feasts had different origins (Dt. 16:1–8, Lv. 23:5–6). Where-
and Western churches. Mohlan Smith, tracing the contro-
as Passover was a pastoral festival, the Feast of Unleavened
versy in his book And Taking Bread, suggests that Eastern
Bread was agricultural. Because natural dough, a harvest gift
and Western liturgical traditions involving different types of
of Yahveh, was considered holy, the addition of yeast would
eucharistic bread are based on an apparent disagreement in
profane it. In addition, fermentation may have been viewed
the scriptures about the date of the last supper. The synoptic
as a form of corruption.
gospels seem to indicate that the last supper took place on
the first day of the Feast of Unleavened Bread. A reading of
Unleavened bread was prescribed for the night of Pass-
John, on the other hand, suggests that Jesus was crucified on
over also to remind the Hebrews of the great haste with
the day of preparation. If this interpretation of John is accept-
which they ate during their anxious flight from Egypt. Dur-
ed, the last supper would not have been a Passover meal, and
ing the Feast of Unleavened Bread, which began on the day
leavened bread would have been used. The Eastern church’s
following Passover and lasted seven days, the Israelites were
liturgical use of leavened bread also has theological over-
directed to destroy all leavened bread that remained in their
tones: It accentuates the break between the Old and New
homes and eat only the “bread of misery.”
Covenants. Western rituals, on the other hand, emphasize
When the Israelites celebrated ShavuEot, the Feast of
the continuity of Hebrew and Christian traditions.
Weeks (or Pentecost), at the end of the wheat harvest, they
S
offered leavened bread as first fruits because it had become
EE ALSO Bread; Passover.
their common bread in Canaan. Although they associated
BIBLIOGRAPHY
leavened bread with the giving of the Law of Moses, the ritu-
Smith, Mohlan H. And Taking Bread: Cerularius and the Azyme
al for communion sacrifices stipulated that unleavened cakes
Controversy of 1054. Paris, 1978. An excellent study of the
mixed with oil and unleavened wafers smeared with oil be
correspondence concerning the use of leaven in the eucharis-
used. Leavened bread, however, was also to be given to the
tic bread that was one of the issues in the schism between the
priest for the sacrificial meal (Lv. 7:11–15).
Eastern and Western churches in 1054.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEENHARDT, MAURICE
5389
Wambacq, Benjamin N. “Les Massôt.” Biblica 61 (1980): 31–54.
perceptive Shaker assessment of the life and spirit of Ann
A scholarly work that questions whether the Feast of Unleav-
Lee. The most valuable primary source on Ann Lee’s life and
ened Bread was an agricultural feast.
beliefs is the rare Testimonies of the Life, Character, Revela-
tions, and Doctrines of Our Ever Blessed Mother Ann Lee and
JAMES E. LATHAM (1987)
the Elders with Her, edited by Rufus Bishop and Seth Y.
Wells (Hancock, Mass., 1816).
LAWRENCE FOSTER (1987 AND 2005)
LEE, ANN (1736–1784), English visionary and founder
of the American Shakers. Growing up in a poor, working-
class family in Manchester, England, Ann Lee was attracted
in 1758 to the Shakers, a religious group that engaged in ec-
LEENHARDT, MAURICE (1878–1954), was a
static dancing and other charismatic activities. Married in
French Protestant missionary and ethnographer. In the
1762, Lee had four children, all of whom died in infancy or
French ethnographic tradition of the era before World War
early childhood. She interpreted these losses and the pain
II, Leenhardt stands out as a fieldworker of uncommon
that she experienced in childbirth as a judgment on her con-
depth. From 1902 until 1926 he was a liberal evangelist in
cupiscence. In 1770 a vision convinced her that lust was the
New Caledonia. His active defense of the Melanesians
original sin in the Garden of Eden and the root of all human
against colonial abuses and his stress on vernacular education
evil and misery. Only by giving up sexual intercourse entire-
and on the growth of autonomous local churches anticipated
ly, following the heavenly pattern in which “they neither
what would later be called liberation theology. His extremely
marry nor are given in marriage,” could humankind be rec-
subtle work in linguistics and Bible translation led him to
onciled to God.
ethnography. He had a relativist’s understanding of cultural
The Shakers and the celibate message that Ann Lee in-
process and invention that brought him to challenge the no-
troduced among them experienced little success in England,
tion of religious conversion as a discrete event. Leenhardt en-
where the group was sporadically persecuted but generally ig-
visaged a longer, locally rooted historical development lead-
nored. In 1774 Lee and eight of her followers emigrated to
ing to a fresh articulation of Christianity, an experience of
America and two years later settled at Niskeyuna (now
personal authenticity that would transcend, not abolish,
Watervliet), New York, near Albany. Between 1781 and
Melanesian totemism and myth.
1783, during the troubled aftermath of the American Revo-
Upon leaving his mission field in 1926, after a success-
lution, Lee and the Shakers undertook a major proselytizing
ful, albeit embattled and unorthodox, career, Leenhardt
effort in New York and New England in the course of which
turned his attention more directly to ethnographic descrip-
they attracted support primarily from Free Will Baptists. En-
tion and ethnological theory. With the help of Lucien Lévy-
suing persecution, including brutal beatings and harassment,
Bruhl and Marcel Mauss he obtained a professorship at the
weakened Ann Lee and her brother William, contributing to
École Pratique des Hautes Études and a post at the Musée
their premature deaths in 1784.
de l’Homme. He published four works of detailed New Cale-
Although Ann Lee’s involvement with the Shakers in
donian cultural description: Notes d’ethnologie néo-
America lasted only a decade, her influence at that time was
calédonienne (1930), Documents néo-calédoniens (1932), Vo-
profound and has continued to be so during the groups’s
cabulaire et grammaire de la langue houailou (1935), and
subsequent two-hundred-year history. Intelligent, dynamic,
Langues et dialectes de l’Austro-Mélanésie (1946). He also
and loving, she was revered by her followers. They came to
wrote a synthetic ethnography, Gens de la grande terre (1937;
believe that in “Mother Ann,” as they affectionately called
rev. ed., 1952), and what is perhaps his best-known work,
her, God’s spirit had been incarnated in female form just as
Do Kamo: La personne et le mythe dans le monde mélanésien
they believed that in Jesus, God’s spirit had been incarnated
(1947; translated into English as Do Kamo: Person and Myth
in male form. Whether Lee herself ever claimed such quasi
in the Melanesian World, 1979). These works are character-
divinity—except in ecstatic utterances subject to symbolic
ized by rigorous attention to issues of linguistic and concep-
interpretation—is questionable. Yet the conviction that Ann
tual translation, by an emphasis on cultural expressivity and
Lee was the second embodiment of Christ’s spirit and the in-
change over structure and system, and by an analytic focus
augurator of the millennium is central to the Shaker faith.
on the person.
Leenhardt’s chief ethnological contribution is his expe-
SEE ALSO Shakers.
riential concept of myth. In this view, myth should be freed
from the status of a story or even of a legitimating social char-
BIBLIOGRAPHY
ter. Myth is not expressive of a “past.” Rather, myth is a par-
Scholarly treatments of Ann Lee are found in Clarke Garrett’s
Spirit Possession and Popular Religion: From the Camisards to
ticular kind of engagement with a world of concrete pres-
the Shakers (Baltimore, 1987), and Edward Deming An-
ences, relations, and emotional participations. It is a “mode
drews’s The People Called Shakers, new enl. ed. (New York,
of knowledge” accessible to all human experience. There is
1963). Anna White and Leila S. Taylor’s Shakerism: Its
nothing mystical, vague, or fluid about this way of knowing;
Meaning and Message (Columbus, Ohio, 1904) provides a
it does not preclude logical, empirical activities, as Lévy-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5390
LEESER, ISAAC
Bruhl tended to assume. Myth is fixed and articulated by a
Spanish and Portuguese Jews, 6 vols. (1837–1838), edited and
“socio-mythic landscape.” For Leenhardt, place has a density
translated by Leeser, as was The Book of Daily Prayers . . .
inaccessible to any map; it is a superimposition of cultural,
according to the Custom of the German and Polish Jews (1848).
social, ecological, and cosmological realities. (The valleys of
An edition of the Pentateuch in 1845 was followed by a
New Caledonia provided his most potent examples.) Orient-
translation of the entire Hebrew Bible into English in 1853,
ing, indeed constituting, the person, this complex spatial
the first to be done by a Jew. In 1867 his collected sermons
locus is not grasped in the mode of narrative closure by a cen-
and essays, Discourses on the Jewish Religion, were published
tered, perceiving subject. Rather, the person “lives” a discon-
in ten volumes. His chief literary monument is The Occident
tinuous series of socio-mythic “times”—less as a distinct
and American Jewish Advocate, which he edited for twenty-
character than as a loose bundle of relationships. This mythe
five years (1843–1868).
vécu (“lived myth”) calls into question a Western view of the
Leeser inspired the establishment of the first Jewish
self as coterminous with a discrete body, a view that values
Sunday school in America (1837), helped establish the He-
identity at the expense of plenitude.
brew Education Society of Philadelphia (1848), and founded
and headed the first rabbinical seminary in the New World,
BIBLIOGRAPHY
Maimonides College (1867). “His far seeing vision,” Mayer
For a full account of Leenhardt’s life and writings, see my work
Sulzberger wrote in 1868, “years and years ago projected a
Person and Myth: Maurice Leenhardt in the Melanesian World
Hebrew College, a Jewish Hospital, a Foster home, a Union
(Berkeley, 1982). Useful collections assessing his career ap-
of Charities, a Board of Delegates of American Israelites,
pear in the Journal de la société des océanistes 10 (December
an Educational Society, an American Publication Society.”
1954) and 34 (March–June 1978) and in Le monde non chré-
tien 33 (January–March 1955). On his work in the light of
Religiously, Leeser was a staunch traditionalist who re-
liberation theology, see Jean Massé’s “Maurice Leenhardt:
sisted and battled the rising Reform movement. His Ortho-
Une pédagogie libératrice,” Revue d’histoire et de philosophie
doxy, however, kept him neither from fully partaking of
religieuse 1 (1980): 67–80, and Pierre Teisserenc’s “Maurice
world culture nor from introducing the English sermon.
Leenhardt en Nouvelle Calédonie: Sciences sociales, poli-
Both Conservative and modern Orthodox Jews claim him
tique coloniale, stratégies missionnaires,” Recherches de science
and acknowledge his influence.
religieuse 65 (July–December 1977): 389–442.
New Sources
Centenaire, Maurice Leenhardt, 1878–1954: Pasteur et Ethnologue.
BIBLIOGRAPHY
Nouméa, 1994.
Davis, Moshe. The Emergence of Conservative Judaism. Philadel-
phia, 1963. See pages 347–349.
Clifford, James T., and Raymond Henri Geneviève. Maurice
Leenhardt, Personne et Mythe en Nouvelle-Calédonie. Paris,
Korn, Bertram W. “Isaac Leeser: Centennial Reflections.” Ameri-
1987.
can Jewish Archives 19 (November 1967): 127–141.
Morais, Henry Samuel. Eminent Israelites of the Nineteenth Centu-
JAMES CLIFFORD (1987)
ry. Philadelphia, 1880. See pages 195–201.
Revised Bibliography
Seller, Maxine S. “Isaac Leeser’s Views on the Restoration of a
Jewish Palestine.” American Jewish Historical Quarterly 58
(1968): 118–135.
LEESER, ISAAC (1806–1868), was an American rabbi,
Whiteman, Maxwell. “Isaac Leeser and the Jews of Philadelphia.”
writer, and leader of Jewish traditionalism. Born in Neunkir-
Publications of the American Jewish Historical Society 48
chen, Westphalia (Prussia), Leeser was orphaned at an early
(1959): 207–244.
age. He received his secular education at a Gymnasium in
New Sources
Münster, and his religious tutelage from Benjamin Cohen
Sussman, Lance Jonathan. Isaac Leeser and the Making of American
and Abraham Sutro. At the age of eighteen he joined his
Judaism. Detroit, Mich., 1995.
uncle Zalman Rehiné in Richmond, Virginia, where he
ABRAHAM J. KARP (1987)
began to prepare for a business career and assisted the local
Revised Bibliography
religious functionary, Isaac B. Seixas. An article he published
in defense of Judaism brought him to public attention and
resulted in an invitation to occupy the pulpit of Philadel-
phia’s congregation Mikveh Israel in 1829. During the next
LEEUW, GERARDUS VAN DER (1890–1950),
forty years he was the most prolific American Jewish writer
was a Dutch historian of religions, theologian, and phenom-
and the most creative communal architect.
enologist.
Leeser’s Instruction in the Mosaic Law (1830) was fol-
LIFE. Born and raised in the Hague, van der Leeuw studied
lowed by The Jews and Mosaic Law (1834), “a defence of the
theology at the University of Leiden (1908–1913), with his-
Revelation of the Pentateuch”; Discourses, Argumentative and
tory of religions as his main field and W. Brede Kristensen
Devotional (1837), “delivered at the Synagogue Mikveh Isra-
as his principal teacher. The faculty also included P. D.
el”; and The Form of Prayers according to the Custom of the
Chantepie de la Saussaye, who himself had taught history 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
LEEUW, GERARDUS VAN DER
5391
religions at the University of Amsterdam and who influenced
MAJOR CONTRIBUTIONS. Van der Leeuw’s most original
the young man. Van der Leeuw specialized in ancient Egyp-
contribution may be his phenomenological approach to the
tian religion and studied for a year in Germany (1913–
study both of religious data and of the phenomenon of reli-
1914), first in Berlin under Adolf Erman and Kurt Sethe,
gion itself. Guided by a particular vision of religion as a
and then in Göttingen under Wilhelm Bousset. He obtained
whole, he looked for structure and meaning in the multitude
his doctorate in 1916 from Leiden. After having been a min-
of religious data. With this approach van der Leeuw rejected
ister in the Dutch Reformed church for two years, van der
certain parochial theological schemes of interpretation, eval-
Leeuw was called to Groningen in 1918 to occupy the chair
uation, and judgment that were current in his time. He thus
of history of religion and history of the doctrine of God, with
cleared the terrain for new kinds of inquiries into the various
responsibility for the “theological encyclopedia” in the facul-
meanings pertaining to religious data and into the potential
ty of theology. He also taught Egyptian language and litera-
religious meaning of basic natural and human phenomena.
ture in the literary faculty. “History of the doctrine of God”
Van der Leeuw’s phenomenology was characterized by its
was later dropped from his chair’s title and after World War
psychological orientation and its status as a theological disci-
II phenomenology of religion was added to van der Leeuw’s
pline.
official assignment; after 1940 he also taught liturgics.
In his approach, van der Leeuw leans heavily on psy-
Van der Leeuw was active in the Dutch Reformed
chology and in particular on structural psychology in Dil-
church where, like Chantepie de la Saussaye, he adhered to
they’s sense, as he states himself in 1928. He was then even
the so-called ethical theology, which stressed the value of reli-
gion as a reality of the heart and as an existential datum.
prepared to speak of the “psychology” instead of the “phe-
Later he was particularly active in the liturgical movement
nomenology” of religion. His concept of psychology, howev-
in his church and in attempts to reform it. From 1945 to
er, is not that of present-day empirical psychology; he sees
1946 he was minister of education, arts, and sciences. In
it instead as a way of approaching a subject through one’s
1950 van der Leeuw became the first president of the newly
own experience. Understanding rather than explanation
founded International Association for the History of Reli-
should be the aim of the study of religion, he believes, echo-
gions; this put the seal on his international reputation. He
ing a similar aim formulated in psychology in the 1920s by
died shortly afterward in Utrecht.
such scholars as Karl Jaspers, Eduard Spranger, and Ludwig
Binswanger. In this psychological understanding-through-
PRINCIPAL WORKS. Van der Leeuw’s books that are relevant
experience, the “subjectivity” of the researcher is an indis-
to the study of religion fall into a number of categories. Most
pensable datum. In order to understand a religious phenom-
of his scholarly work was in the field of comparative studies
enon as a human expression, the researcher should allow it
and phenomenology, for which he wrote an introductory
to affect him in its wholeness, and van der Leeuw contends
work, Inleiding tot de godsdienst-geschiedenis (1924), later
that this should be done methodically, in the field of religion
completely revised as Inleiding tot de phaenomenologie van
as well as in such other humanistic fields as history and psy-
den godsdienst (1948), and the famous handbook titled
chology. This particular way of understanding implies that
Phänomenologie der Religion (1933), subsequently translated
the researcher interpolates the religious phenomenon into his
into English as Religion in Essence and Manifestation (1938).
own life and “experiences” it, while bracketing (epoch¯e) both
Further, he produced articles and books on subjects as varied
its factual and ultimate reality. Van der Leeuw describes this
as sacrifice, mysticism, representations of Paradise, children
procedure in the “Epilegomena” of his handbook and adds
in worship, the image of God, and the God-human relation-
that such a psychological understanding should be followed
ship as well as articles on myth and mythology and on im-
by empirical research to control and correct what has been
mortality.
understood. It is precisely the subjective nature of the experi-
In other categories, van der Leeuw’s works are almost
ence of understanding, as propounded by van der Leeuw,
as numerous. His major historical studies concern ancient
that has given rise to scholarly objections, because this ap-
Egyptian religion, although he also wrote on ancient Greek
proach may lead to abuse in hermeneutical investigations.
religion and produced studies of ancient calling-songs and
The discussion of the value for hermeneutics of van der
lamentations and on the meeting of early Christianity and
Leeuw’s psychologically oriented phenomenology is still con-
paganism. Also important are his books on liturgics, on reli-
tinuing.
gious art, and on music and religion—including books treat-
ing the works of Bach and the history of church hymns—and
Phenomenology of religion had a theological founda-
his several theological works, which often derive their in-
tion for van der Leeuw. The “sacramental” experience of real-
sights from the history and phenomenology of religion. An-
ity on the one hand and the tension between subject and ob-
other category of van der Leeuw’s works comprises his writ-
ject of religious experience on the other, which are at the
ings on his phenomenological method and on issues of
basis of his phenomenology of religion, find their theological
philosophical and theological anthropology. He also wrote
basis, according to him, in the doctrine of the Incarnation.
extensively on Christian topics and on various literary and
As a discipline, phenomenology of religion had for van der
cultural subjects. The total number of his publications
Leeuw a theological status; he did, in fact, also speak of it
amounts to about 650.
as “phenomenological theology.” Basically, it was a theologi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5392
LEEUW, GERARDUS VAN DER
cal discipline concerned with the meaning of religious data
nomena he protested against any idealistic interpretation of
in the experience of the believers, and van der Leeuw wanted
humanity.
to see this phenomenological theology as an intermediary
stage between “historical” theology, concerned with literary
Throughout van der Leeuw’s oeuvre is a broad mosaic
and historical facticity, on one hand and “systematic” theolo-
of statements that bear witness to his sensitivity, realism, and
gy, concerned with ultimate truth and reality, on the other.
open mind. Even now, his insights into his materials some-
Because it leaves open the status of the phenomenon with
times must be recognized as brilliant, and that is why his
regard to ultimate values, phenomenological theology limits
work, mostly in Dutch, still counts: Suddenly, connections
itself to the problem of “meaning” and “significance.” In
are revealed in an original, striking, and somehow convinc-
practice, however, a theological phenomenologist will inter-
ing way.
pret the meaning of religious phenomena finally in the light
of the “true” religious meaning known in faith, and van der
BIBLIOGRAPHY
Leeuw’s Religion in Essence and Manifestation bears witness
The following books by van der Leeuw are available in English:
in fact to its author’s faith as a Christian. This book describes
Religion in Essence and Manifestation: A Study in Phenomenol-
religious phenomena in five parts. The first three parts repre-
ogy (1938), rev. ed. (1963; reprint, Gloucester, Mass., 1967);
sent the classical structure given by Chantepie de la Saussaye:
and Sacred and Profane Beauty: The Holy in Art (London,
the object of religion, the subject of religion, and object and
1963; reprint 2005), a translation of the third edition, com-
subject in their reciprocal operation. Part 4 deals with “the
pletely revised by E. L. Smelik, of Wegen en grenzen: Studie
world” and part 5 with “forms” (religions and founders). Re-
over de verhouding van religie en kunst (Amsterdam, 1955).
ligion, for van der Leeuw, is humankind’s encounter with
A bibliography of van der Leeuw’s publications up to 1950 was
“power,” and it implies being “overpowered,” for he under-
compiled by Wiebe Vos, “Dr. G. van der Leeuw: Bibliografie
stood “power” as a philosophical category with theological
zijner geschriften,” in Pro Regno, Pro Sanctuario, edited by
overtones. Philosophically, in van der Leeuw’s view, religion
Willem Jan Kooiman and Jean Marie van Veen (Nijkerk,
is one of the consequences of the fact that humans do not
Netherlands, 1950), pp. 553–638. For lists of works about
accept life as given to them: They seek power in life, some-
van der Leeuw and of van der Leeuw’s main publications in
religious studies, see my Classical Approaches to the Study of
thing that is superior, and they try to find meaning in life
Religion, vol. 2, Bibliography (The Hague, 1974),
and to arrange this into a significant whole. For van der
pp. 149–156. Further bibliographical information can be
Leeuw, consequently, religion is intimately linked to culture
found in my article “Gerardus van der Leeuw,” in Biografisch
as humanity’s creative effort.
lexicon voor de geschiedenis van het Nederlandse Protestantisme,
APPRAISAL OF OEUVRE. Theological schools have not been
vol. 1, edited by D. Nauta and others (Kampen, Nether-
prepared to accept van der Leeuw’s theological vision, and
lands, 1978), pp. 114–120, and in my Reflections on the Study
its most elaborate expression, his Sacramentstheologie (1949),
of Religion (The Hague, 1978), which volume also contains
has had little resonance. Nor have scholars of religion, what-
my essay “Gerardus van der Leeuw as a Theologian and Phe-
nomenologist,” pp. 186–253. See also Jan Hermelink’s Ver-
ever their orientation and persuasion, been prepared to ac-
stehen und Bezeugen: Der theologische Ertrag der ‘Phäno-
cept van der Leeuw’s subordination of the phenomenological
menologie der Religion’ des G. van der Leeuw (Munich, 1960).
enterprise to theology. Further objections have been raised
For an autobiographical statement by van der Leeuw, see his
against van der Leeuw’s relative neglect of the historical and
“Confession scientifique,” Numen 1 (1954): 8–15.
social realities in which religious phenomena are embedded,
and against his notion of “understanding.”
New Sources
Hubbeling, Hubertus Gezinus. Divine Presence in Ordinary Life:
Apart from the information it offers and the insights
Gerardus van der Leeuw’s Twofold Method in His Thinking on
contained in it, one of the definite contributions of van der
Art and Religion. Amsterdam, 1986.
Leeuw’s erudite oeuvre is the attention it draws to the prob-
James, Alfred. Interpreting Religion: The Phenomenological Ap-
lem of the scholar’s role in research in the humanities in gen-
proaches of Pierre Daniel Cantepie de la Saussaye, W. Brede
eral and in religious studies in particular. In his phenomeno-
Kristensen, and Gerardus van der Leeuw. Washington, D.C.,
logical work there is an evident tension between the
1995.
researcher’s “participation” and his “distance” with regard to
the subject matter; these stances he even considered as repre-
Molendijk, Arie L. “At the Cross-Roads: Early Dutch Science of
sentative of two basic anthropological structures, the “primi-
Religion in International Perspective.” In Man, Meaning and
Mystery: 100 Years of History of Religions in Norway, edited
tive” and the “modern” mentality. In many respects van der
by Sigurd Hjelde, pp. 19–56. Leiden, 2000.
Leeuw anticipated problems that were to be explored by
postwar existential and hermeneutical philosophy in Germa-
Plantinga, Richard J. “An Ambivalent Relationship to the Holy:
ny and France. His own presuppositions were largely deter-
Gerardus van der Leeuw on Religion.” In Religion in History:
mined by Dutch theological thought of the beginning of the
The Word, the Idea, the Reality, edited by Michel Despland
twentieth century, and this allowed him to be receptive to
and Gérard Vallée, pp. 93–100. Waterloo, Ontario, 1992.
the ideas of Dilthey, Husserl, Spranger, Lucien Lévy-Bruhl,
Religionswissenschaft und Kulturkritik: Beiträge zur Konferenz (The
and others. In his search for the right view of human phe-
History of Religions and Critique of Culture in the Days of Ge-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEFT AND RIGHT
5393
rardus van der Leeuw). Hans Kippenburg and Brigitte Luche-
ple, sacrality, right-sidedness, and maleness are associated in
si, editors. Marburg, 1991.
some contexts. Is asymmetrical binary opposition a funda-
J
mental feature of the mind and of social symbolization and
ACQUES WAARDENBURG (1987)
Revised Bibliography
thus a key to unlock the cultural codes of left- versus right-
sidedness in those religions where it appears?
Associated with the question of asymmetrical binary op-
LEFT AND RIGHT.
positions, of which left and right differentiation is presumed
Symbolic differentiations of left
to be a species, are other issues that still divide scholars. One
and right are virtually universal cultural classifications among
is the cultural versus the physiological (or neurological) ques-
humankind. Research interest in the asymmetrical function-
tion of origins. Are humans primarily and by preference
ing of the left and right hemispheres of the brain and in the
right-handed because the corresponding left hemisphere of
dominance of right-sided dexterity arose about a century ago.
the brain predominates, or do the left hemisphere and right
From a growing body of clinical evidence a variety of theories
hand function as they do in most cases because of cultural
have evolved about the presumed physiological and neuro-
conditioning? Another issue concerns the differences among
logical causes of right versus left preferences and perfor-
societies regarding left-and-right symbolism and the increas-
mances in human behavior. Less well studied is the signifi-
ing amount of evidence that in some cases the left is consid-
cance of right and left in the matrix of textual and contextual
ered to be more auspicious than the right.
symbols that comprise a given culture. In 1909, French soci-
ologist Robert Hertz established the first genuine social-
It is not the primary task of religious studies to attempt
science approach in his article “The Preeminence of the
to answer these questions, however important they may be
Right Hand: A Study of Religious Polarity” by making the
in establishing or confuting theories propounded by neurolo-
following observation: “To the right hand go honors, flatter-
gists, psychologists, and ethnographers. The historian of reli-
ing designations, prerogatives: It acts, orders, and takes. The
gions works with a variety of textual and contextual materi-
left hand, on the contrary, is despised and reduced to the role
als, such as sacred texts and rituals, religious worldviews, and
of a humble auxiliary: By itself it can do nothing; it helps,
symbols. In this regard the interest of religious studies in left
it supports, it holds” (Hertz, in Needham, 1973, p. 3). Since
and right symbolism lies more in the interface of textual and
Hertz’s pioneering study, social scientists have explored the
cognitive valuations of left versus right with contextual and
religious polarity of left and right in both literate and nonlit-
behavioral patterns.
erate societies, although the bulk of research has been on
The evidence for left and right symbolism in Islam was
nonreligious aspects. As E. E. Evans-Pritchard has observed,
examined by Joseph Chelhod in a 1964 essay titled “A Con-
much work on the cultural significance of left and right sym-
tribution to the Problem of the Right, Based upon the Arabic
bolism remains to be done.
Evidence” (Chelhod, in Needham, 1973). As Chelhod and
The views advanced by Hertz on left and right have
other Near Eastern specialists have shown, the differential
been affirmed by Émile Durkheim, Marcel Mauss, E. E.
roles of the left and right hands were already entrenched in
Evans-Pritchard, and Rodney Needham, among others, and
ritual practices among Arabs at the sacred shrine in Mecca
may be summarized as follows. First, a preference for the
prior to the seventh century CE and shared some common
right hand or foot to perform the noble tasks of life, in reli-
characteristics with ancient Near Eastern practices. Much of
gious rituals as well as ordinary social intercourse, is widely
the scholarship on pre-Islamic Arabian culture has adduced
observable among world cultures, both civilized and primi-
the probability that a solar cult gave directional orientation
tive. Conversely, the left hand and foot are regularly assigned
to ritual activities at the KaEbah in Mecca, where one would
secondary, converse, and even debasing tasks. From these
face toward the east in ritual activities. Correspondingly, the
widely observed sets of asymmetrical behavior it is often con-
Arabic word for “right” is yam¯ın (root, ymn), whose cognates
cluded that it is characteristic of human beings to regard the
include terms that mean “south,” the prosperous land of the
right side as exalted and auspicious and the left, by contrast,
Yemen, and “felicity” (yumn); the word for “left,” on the
as despised and inauspicious.
contrary, is shima¯l, whose cognates and synonyms include
terms for “bad luck,” “north,” and Syria, a land associated
A second characteristic of much of the ethnographic lit-
with ill omen.
erature on left and right is the general tendency to see their
opposition as part of a generic capacity in humans to classify
The QurDa¯n assigns auspiciousness to the right side, in-
the world around them and to derive the meanings of things
cluding a person’s right hand and foot and the symbolic cir-
in relation to their opposites. Thus, the binary oppositions
cumstance of being situated on the right side of God. Corre-
of right and left, male and female, positive and negative,
sponding inauspiciousness and servility are assigned to the
cooked and raw, up and down, noble and ignoble, and sacred
left. As in other civilizations, so in the early Islamic culture
and profane, indicate some of the fundamental modes
of Arabia certain ambiguities clouded a clear-cut association
human groups use to organize the world and to determine
between right and left with good and evil, respectively. For
how to act within it. The structural properties of these sche-
example, Chelhod points out that the QurDanic term yasa¯r
mata become more complex and interesting when, for exam-
means both “left” and “prosperity.” Does this constitute evi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5394
LEGALISM
dence of the inversion of values that W. Robertson Smith
greater similarity to the patterns described in Islamic culture.
and others saw in the sacred as distinct from secular realms?
South of the Sahara, ethnic groups tend to associate the right
Whether or not this is so, the solution to the problems raised
side with male sexuality, moral good, good fortune, and aus-
by linguistic evidence lies in a study of the semantic fields
picious directions and orientations, while the left side is asso-
of terms for “right” and “left” that would determine in what
ciated with female sexuality, evil, misfortune, and inauspi-
contexts such terms are used, especially in cases where single
cious or bad places. H. A. Wieschhoff provided several
lexical items seem on the surface not to conform to general
examples of these patterns, noting that in Cameroon and
cultural pairings of right with good and auspiciousness and
parts of northeast Africa some ethnic groups regard the left
left with bad and inauspiciousness.
hand as symbolic of good fortune and the right of misfortune
(Wieschhoff, in Needham, 1973).
Early Islamic textual and more recent ethnographic evi-
dence further attest to such practices as setting out for the
Although the Chinese evidence fits less well with Hertz’s
mosque or on the pilgrimage to Mecca on the right foot but
widely accepted “exalted right / debased left” theory, Gra-
setting out on the return trip from these places on the left
net’s approach to right-and-left symbolism in Chinese cul-
foot; eating and drinking with the right hand but touching
ture illumines more appropriately the religious significance
the genitals for toilet activities with the left hand; seating
of right-and-left differentiation. Continuing research on the
one’s honored guest to one’s right, and so forth. Today, non-
different roles of the right and left hemispheres of the brain
Arab Muslims of Africa and Asia generally adhere to the nor-
in neurology and cognitive psychology may eventually reveal
mative Islamic patterns for behavior involving the right and
the extent to which right- or left-handedness is physiological-
the left side. Thus, for example, in Indonesia it is considered
ly determined. The religious character of such symbolism
offensive to pass food to another with the left hand. The fact
lies, however, in the combined cultural media of cosmology,
is, however, that in both Africa and Asia forms of left-and-
ritual performance, and social interaction. The study of
right cultural symbolism preceded the historical arrival of
right-and-left religious symbolism must take all of the textual
Islam, and hence the role of Islam was probably that of link-
and contextual fields into account in order to appreciate the
ing local meanings and myths about left-and-right symbol-
full dynamics of the symbolism for each group studied.
ism with the more universal meanings of the great tradition.
BIBLIOGRAPHY
The application of Hertz’s thesis on the religious polari-
The articles referred to above can be found in Right and Left: Essays
ty of left and right in China was discussed by the French soci-
on Dual Symbolic Classification, edited by Rodney Needham
ologist Marcel Granet in 1933 (trans. in Needham, 1973).
(Chicago, 1973). Still valuable is Ira S. Wile’s Handedness:
The Chinese textual and ethnographic evidence differs from
Right and Left (Boston, 1934). Bibliographic references to
that of the Western monotheistic religions insofar as the Chi-
right and left symbolism and physiological differentiation are
nese regard the left side as a place of honor even though
generally classified under the heading “right and left,” while
right-handedness is encouraged by social convention. Granet
“left and right” normally designates political subject matters.
found that preference for the left or right varies in traditional
New Sources
Chinese culture, depending upon the context. For example,
Crandall, David P. “Female over Male or Left over Right: Solving
children are taught to eat with the right hand, but males greet
a Classificatory Puzzle among the Ovahimba.” Africa 66, no.
others by bowing, presenting the left hand and covering the
3 (1996): 327–348.
right, while females reverse the pattern, concealing the left
Dalton, C. W. The Right Brain and Religion: A Discussion of Reli-
hand and exposing the right. Male/female differentiation of
gion in the Context of the Right- and Left-Brain Theory. Lake-
right-and-left symbolic acts corresponds to the yin/yang
side, Calif., 1990.
metaphysical polarity. Left, yang, and male are associated
Lytton, Ursula. “Aspects of Dual Symbolic Classification: Right
symbols in opposition to right, yin, and female. The opposi-
and Left in a Japanese Kyu-Dojo.” Asian Folklore Studies 48,
tion is not diametric, however, but circumstantial, conform-
no. 2 (1989): 277–291.
ing to strict social codes and rites that determine etiquette
RICHARD C. MARTIN (1987)
throughout society. Thus, at the levels of the universe (cos-
Revised Bibliography
mos), society as a whole (etiquette), and the human body
(physiology), left and right are differentiated, though both
are valued in their symbolic association with yin and yang,
LEGALISM.
sky and earth, male and female as opposing but complemen-
Legalism refers to theories of statecraft that
tary forces in the universe. The Chinese case differs from
emerged in China after the weakening of the Zhou confeder-
most others, because neither side of the interactive polarity
ation in 403 BCE. Legalist thinkers never formed a school of
is consistently valued over the other; preference is deter-
thought that matched the Confucian establishment. It was
mined by context.
later Han dynasty (206 BCE–220 CE) syncretists who labeled
certain early thinkers fajia for their commitment to clear,
Tribal societies exhibit left-and-right symbolic differen-
public laws (fa) backed by predictable, harsh punishments as
tiation at the levels of cosmic myth, social interaction, and
the foundation of government. The most famous early prac-
physiological performance. In Africa, for example, there is
tioners of Legalism associated themselves with the state 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
LEGALISM
5395
Qin, which eventually conquered its rival kingdoms and es-
lines between adherents of the major schools of thought
tablished the first Chinese empire in 221 BCE. But Legalist
often blurred. For example, it was the greatest Confucian
ideas filter through many other texts from the Warring States
scholar of his day, Xunzi (310–220 BCE), who trained two
period (403–221 BCE) and inform later political theories that
of the most influential Legalist reformers of the late classical
developed to accommodate the centralized, imperial state.
era, Han Fei and Li Si.
THE ROLE LAW IN GOVERNMENT. Shang Yang (fl. 359–338
LAW AND PUNISHMENT. Xunzi based his legal theory on a
BCE) presented a strong case for replacing local customs with
realistic assessment of the costs and benefits of the state and
a unified state-sponsored legal system. As a young man he
its institutions. More pragmatic than earlier Confucians, he
is said to have studied criminal law, which suggests that by
believed that humans by nature compete for resources and
the fourth century in China a conception of law that was
must be restrained by a strong state and strict laws. But he
backed by punitive measures already existed. He lived in a
recognized as well that laws are only as effective as the men
world in the midst of massive social upheaval, as kings grew
who administer them. His student, Han Fei, moved one step
ever more powerful, “new men” free from ascriptive ties
further and placed his faith squarely on mechanistic laws that
served as court advisers, and taxpaying peasants replaced aris-
would restrain the bureaucrats and punish the deviant. Liv-
tocrats in warfare. The proper role of law in this new world
ing in a time when it had become clear that only a strong
was a matter of much discussion, and Shang Yang’s views are
centralized state could put an end to warfare that had become
identified in a book, Shangjunshu (The Book of Lord Shang),
constant and costly, Han Fei proposed measures that bol-
that most likely represents the collective wisdom of a group
stered the state and its institutions rather than the welfare of
of like-minded realists. According to the text, Shang Yang’s
local communities. He advocated clearly defined and appro-
service at the court of Duke Xiao of Qin in 359 BCE involved
priate rewards and harsh punishments to control all human
him in court debates with a ruler wary of tampering with the
behavior—including the acts of rulers and bureaucrats. Cod-
laws and courtiers committed to maintaining the status quo.
ified law, in his scheme, would mitigate the arbitrary, whim-
Shang Yang addressed their concerns about the dangers of
sical decisions that brought so much chaos to the world.
replacing laws based on kinship, custom, and historical pre-
“Law is confused if private standards are used,” and “When
cedent with more universal standards. He declared the past
laws are established, punishments will be consistent.” Han
so varied and complex that it could not serve as a reliable
Fei’s concern that laws be clear and public and punishments
guide for contemporary governments: “If the Emperors and
consistent and predictable resonated with other Warring
Kings [of old] did not copy one another, what standards
States writers, especially when the death penalty was in-
should we follow?” But Shang Yang himself wasn’t above
volved. The eclectic text Guanzi, for example, bluntly de-
manipulating contested historical precedent to legitimate his
clares, “When the people know the death penalty is inevita-
claim that law has a time-honored place in government. He
ble, they will fear it.”
noted, for example, that some of the most effective rulers in
Predictable laws and legitimate punishments worked
the golden age did in fact use laws and punishments with
best if they were based on immutable standards that could
good results.
withstand human manipulation, and for some third-century
Shang Yang and later Legalists concerned themselves
thinkers, a universal natural principle, the dao, rather than
with the character of laws, which in their view must be clear-
the old books and ways of the past, seemed to best serve that
ly written, universally disseminated, and backed by consis-
purpose. Han Fei discussed the dao as a workable standard
tent, appropriate punishments in order to operate as effective
for law, but other texts more clearly link human standards
deterrents. Legalist writers displayed an absolute commit-
with the law of nature. For example, the Jingfa, a text un-
ment to guard the welfare of the state rather than serve the
known to the world of scholarship until tomb excavations
will of the ruler or accede to the demands of the populace.
in 1974, clearly links law with nature. According to this
Shang Yang advocated measures designed to strengthen state
newly discovered work, “The dao gives birth to law, and law
control over the common people and the noble class alike.
marks what is crooked from what is straight.” A demand for
He proposed to organize commoners into taxpaying groups
clear laws and predictable punishments emerges as a major
whose members would suffer if any member failed to pay
theme as well in other familiar texts transmitted in the late
taxes or committed a crime, failed to ensure that households
Warring States and early Han dynasty. The Guanzi, for ex-
supply the manpower to support the armies, or failed to out-
ample, declares: “Therefore it is said that statutes, regulations
law private vendettas and to mete out rewards for meritori-
and measures must be modeled on dao. Commands and or-
ous service rather than family status. In his scheme, there was
dinances must be clear and open, rewards and punishments
no room for human caprice. Shang Yang echoed Aristotle
trusted and definite. These are the constant standards for
when he argued that good rulers are so rare that only laws
bringing justice to the people.” By the time the empire co-
could check their mistakes and protect their position: “An
alesced during the Han dynasty, legal reformers regularly
enlightened ruler is cautious in the face of the laws and regu-
urged the emperors to clarify the laws and maintain consis-
lations.”
tency in punishments.
Early Legalist and Confucian writers disagreed about
LAW AND EMPIRE. Arguments for clear, consistent, universal
the place of law and institutions in an ideal society, but the
laws make sense in light of the move toward empire 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
5396
LEGITIMATION
these late third-century thinkers witnessed. Universal rule
expression of the rule of law that subordinates rulers to the
would require standards that transcended local customs and
law, while others see them as the creators of a system of rule
particular histories. It is not surprising that one of the most
by law that places the rulers above the laws.
comprehensive blueprints for linking all human activities
with cosmic patterns was produced in the state of Qin, which
SEE ALSO Han Fei Zi; Law and Religion, article on Law
unified China in 221 BCE. The Lushi Chuqiu, compiled
and Religion in Chinese Religions.
around 239 by a group of scholars retained by Lu Buwei, a
merchant and high-level official in the state of Qin, set forth
BIBLIOGRAPHY
an intricate scheme for managing political and religious du-
The most accessible recent account of Legalism in the context of
ties according to the patterns of the natural world. The text
early Chinese culture and intellectual currents is by Benja-
incorporates Legalist notions of the importance of consistent
min Schwartz, The World of Thought in Ancient China (Cam-
laws and punishments, firmly rejects the standards of the past
bridge, Mass., 1985). Li Yuning offers an interesting survey
of perspectives about Shang Yang in relation to Maoist poli-
as being too unreliable for present circumstances, and creates
tics in China in Shang Yang’s Reforms and State Control in
an almanac for scheduling punishments in a manner that
China (White Plains, N.Y., 1977). Randall Peerenboom dis-
would not upset the cosmic balance. Archaeological excava-
cusses Legalist theories in China with a historical introduc-
tions in China after 1975 have yielded legal materials that
tion and contemporary evaluation in China’s Long March To-
allow scholars today to check the literary and historical re-
ward Rule of Law (Cambridge, U.K., 2002). A selection of
cord with a new perspective. The Qin materials unearthed
translations of original materials related to law in early China
at Shuihudi, for example, demonstrate that the low-level offi-
can be found in Sources of Chinese Tradition. Vol. 1: From
cial in charge of local legal matters who took his administra-
Earliest Times to 1600. Compiled by Wm. Theodore De
tive guidelines to his grave was bound by strict procedures
Bary and Irene Bloom (New York, 1999).
himself and in turn enforced draconian measures on his
KAREN TURNER (2005)
charges.
The first emperor of China boasted in 221 that his cre-
ation would last ten thousand generations, but the task of
LEGITIMATION is a process in which new situations
imposing legal and religious uniformity in the new territories
in society are sought, or current ones sustained, through ref-
under its control proved so onerous that the dynasty col-
erence to widely shared values and/or qualities. Law and
lapsed after less than two decades. The succeeding Han
order, tradition, justice, patriotism, class affiliation, and eth-
dynasty legitimated the use of force to destroy Qin by prom-
nic identity are common legitimating values; charismatic
ising to simplify and mitigate Qin’s harsh laws. But contrary
leadership, the status quo experience of success, and the sting
to early Han claims to reject the harsh laws of Qin, the Han
of oppression are common legitimating qualities. Legitima-
code recently unearthed at Jiangjiashan shows that to the
tion is a feature of all formal governance but must not be
contrary, the laws of Qin remained as the foundation for the
construed exclusively as such. Nongovernmental groups also
new dynasty’s legal system. Indeed, law codes, case manuals,
seek to preserve or alter social arrangements, and their success
and literary materials from medieval and late imperial China
similarly depends upon their capacity to link goals with com-
reveal that Legalist conceptions of law as a means of exercis-
mon values and qualities, somtimes for and sometimes
ing control and centralized power lived on in China, despite
against the interests of governments. By “social action” we
the attempts of orthodox Confucian scholars and bureaucrats
mean efforts by nongovernmental groups to promote or re-
to associate themselves with more benign forms of control
sist social change. It is not our task here to discuss legitima-
through education and sound leadership.
tion of and by governments in general or social action pro-
Modern views of the early Legalists are mixed. Some
moted by secular, nongovernmental groups, although in
thinkers blame them for creating a draconian legal system
both cases religious and parareligious values and qualities are
that undergirded despotism, while others see them as pre-
sometimes used as legitimating references. The scope of this
scient realists who did not shirk from evaluating traditions
article is social action undertaken by religious communities
with a utilitarian eye. After the Chinese empire suffered in-
and legitimated by reference to values and qualities preferred
within their own traditions. Religiously legitimated social ac-
ternal and external attacks in the mid-nineteenth century,
tion can refer to actions undertaken by religious hierarchies,
some thinkers rejected Confucian conservatism and turned
denominational agencies, local congregations, groups within
to the early Legalists for inspiration as they attempted to re-
congregations, or church members who act through volun-
form the imperial apparatus. During the Maoist period,
tary associations outside their religious institutions.
when Confucianism represented all that was feudal and deca-
dent, the Legalist thinkers were touted as realistic men of ac-
The fact that social action is promoted by religious
tion. In the post-Maoist reform era in China, debates about
groups and is religiously legitimated does not insure its posi-
the efficacy of law have become urgent as China enters a
tive worth. Religious social action, as we understand it, in-
global economic and legal order. Some contemporary Chi-
jects into a situation new sensitivity to issues and attempts
nese political thinkers point to Legalist thought as an early
to undercut spurious legitimations of power. Spurious legiti-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEGITIMATION
5397
mations often have appeared in the interests of nationalism,
on the other hand, are the social-ethical claims that inform
and the church often has become a legitimating authority for
or guide action in the realm of “history”—the structured
imperial power.
sphere of group life with its particular roles and rules. Objec-
tive values attach to the structures of society, the family (es-
The examination of legitimation is largely a study of
pecially in its relation to other spheres), the state, the com-
ambiguity, of value orientations amenable to a variety of
munity, property and production, education, science, art,
meanings or interpretations. The reasons for this include the
and “organized” religion.
variety of situations in which ostensibly the same sanctions
are appealed to, the variety of interests that come into play
Moral life, then, comprises both subjective and objec-
in a single situation, the mixture of good and evil, the con-
tive values, and they are of course interrelated. Social action
flict among values, and the difficulty of providing a rational,
must relate to all these levels. Martin Luther King, Jr., Mo-
unambiguous formulation of the legitimation claimed.
handas Gandhi, and current theologians of liberation all
SOCIAL ACTION. The unique context of social action is the
agree that there is a clear and direct link between personal
modern community in which diverse groups coexist under
spirituality and a person’s social praxis.
the rubrics of freedom of association, freedom of assembly,
Values sometimes are widely held and are central for an
and freedom of speech. Within pluralistic society, govern-
entire society, while others are held only by a few and are
ment is generally viewed as the one association that holds a
marginal for the society. Marginality, however, is not irrele-
monopoly on legitimated coercion. Modern pluralism im-
vance. Radical transforming insights frequently originate at
plies that associations may hold conflicting values. In an
the margins of society, calling into question central values
open society, where change and conflict are common, dissent
while also expressing a desire for community based on alter-
is entitled to a hearing and to constitutional protection. In
native values. This was true of ancient prophecy and is true
fact, one role of associations (James Madison called them fac-
as well of many modern movements. Most Western monasti-
tions) is to guard the state against demonic usurpation of au-
cism, for example, may be understood as socially marginal,
thority by any group; they do so by means of an ongoing dia-
subjective withdrawal from the social community. But, as
logue among rival conceptions of what is legitimate. The
many have observed, monasticism has often reentered the
growth of voluntary associations in modern society has en-
community at large in objective, world-affirming ways: ser-
hanced the importance of public opinion as a factor in social
vice, reform, intellectual leadership, and contemplative inspi-
reality. Social action, therefore, is concerned to affect public
ration. This two-sidedness has existed in the Gandhian ash-
opinion.
rams, in the black churches that supported the civil rights
The means for social change are viewed differently by
movement, in contemporary Latin American base communi-
different parties. Some prefer subjective means aimed at
ties, and in many communitarian experiments of the past
modifying larger social realities through the power of trans-
two centuries. There is a dynamic interaction of values back
formed persons and the spread of influence from person to
and forth, between the margins of society and the center.
person and from persons to social structures. This approach
THE DECLINE OF AUTHORITY. Legitimation is aligned with
depends upon good character rather than organized planning
authority and is dependent on it. Many would agree, howev-
and action by groups. A second approach, philanthropy, of-
er, with Hannah Arendt’s disconsolate view that “authority
fers assistance to persons and groups whose efforts show signs
has vanished from the world.” The modern world has an au-
of positive outcome for the larger society. This approach, im-
thority crisis, therefore a legitimation crisis (see Arendt,
portant as it sometimes is, aims more at remedying the con-
1958; Habermas, 1975). Since Plato, it has been understood
sequences of social (structural) dysfunction than at criticism
that power rests on authority outside the present situation:
and change of social structures. Finally, some believe that
nature, God, eternal ideas, custom, or some historical event
meaningful social change must occur at the level of socioeco-
of great importance. These outside authorities have been re-
nomic and political structures. It is this approach that we call
ferred to by some as elements of “numinous” legitimation
social action.
(see Sternberger, 1968). In past times of effective authority
Social action is concerned with what H. Richard Nie-
such as the Roman Empire and the Christian Roman Em-
buhr (1954) calls the macro, meso, and micro levels or di-
pire, those authoritative elements have been persuasive, legi-
mensions of human experience. It is concerned primarily
timating whole societies. In modern times, they are undercut
with the macro and meso levels although changes in these
and we are left in a myopic state of individualistic want-
levels affect and are affected by the micro level. Ernst Tr-
orientation with far-reaching implications for all realms of
oeltsch (1968), through his distinction between subjective
life from the most public to the most private, including polit-
and objective values, deals with these same conceptions in
ical organization and religion (see Tribe, 1976; Arendt,
a somewhat different way. For Troeltsch, subjective values
1958). The value that most frequently replaces traditional
spring from an individual’s direct relation to God, one’s di-
legitimating values is the state. In modern Western states, the
rect relation to other persons, and one’s internal dialogue in
problem of authority is complicated by the fact that individ-
the striving for integrity. Here truthfulness, openness, benev-
ualism carries within itself seeds of dissonance; capitalistic in-
olence, and loyalty are characteristic values. Objective values,
dividualism and democratic individualism contradict one an-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5398
LEGITIMATION
other in theory and practice (Troeltsch, 1968). The goal of
ic. But nationalism is ambiguous. Gandhi appealed to na-
the latter is freedom, whereas that of the former is want-
tional interests, or “home rule,” both as a way of overcoming
satisfaction. The latter leads toward a broadening recogni-
the unwieldiness of deep-seated village sovereignty and as a
tion of personhood and rights with attendant pluralism and
way of uniting India against British rule. And Martin Luther
a stress on community; the former leads toward bureaucrat-
King, Jr., effectively appealed to the national interest by forc-
ization of production and suppression of opportunities for
ing issues into federal jurisdiction in order to overcome the
democratic expression of individuality.
segregationism that dominated Southern state and local
courts. In the sections that follow, the thread of nationalism
The impact of social change is greater in the modern
as a major legitimating value runs through virtually every sit-
epoch than in former ones. The rapid rate of change in recent
uation examined.
generations is unique in history and destabilizes enduring
values. Legitimation is more difficult in the context of un-
PRAXIS. In 1851, Stephen Crowell, a trustee of Princeton
precedented change.
Theological Seminary, in his volume New Themes for the
Protestant Clergy (Philadelphia, p. 15), asserted, “The whole
Likewise, the impact of modern pluralism and responses
socialist movement is one of the greatest events of this
to it have raised other problems for legitimation. In Roman
age. . . . The works of socialists have exposed this hideous
Catholicism, for example, Vatican II has been a watershed,
skeleton of selfishness—they have pursued it with unfalter-
opening the way for a more pluralistic emphasis in the
ing hatred; and this constitutes our main obligation to them”
church. At the same time, the Roman church is experiencing
(cited in Stackhouse, 1985). This exposure, he argued, calls
strong internal conflict on some key issues such as human
for a new application of Christian principles to the economic
sexuality, the roles of women, and the place of popular reli-
order. The book was published three years after the Commu-
gious movements within the church. The Vatican is faced
nist Manifesto and three years after the appearance of the
with a dilemma about whether to impose traditional mono-
Christian Socialists sponsored in England by Frederick Den-
lithic authority upon its increasingly pluralistic and world-
ison Maurice and Charles Kingsley “to socialize Christianity
wide constituency; the issues of liberation theology and pop-
and Christianize socialism.”
ular religion in Latin America are current cases in point.
Protestant evangelicals are experiencing analogous difficul-
Earlier in the nineteenth century, Roman Catholic writ-
ties. They no longer can claim unity of political goals. A pro-
ers had mounted a similar attack. Social action in the follow-
gressive wing attacks the conservative political values and
ing period of well over a century concerned itself not only
programs of right-wing evangelicals.
with a critique of the legitimacy of the industrial system but
also with experiments in alternative social groupings. These
NATIONALISM AND CIVIL RELIGION. When the “constitu-
experiments presupposed new conceptions of legitimacy.
tion of the everyday world” is examined in terms of its “pre-
ferred and preeminent modes of being,” there are “structures
Growth of the idea of social salvation. The search for
of faith and reason” that express the actual religious commit-
alternative societies may be traced to the writings of Plato,
ments of cultures, their orientations toward what is deemed
Thomas More, and Tommaso Campanella, and also to the
by them to be sacred, “with or without the benefit of a tran-
heretical sects of the Middle Ages and the withdrawing as
scendent referent or supervening unity” (George Pickering).
well as the aggressive sects of the Reformation. Most influen-
Seen in this light, nationalism has become a dominant form
tial of all have been the monastic communities from which
of religion in the modern world, preempting a void left by
the concept of sainthood emerged. In these efforts, one can
the deterioration of traditional religious values. What appear
see the deliberate formation of nonoppressed, marginal
to be conflicting legitimations often are evidences of rival na-
groups in contrast to the oppressed margins in which the
tionalisms. Nationalism, devotion to nation as an ultimate
labor movements were born as well as the U. S. civil rights
reality or to one nation to the exclusion of others, must not
movement and grass-roots liberation movements in the
be confused with civil religion, values transcending a nation
Third World.
by which that nation is both legitimated and judged (see
Of special character and significance were the social ac-
Mead, 1975; Bellah, 1967). Indeed, nationalism and civil re-
tions associated with communitarian movements in the
ligion may often conflict. Nationalism, without any means
United States and Europe. The fantastic schemes of Samuel
for self-transcending criticism, is inclined toward the demon-
Taylor Coleridge and Robert Southey are familiar. In the
ic. Its primary interest is unquestioning loyalty. Civil reli-
United States these experiments, religious and secular, ap-
gion, on the other hand, tests present reality by reference to
peared from New Hampshire to Oregon, from the Rappites
transcending values that represent the ideals and values of a
and the Owenites to the Shakers and Brook Farm. In the
nation.
nineteenth century, there were over a hundred known com-
Carl Schmitt (1932) saw that nationalism is fueled by
munities of more than one hundred thousand men, women,
the fear of an enemy. Hitlerism was promoted as a means for
and children. Writing to Carlyle in 1840, Emerson said, “We
saving Germany from Bolshevism. The lengthening conflict
are all a little wild here with numberless projects of social re-
between the Soviet Union and the United States in this cen-
form. Not a reading man but has a draft of a new community
tury may be understood, at least in part, by the same dynam-
in his waistcoat pocket.”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEGITIMATION
5399
Egalitarianism was a major nerve of these movements.
who participate in presidential elections has diminished by
Their conceptions of legitimacy issued in the demand for
nearly half in this century. As these conflicts became more
equality of sex, nationality, and color, the abolition of private
obvious, the crisis of legitimations became more acute. In
property, the abolition of slavery, the humane treatment of
this period of attacks upon prevailing legitimations, increas-
domestic animals, and the practice of nonresistance.
ing appeals were made to the teachings of Jesus as a final au-
thority, for example, by Walter Rauschenbusch in the earlier
Experiments have continued into the present century,
years of this century and later by John Bennett, Walter
for example, the interracial community Koinonia Farm in
Muelder, Reinhold Niebuhr, and others (see Stackhouse,
Americus, Georgia, and the mainly Roman Catholic Foco-
1985).
lare (“fireplace”) movement. The latter, an international
group with four thousand members, emphasizes face-to-face
The movement Christians for Socialism in Europe,
“family” groups stressing unity toward the end of transform-
North America, and Latin America is more pluralistic in
ing structures of domination through praxis rather than doc-
goals and methods. Here there is recognition of the church
trine, and uses mass media for wider communication. Espe-
as an economic and political power sometimes inimical to
cially significant too are the kibbutsim in Israel, the oldest
a socialist reorganization of society. Marxist tools of analysis
extant communal experiments among marginal, alternative
have been employed, but the major thrust is against inequali-
societies.
ty among classes, regions, and production sectors. The emer-
gence of new “base communities,” especially but not only in
In England, the philosophy of individualism may be
Latin America, has provided grass-roots support with a new
traced to left-wing Puritanism, with its attack on chartered
religious awareness in the face of institutional concentrations
monopoly and its promotion of the dispersion of power in
of power, ecclesiastical or economic.
church and state. Legitimation was found in the alleged con-
gregational polity of primitive Christianity. Here was the
This trend has continued, for example in papal encycli-
birth of the bourgeois revolt against feudalism. Later, the
cals since the end of the nineteenth century and, in the peri-
work of Adam Smith gave birth to belief in automatic har-
od since Vatican II, in the official statements issued by coun-
mony issuing from a free market. This hope for automatic
cils of bishops in Latin America and the United States. These
harmony constituted an eschatological form of legitimation.
Protestant and Catholic views in part have rearticulated a
This eschatology was fueled by the belief in progress, a re-
century-old religious socialism with its numinous legitima-
statement of the doctrine of providence. Marxism in dialecti-
tion of freedom in community.
cal fashion, centering attention on economic analysis and on
Gandhi’s appeal to religion. Mohandas Gandhi was
the hope for a classless society, also adopted an optimistic
born to a political father and a religious mother. The Gan-
eschatology.
dhis were vai´sya Hindus, though both mother and father, ac-
Automatic harmony failed to appear. Smith had not an-
cording to Gandhi’s reflections, were tolerant and actively
ticipated the advent of large corporations and the coalitions
interested in persons and ideas outside their own religious
among them, nor had he foreseen greater success in produc-
tradition. Gandhi’s mature religious views, consequently,
tion than in the capacity to expand markets, maintain em-
were grounded in Hindu wisdom but also mingled with non-
ployment levels, and encourage consumption. This econom-
Hindu, especially Christian wisdom. With this beginning, it
ic system left in its wake a residue of faceless poverty that over
is not surprising that, for Gandhi, God is greater than any
a long period has remained undiminished in proportion to
concept of God, Hindu or Christian. Gandhi interchange-
the middle class. Legitimation became more difficult to
ably used terms like truth, life, light, and love to describe
maintain as prebourgeois social solidarity eroded. In this cen-
God. In his view, one draws close to God by struggling
tury, as New Deal politics shifted from the older individual-
against evil in the world, even at the risk of death. He saw
ism, Roscoe Pound would speak of a return to features of
no distinction between religion and politics. Whereas many
feudalism. The legal system, however, stood in opposition,
saw him as a religious figure involved in politics, he saw him-
concerned about order more than justice.
self as a political individual trying to be religious.
The motivating vision for Gandhi was Ra¯ma ra¯jya, an
In an environment of individualistic pietism and privat-
ideal state of harmony in which the “welfare of all” (sarvo-
ization, the idea of “social salvation” appeared in the United
daya) would characterize the systemic interconnections of so-
States and Europe. From the ecumenical movement and the
ciety. There would be “rights alike of prince and pauper,”
World Council of Churches arose the idea of “a responsible
“sovereignty of the people based on pure moral authority,”
society.” The secular articulation of these new religiously
and “self-rule.” Human relations in Ra¯ma ra¯jya, therefore,
conceived ideas helped to legitimate the welfare state.
will manifest the principle of “noninjury” (ahim
˙ sa¯). Ahim
˙ sa¯
Meanwhile, the deprivations of Third World peoples
is more than refraining from hurting by active aggression; it
were coming into sharper focus and it rapidly became evi-
is subtle harmony of all living things; it is love in action. Be-
dent that bureaucratization of business and the welfare state
cause truth is beyond human grasp, one is bound to respect
was inimical to training for democratic citizenship. For ex-
the truth claims of others. One may not inflict injury (him
˙ sa¯)
ample, the percentage of eligible voters in the United States
upon others in the name of one’s own truth. Truth is larger
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5400
LEGITIMATION
than any person’s or group’s comprehension of it; it is always
for Buddhahood in So¯ka Gakkai is the sign of the one and
beyond, judging every human truth. One must “hold on to
only true religion; other religions are to be uprooted. Con-
truth” (satya¯graha) in the latter sense, that is, one must be
version of nonmembers requires “a stern strategy” of pum-
committed to the truth one knows with humility, knowing
meling (“breaking and subduing”) the unbeliever, which is
that one’s commitment is ultimately to the greater, unseen
the highest form of compassion. There is confidence that
truth (see Chatterjee, 1983).
inner reform (subjective virtue) will move outward to infuse
politics, economics, art, and all spheres of life with new
In the Gandhian movement, we find the three legiti-
value.
mating forces discussed by German sociologist Max Weber:
tradition, charisma, and law. Gandhi himself was charismat-
So¯ka Gakkai has been politically active, at one time es-
ic; Hindu values were traditional; and Gandhi, an attorney
tablishing a political party and gaining several representatives
by training, believed in law even when he took exception to
in the national legislature. Its successful international mis-
it through civil disobedience.
sionary efforts have generated mass peace rallies. In a volume
sponsored by the rapidly growing Youth Division, Peace Is
Gandhi met many forms of resistance to his work, even
Our Duty (1977), many individual statements recount vivid-
from some who shared his general desires for transformation.
ly the brutalities of war and the callousness of former military
His differences with Rabindranath Tagore are well known;
training. It is not quite clear what the work for peace is apart
both were religious, but Tagore seriously disliked many of
from rallies; economic questions relating to world peace are
Gandhi’s methods. Gandhi’s conflict with B. R. Ambedkar
not taken into account.
over how to deal with the issue of untouchability was even
more serious. Ambedkar, born an untouchable himself, saw
The fundamental motivation (or legitimation) of this
Gandhi’s approach as bourgeois, therefore ineffective and
“value-creating” movement resides in Buddhahood, though
even harmful in perpetuating the very oppressions in ques-
legitimation has been scarcely a pressing matter; the posses-
tion. The final irony is that Gandhi’s assassin belonged to
sion of truth suffices. The authoritarian, nationalist ethos
a Hindu group whose members resented Gandhi’s openness
and concern for individual happiness are readily evident. But
to Muslims.
still more evident is the transformation from early Bud-
dhism’s escape from history to a dynamic, utilitarian this-
Transformations in recent Buddhism. In Japan since
worldliness, yet with no social action in the strict sense.
World War II, numerous new religions (voluntary associa-
Rissho¯ Ko¯seikai, possessing six million members, also
tions) have enjoyed phenomenal growth. From among these
traces its heritage to Nichiren and earlier Maha¯ya¯na Bud-
we select the lay Buddhist movements So¯ka Gakkai and
dhism. Oriented to the Lotus Su¯tra, members of Rissho¯
Rissho¯ Ko¯seikai for a brief account. Both these new religions
Ko¯seikai interpret the way of the bodhisattva as the path of
trace their heritage to the Buddhist “Nichiren sect” stem-
those who, in compassion, strive to achieve salvation for
ming from the thirteenth century.
themselves and others “who shed tears of sorrow.” All people
Literally translated, the name So¯ka Gakkai means “the
have the potentiality of attaining Buddhahood; conflict pre-
value-creating society.” The movement, characterized by
vails in the world because people have forgotten this potenti-
family membership, has claimed to have sixteen million on
ality. One aims to be loyal to one’s own country, but through
its rolls. Its mushroom growth sprang from the ashes of the
religious faith one hopes to be united with other peoples in
second world war. These value preferences, it is claimed, can
a spirit transcending national boundaries.
be traced to Nichiren who seven centuries ago brought Bud-
This movement was founded in 1934 by Niwano
dhism to the common people and who traced authority to
Nikkyo¯, who was thoroughly familiar with the Lotus Su¯tra,
the Lotus Sutra of the fourth century.
and by a prophetess, Naganuma Myo¯ko¯, who from time to
The characteristic ideas of this su¯tra are that every living
time received revelations regarding immediate situations.
being possesses the Buddha in embryo and should, through
They tirelessly visited the sick, claimed miraculous healings,
meditation and discipline, achieve the enlightenment of
and offered pastoral counseling; these elicited personal trans-
Buddhahood and also assist others on the bodhisattva path.
formation and public testimonials. In all situations, they em-
All are heirs of the Buddha who engage in bodhisattva prac-
phasized the reading of the su¯tra; later Niwano published nu-
tice that leads to happiness in this world and the next.
merous articles of commentary on it. As Rissho¯ Ko¯seikai has
grown in size, close interpersonal relations of the early days
The basic faith issues from worship of the mandala and
have been retained in the form of the ho¯za, small groups in
the repetition of prescribed words of prayer enabling one to
which personal, family, neighborhood, and business prob-
get rid of delusion, to achieve merit toward happiness in this
lems are discussed with the assistance of leaders who are ap-
world and the next, to enter the state of Buddhahood, and
pointed and trained by the hierarchy.
also to contribute to world peace. Happiness consists in ma-
terial satisfaction (promised to everyone) such as economic
The general ethos is authoritarian, reflecting the charis-
prosperity, freedom from bad personal habits and adversity,
matic and administrative leadership of Niwano.
sound health, peace of mind, and a bubbling over with
Institutionalized dissent is unknown. Various social ac-
joy—a markedly utilitarian, cash-value religion. The search
tivities are encouraged, including community projects 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
LEGITIMATION
5401
also vigorous assistance to the “boat people” in Southeast
a malady from which one escapes through complete detach-
Asia. These philanthropic concerns, however, have not led
ment. Yet today practical changes are being sought, for ex-
to political-social action, though there is some educational
ample, emancipation from “economic strangulation.” The
interest in such matters; young members going abroad are
inspiration for this stance is found in the career of the Bud-
studying international affairs and social sciences (and other
dha himself, who realized during the course of ascetic prac-
world religions). Rissho¯ Ko¯seikai, like So¯ka Gakkai, has
tices that privation did not conduce to spiritual liberation,
aroused widespread interest in world peace, stimulated of
or, in other words, that dharma can be better practiced on
course by the memory of the American destruction of Hiro-
a full stomach. This emancipation will bring freedom from
shima and Nagasaki.
want, economic well-being for the entire people, an end to
exploitation of man by man. In short, what is required is a
Niwano has vigorously promoted an international
Buddhist national socialism—adumbrated by U Nu, the first
thrust, for example, becoming active in the International As-
premier of independent Burma in 1948 (though his effort
sociation for Religious Freedom and in the World Confer-
was aborted, to be resumed by the revolutionary govern-
ence on Religion and Peace. He has served as president of
ment). Other changes are also demanded, for example, a new
both these organizations with their global constituencies,
role for the meditating lay person, who should have equality
searching in world religions for common bonds conducive
with the monks. Meditation is useful for both this world and
to peace. It should be noted, in addition, that concern for
nirva¯n:a, maintaining detachment for both worlds. A new
world peace is widely prevalent in Japanese society and not
meaning for karman makes room for change of the self and
only in these new religions.
for self-reliance. The bodhisattva ideal from Maha¯ya¯na Bud-
Legitimation is provided in general by the Lotus Su¯tra
dhism is reinterpreted to give sanction for public service in
and to some extent by modern conceptions of tolerance and
the community, to be sure not without a strong element of
interfaith cooperation. One does not, however, discern any
nationalism. Detachment can accompany activity in the
tendency to alter the authoritarian, hierarchical structure of
world toward achieving nirva¯n:a peace in daily life. For the
Rissho¯ Ko¯seikai itself. The question of legitimation, though
understanding and enhancement of daily existence, the study
not fully formulated in Rissho¯ Ko¯seikai, is becoming more
of the sciences is encouraged, something traditionally found
important, as is evident in Niwano’s personal growth, which
in the teachings of Buddha.
is centered in traditional Buddhism but reaches out to West-
In these ways, sam:sa¯ra is being revalued. Legitimation
ern and Eastern non-Buddhist concepts, including the New
for this way of life is claimed by appeal to the intentions of
Testament and the writings of Gandhi.
the true Lord Buddha for the sake of otherworldliness within
It can be seen, from this brief discussion, that social ac-
this world. Since thousands of lives lie ahead of us, there need
tion within the group is still largely undeveloped. To be sure,
be no hurry about striving for the achievement of nirva¯n:a.
some new Buddhist groups are interested in philanthropic
King (1964) describes this paradox as having one’s cake and
effort. However, in Rissho¯ Ko¯seikai as well as in So¯ka Gak-
eating it, too. With an absolutely straight face, the defender
kai, political participation is not explicitly promoted. We can
can say that these developments provide a new hope for
see how objective values are beginning to engage attention
transformation in this world in preparation for the next,
in the Nichiren groups but more in practical, microcosmic,
while at the same time maintaining the rule of dharma
and mesocosmic (e.g., neighborhood) ways than in systemat-
against false consciousness and greed. In all this, one can de-
ic macrocosmic ways—that is, apart from the peace move-
tect influences from the West and from Marxism.
ments. Yet, in all this a return to this-worldliness is markedly
The civil rights movement in the United States. The
evident.
civil rights movement of the 1950s and 1960s in the United
In recent decades a turn toward this-worldliness is in-
States is significant for our present purposes because the
creasingly apparent in Therava¯da Buddhism, too, especially
movement claimed legitimations that were largely, though
in Burma, though not without tensions that render the out-
not entirely, religious in a traditional sense. The movement
look ambiguous. This turn is taking place at both the macro-
was a religiously legitimated mass social-action movement.
cosmic and the microcosmic levels. Indeed, the evaluation
Black church networks provided the talent, energy, and insti-
of the world has become so positive that escape from it in
tutional connections that were determinative for the wis-
complete detachment is not a primary or immediate goal.
dom, strength, and durative power of the movement.
This change of outlook has appeared strikingly in the
Martin Luther King, Jr., added a charismatic presence
sphere of objective, institutional values. Winston L. King, in
to the movement and became its focal personality and sym-
his writings, has delineated these changes of recent decades.
bolic leader. As one whose father, grandfather, and great-
In his article “Samsara Re-Valued” (1964), he succinctly de-
grandfather had been Baptist ministers, whose father and
fines sam:sa¯ra, the round of births and deaths, as a synonym
grandfather had been civil rights leaders in Atlanta, and as
for “all that is evil,” as compounded in the impermanence,
one who had himself earned a doctorate in systematic theolo-
suffering, and insubstantiality of the world, as well as in the
gy, King was well prepared in many respects to lead a social-
“no-souledness of individuatedness of space-time existence,”
action movement legitimated by religious values and based
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5402
LEGITIMATION
in churches. Within the black church tradition, King knew
of King’s genius to understand their feelings and the history
the symbolism, the characteristic networking, and the style
from which such feelings come into being. This moral ele-
of male-oriented, charismatic leadership. He also knew the
ment, despite its ambiguity, helps to explain the depth of
ins and outs of the liberal Protestant social theology that ech-
feeling, commitment, and sacrifice that characterized the
oed in many Northern churches and seminaries. He could
movement on all sides but especially among the inner ranks
preach extemporaneously from his thorough familiarity with
of the nonviolent workers.
the ideas of Walter Rauschenbusch, Paul Tillich, Reinhold
We find again Weber’s three kinds of legitimation—
Niebuhr, Henry Nelson Wieman, and the Boston University
tradition, charisma, and law. The black church and liberal
personalist theologians, as well as the rich theological heri-
theology were traditional elements; the black minister model
tage of the black church.
of leadership was charismatic, and King was its consummate
From his church tradition and theological education,
manifestation; and civil rights work in the South before
King emphasized community (“beloved community,” he
1955, especially the work of the National Association for the
called it), faith in a personal God who struggles in history
Advancement of Colored People (NAACP), focused very
side by side with those who suffer and work for justice, an
often on legal redress and on respect for the courts and bring-
eschatological vision of liberation, and a doctrine of human
ing pressure to bear on them. Most interpretation of this
personality rooted in God as personal. With these he inter-
movement overemphasizes the role of charisma, mistakenly
preted the significance of being free and fully human on the
following Weber’s thesis that charisma is the chief legitimat-
one hand, and the destruction of human personality by rac-
ing force that produces social change. Such a view distorts
ism on the other. The means of social transformation and
the role of King even as it intends to elevate his importance,
liberation had to be in accord with the goal of the beloved
and it also undervalues the importance of indigenous leader-
community. For King only nonviolence, rooted in Christian
ship in southern black church communities (see Morris,
love and influenced by the example of Gandhi’s nonviolent
1984).
satya¯graha campaigns in South Africa and India, could pro-
Theologies of liberation. Since 1960, theologies of lib-
duce change and create “beloved community.” For King,
eration have emerged from theologians identified with the
these values were grounded in a willingness to suffer and a
experiences of oppressed groups, groups that have been
belief that unmerited suffering can be redemptive. These
pushed to the margins of society by economic and political
legitimating values were the heart of the movement.
systems. From this new perspective, earlier traditional theol-
In spite of religious values at the center of the move-
ogies too often have been unwitting expressions of privileged
ment, many in the churches did not follow King’s lead. In
interests that serve to further the oppression of groups such
his famous 1963 “Letter from Birmingham Jail” King la-
as women, the chronically poor, and black people. This sec-
mented the failure of churches, especially white church lead-
tion will concentrate primarily on Latin American theologies
ers, to support the movement. Even before 1966, there was
of liberation. Feminist theologies, black theologies, and liber-
tension within the movement when King and his supporters
ation theologies from Africa and Asia also offer much to this
were challenged by a group of younger black leaders who
conversation as they challenge traditional legitimating values.
wished to move ahead faster and with greater militancy. In
One thing is common to Latin American theologies of
1966, this challenge within the movement became public
liberation—the view that theology is never ideologically neu-
and serious when the cry of “black power,” supported by
tral, that no theology is Christian if it is aligned ideologically
Stokely Carmichael and Floyd McKissick, struck a resonant
with privileged groups and against the welfare of already op-
note among civil rights workers and created a legitimation
pressed groups. Theology, these theologians believe, must
crisis in the movement, a crisis that was not resolved at the
serve as an element of liberation rather than oppression.
time of King’s murder and is not yet resolved in liberation
struggles around the world. The struggle against apartheid
In most liberation theologies, scripture is placed side by
in South Africa and the revolutionary struggle against pover-
side with the suffering of the poor. The God of scripture is
ty in Latin America are current examples of the same crisis
one who liberates, who is on the side of the poor against their
over which values will legitimate and guide social transfor-
oppressors. In the faces of the poor one meets God in history;
mation.
the liberation of the poor in history is the work of God. Lib-
eration praxis is the way of meeting and serving God in histo-
The civil rights movement also precipitated an old ten-
ry; it is the way of discipleship.
sion in American life between the legitimating ideals of the
Constitution and federal courts on the one hand, and persis-
In light of the strong emphasis on scripture as a primary
tent attempts of regions to resist federal domination on the
legitimating authority for many liberation theologians, it is
other. On both sides of the conflict, people felt they were in
important to note that some feminist theologians believe that
a moral struggle. One of King’s most repeated aphorisms was
scripture is so thoroughly accommodated to past cultures of
“The moral arc of the universe is long but it bends ultimately
oppression which produced it, that it cannot legitimate liber-
toward justice.” On the other hand, some supporters of Jim
ation; legitimations for liberation, especially the liberation of
Crow also believed their struggle was a moral one. It was part
women, must be sought elsewhere. It is at this point that cer-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEGITIMATION
5403
tain feminist theologians suggest such alternative sources as
The Weberian elements are visible in the liberation
goddess traditions to legitimate theology and social praxis.
movement in Latin America. Scripture and the church, the
Among black theologians also, there is debate about the role
two great elements of Catholic authority, continue to be af-
of scripture as a legitimating source. In the black churches
firmed even when reinterpreted; they are traditional ele-
of the United States, there is no doubt that scripture has been
ments. There are charismatic leaders, heroes, and martyrs in
central; some, however, believe it would be better to draw
the movement—Helder Camara, Camilo Torres, Gustavo
more of African culture as a central source of liberating prax-
Gutiérrez, Rutillo Grande, and Oscar Romero among others;
is. But in Latin American theologies of liberation, scripture
but there is no one person who marks this movement as King
is fundamental.
marked the civil rights movement in the United States or
There are areas of ambiguity in these theologies. For in-
Gandhi marked the work in India. This is a more diffuse,
stance, if God favors the oppressed, how is the concept of
more people-oriented movement in which democratic orga-
the church as God’s people to be reconciled with the histori-
nization and participation transcend the role of charisma.
cal reality of the church in which there are both oppressed
The result is a different kind of people empowerment. The
and oppressors? This has been a central question for libera-
element of law can be seen in the ongoing role of church au-
tion leaders such as Oscar Romero, Helder Camara, and
thority; it can be seen also in the desire to transform society,
Camilo Torres. If social transformation is legitimated by ap-
if possible, by lawful means.
peal to God’s preference for the poor and oppressed, does
Concluding remarks. In the so-called secular, modern
that introduce partisan divisions into the body of the church?
world of the past century and a half, the role of religious le-
On the other hand, appeal is made to an image of the church
gitimation has been highly ambiguous. Progressive secular-
as a harmonious whole, as one body in Christ, undisturbed
ization has driven religion to the margins of contemporary
by historical injustices. History has shown, however, how the
culture. Some have lamented this while others have wel-
church denies and rationalizes the bitter conditions of the
comed “a world come of age.” This article has noted several
poor and oppressed in order, with a clear conscience, to sus-
major movements of social transformation whose primary
tain the ideal of wholeness as a credible legitimating ideal.
legitimating values are religious.
One can see these ambiguities in current discussions sur-
rounding the Vatican instruction on liberation theology and
The social-reform movements represent a focus on
the Vatican’s silencing of the Brazilian theologian Leonardo
world affirmation or social salvation. In the case of Gandhian
Boff.
applications of Hindu values and new Buddhist socialism,
In the Ecumenical Association of Third World Theolo-
world affirmation is a reversal of traditional world negation
gians (EATWOT), which includes among its members many
or contempt for the world. In the case of Latin American lib-
of the Latin American theologians of liberation, there has
eration movements, world affirmation is the reclaiming of a
been disagreement about the order of importance of legiti-
prophetic tradition that until recently was recessive in the
mating principles. Oppression, and therefore liberation, are
Latin American church. In the civil rights movement, pro-
viewed by some as matters of class, by others as matters of
phetic world affirmation was a continuation of the black
race, and by still others as matters of culture. These differ-
church’s traditional emphasis on historical liberation. How-
ences, serious as they are, should not divert attention from
ever, scholars of black religions maintain that, from the Unit-
the wide agreement among these theologians about libera-
ed States Civil War until the civil rights movement, the pro-
tion as the essence of the gospel: liberation from sin, of
phetic edge of black church theology, so common in the
course, but also liberation in history from the oppressions of
antebellum period, was in recession. In spite of these recent
history.
examples of religiously legitimated social action, the barriers
to such change remain substantial. Bureaucratization of mili-
The social form of theology of liberation in Latin Amer-
tary, governmental, and economic powers increases the diffi-
ica is the base community movement. Concerns are largely
culty of effective social action. The global extent of these
practical—work, food, health care, freedom from political
problems is only now becoming fully apparent. In addition,
oppression and terror, and empowerment for political partic-
religious groups generally are divided about social action.
ipation. Liberation thought stresses the primacy of social
transformation at the macro level, but is also keenly aware
What characterizes the present situation is a movement,
of the interconnectedness of the personal with the sociohi-
by no means universal, toward world affirmation in the reli-
storical, the micro with the macro level. Objective virtue is
gious legitimation of social action. This is not a recent turn,
valued above subjective virtue, although the connections be-
parallel with the birth of the so-called postmodern era, but
tween them are clearly seen and appreciated (see Gutiérrez,
rather a slowly spreading phenomenon with roots in the
1984). Marginality is a key feature of the liberation move-
nineteenth century. It represents an extension of the modern
ments. The poor are the central subjects of this historical
emphasis on the world, with a peculiar twist that world affir-
process and theology. The phrase “the irruption of the poor”
mation in these movements is religious, not secular (see Cox,
points to that process by which the poor in the margins of
1984). This change is occurring in Eastern and Western reli-
society are speaking, organizing, and acting for themselves
gious traditions. Even pietistic religious groups have taken
in a new way.
an interest in social transformation. Cases in point are 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
5404
LEHMANN, EDVARD
recent emergence in the United States of the “moral majori-
Gutiérrez, Gustavo. We Drink from Our Own Wells. Translated
ty” as well as socially minded evangelical theology (see Mott,
by Matthew J. O’Connel. Maryknoll, N.Y., 1984.
1982). Especially interesting is the recent legitimation of
Habermas, Jürgen. Legitimation Crisis. Translated by Thomas
“democratic capitalism” with religious sanctions and, at the
McCarthy. Boston, 1975.
same time and by the same writers, a sharp criticism of recent
Hartshorne, Charles. “Toward a Buddhisto-Christian Religion.”
statements on the economy issued by the Catholic bishops
In Buddhism and American Thinkers, edited by Kenneth K.
of the United States.
Inada and Nolan P. Jacobson, pp. 1–130. Albany, N.Y.,
1984.
The growth of prophetic, world-affirming religiousness
King, Winston L. “Samsara Re-Valued.” In Midwest Conference
is one manifestation, a notable one, of the search for moral
on Asian Affairs. Carbondale, Ill., 1964.
meaning in a modern world (see Tipton, 1982). It is not the
Mead, Sidney E. The Nation with the Soul of a Church. New York,
only one, however; modernism is pluralistic and the search
1975.
for moral meaning is drawn in many directions, especially
Mead, Sidney E. The Old Religion in the Brave New World. Berke-
by the lure of nationalism. It would seem, however, judging
ley, 1977.
from the vitality of world-affirming religious movements
Morris, Aldon. The Origins of the Civil Rights Movement. New
during the past 150 years, that religious legitimation of social
York, 1984.
action is destined to play a continuing role in the struggles
Mott, Stephen C. Biblical Ethics and Social Change. New York,
for social transformation in both East and West. It is worth
1982.
noting, in this connection, the Catholic church’s historic
Niebuhr, H. Richard. “The Idea of Covenant and American De-
transition toward world affirmation in the events of Vatican
mocracy.” Church History 23 (June 1954): 126–135.
II (see Gaudium et Spes, documents of the Consejo Episcopal
Niebuhr, Reinhold. Moral Man and Immoral Society. New York,
Latino-americano conferences at Medellín, 1968, and Pueb-
1932.
la, 1979, and the declarations of the Conference of United
Niebuhr, Reinhold. An Interpretation of Christian Ethics. New
States Bishops on Nuclear Weapons and the American Econ-
York, 1935.
omy.) Secularization has contributed to that expansion by
Niebuhr, Reinhold. The Nature and Destiny of Man. 2 vols. New
helping to clarify the conflict of rival legitimations inherent
York, 1941, 1943.
in it. The future of social action legitimated by traditional
Parsons, Talcott. “Authority, Legitimation, and Political Action.”
religious values, when pitted against powerful rival religions
In Authority, edited by Carl J. Friedrich, pp. 197–221. Cam-
or rival structures of faith and reason such as nationalism, re-
bridge, Mass., 1958.
mains to be seen.
Pickering, George. “Reflections on the Task of Social Ethics.”
Journal of the Interdenominational Theological Center (in
SEE ALSO Authority; Religious Communities, article on Re-
press).
ligion, Community, and Society; Utopia.
Schmitt, Carl. The Concept of the Political (1932). Translated and
edited by George Schwab. New Brunswick, N.J., 1976.
BIBLIOGRAPHY
Stackhouse, Max L. “Jesus and Economics: A Century of Chris-
Arendt, Hannah. “What Was Authority?” In Authority, edited by
tian Reflection on the Economic Order.” In The Bible in
Carl J. Friedrich, pp. 81–112. Cambridge, Mass., 1958.
American Law, Politics, and Political Rhetoric, edited by
Bellah, Robert N. “Civil Religion in America.” Daedalus 96 (Win-
James T. Johnson. Chico, Calif., 1985.
ter 1967): 1–21.
Sternberger, Dolf. “Legitimacy.” In International Encyclopedia of
Bellah, Robert N., and Phillip E. Hammond. Varieties of Civil Re-
the Social Sciences, edited by David L. Sills, vol. 9,
ligion. San Francisco, 1980.
pp. 244–248. New York, 1968. Contains an interesting dis-
Berger, Peter L. The Sacred Canopy: Elements of a Sociological The-
cussion of the history of the concept of legitimation.
ory of Religion. Garden City, N.Y., 1967. This is an especially
Tillich, Paul. “Kairos.” In his The Protestant Era. Chicago, 1948.
useful book for consideration of the complex issues of legiti-
Tillich, Paul. Love, Power, and Justice. New York, 1954.
mation.
Tipton, Steven M. Getting Saved from the Sixties: Moral Meaning
Berger, Peter L., and Thomas Luckmann. The Social Construction
in Conversion and Cultural Change. Berkeley, 1982.
of Reality: A Treatise on the Sociology of Knowledge. Garden
Tribe, Laurence H. “Ways Not to Think about Plastic Trees.” In
City, N.Y., 1966.
When Values Conflict, edited by Laurence H. Tribe et al.
Boulding, Kenneth. The Organizational Revolution. New York,
Cambridge, 1976.
1953.
Troeltsch, Ernst. “Fundamental Problems of Ethics.” In The
Chatterjee, Margaret. Gandhi’s Religious Thought. South Bend,
Shaping of Modern Christian Thought, edited by Warren F.
Ind., 1983.
Groff and Donald E. Miller. Cleveland, 1968.
Cox, Harvey. Religion in the Secular City: Toward a Post-Modern
JAMES LUTHER ADAMS (1987)
Theology. New York, 1984.
THOMAS MIKELSON (1987)
Gerth, Hans H., and C. Wright Mills, eds. and trans. From Max
Weber. Oxford, 1958. See especially chapters 4 and 11.
Gutiérrez, Gustavo. A Theology of Liberation. Maryknoll, N.Y.,
LEHMANN, EDVARD (1862–1930), was a Danish
1973.
historian of religions. Born in Copenhagen, Edvard Johannes
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEIBNIZ, GOTTFRIED WILHELM
5405
Lehmann began studying theology at the university there in
ground. In 1914 he published (with Johannes Pedersen) the
1880. Frants Buhl, in Old Testament, and Karl Kroman, in
treatise “Der Beweis für die Auferstehung im Koran” (The
philosophy, exercised the greatest influence on the young
proof of the resurrection in the QurDa¯n) in Der Islam, vol.
scholar. In 1886 he obtained his theological degree, and until
5, pp. 54–61; but his Stället och vägen: Ett religionshistorisk
1892 he earned his living as a schoolteacher while continuing
perspektiv (1917), on the static and dynamic elements in the
his theological and philosophical studies.
history of religions, marks a turning point in his activity. He
now felt his most important role to be that of a folk-educator
In 1890 he received the gold medal of the University
who was to rouse interest in general cultural (including re-
of Copenhagen for his treatise Den religio⁄se Fo⁄lelses Natur og
ligio-historical) matters and problems; to this end he wrote
psychologiske Oprindelse og dens etiske Betydning (The nature
a number of books on cultural themes and current social
and psychological origin of the religious feeling and its ethi-
issues.
cal importance). He had already conceived an interest in the
history of religions and felt the need to acquire knowledge
BIBLIOGRAPHY
of Near Eastern languages. The gold medal provided a schol-
Only one of Lehmann’s books is available in English: Mysticism
arship that enabled him to study in Germany, Holland, En-
in Heathendom and Christendom (London, 1910) is the En-
gland, and France.
glish version of Mystik i Hedenskab og Kristendom (Copenha-
In Holland, Lehmann became closely acquainted with
gen, 1904). Lehmann’s contributions to a number of ency-
clopedias and other collective works are important in that
scholars in the comparative study of religion and the history
they call attention to his inspired style, breadth of view, and
of religions, including C. P. Tiele and P. D. Chantepie de
strong endeavors to promote the study of world religions.
la Saussaye. Lehmann was invited by Chantepie to write on
These include “Die Religion der primitiven Völker,” in Die
Greek, Indian, and Persian religion in the second edition of
Kultur der Gegenwart, part 1, section 3 (Leipzig, 1906),
Chantepie’s Lehrbuch der Religionsgeschichte, which appeared
pp. 8–29; several articles on Iranian religion and one on
in 1897. (Lehmann later became the coeditor, with Alfred
Christmas customs in the Encyclopaedia of Religion and Eth-
Bertholet, of the fourth edition of the Lehrbuch, 1925.) The
ics, edited by James Hastings, vol. 3 (Edinburgh, 1910);
immediate result of Lehmann’s studies abroad was his doc-
“Erscheinungswelt der Religion,” in Die Religion in Gesch-
toral thesis of 1896, “Om Foroldet mellem Religion og Kul-
ichte und Gegenwart (Tübingen, 1910); and articles in Text-
tur i Avesta” (On the relationship between religion and cul-
buch zur Religionsgeschichte (Leipzig, 1912). Lehmann also
edited and was a contributor to Illustreret Religionshistorie
ture in the Avesta). In this work, Lehmann addressed the
(Copenhagen, 1924).
problem of the animosity toward culture that he found char-
acteristic of religion in general. According to Lehmann him-
A bibliography of Lehmann’s works can be found in Festskrift
self, however, this little work is to be considered only a pre-
udgivet af Ko⁄benhavns Universitet i anledning af universitetets
aarsfest, November 1930 (Copenhagen, 1930), pp. 148ff. A
liminary study to his magnum opus, Zarathustra: En Bog om
biography, written by Arild Hvidtfeldt and Johannes Peder-
Persernes ganmle Tro (Zarathustra: A book on the ancient
sen, appears in Dansk biografisk leksikon, vol. 8 (Copenhagen,
faith of the Persians), 2 vols. (1899–1902).
1981), pp. 657–659.
The first volume of this work made such an impression
JES P. ASMUSSEN (1987)
on the academic authorities that Lehmann in 1900 was made
docent at the University of Copenhagen. In 1904 he pub-
lished Mystik i Hedenskab og Kristendom, which was translat-
ed into a number of languages, including English, and in
LEIBNIZ, GOTTFRIED WILHELM (1646–
1907 Buddha: Hans lære og dens gærning (Buddha: His teach-
1716), was a German polymath. Leibniz was born in Leipzig
ing and work), dedicated to Nathan Söderblom. Both works,
on July 1, 1646. Trained in the law, he earned his living as
though widely read and of no small influence, reveal a weak
a councillor, diplomat, librarian, and historian, primarily at
point in Lehmann’s scholarship: his profound attachment to
the court of Hanover. Leibniz made important intellectual
the ideals of Protestantism and his conviction of its superiori-
contributions in linguistics, geology, historiography, mathe-
ty, which he thought was confirmed by the study of other
matics, physics, and philosophy. Although he did not view
religions.
himself primarily as a theologian, he devoted considerable
time and energy to church reunion projects, engaging in
In 1910 Lehmann was invited by the theological faculty
extended efforts to provide a basis for reunion among Catho-
of the University of Berlin to take the post of professor ordi-
lics and Protestants, and, that project having failed, attempt-
narius of the history and the philosophy of religion, but only
ing to provide a basis for reunion between Lutherans and
three years later he left Berlin to accept to a similar invitation
Calvinists.
from the University of Lund in Sweden. He held the latter
Leibniz completed the arts program at Leipzig Universi-
chair until his retirement in 1927; from then on he lived in
ty in 1663 with a philosophical dissertation titled Metaphysi-
Copenhagen until his death in 1930.
cal Disputation on the Principle of Individuation. He then en-
With the passage of time, Lehmann’s interest in strictly
tered a program at the university leading to the doctorate of
religio-historical studies gradually receded into the back-
law. By virtue of a quota system, he was not awarded the doc-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5406
LEIBNIZ, GOTTFRIED WILHELM
torate in 1666, although his final dissertation was written.
tence of God. He believed that the ontological argument, as
Offended, Leibniz enrolled in the law program at the Uni-
formulated by Descartes, for example, established the condi-
versity of Altdorf in October 1666 and almost immediately
tional proposition that if the existence of God is possible,
submitted his completed dissertation, Disputation concerning
then the existence of God is necessary. Leibniz set out to
Perplexing Cases in the Law, which was accepted. He was
prove the antecedent, that is, that the existence of God is pos-
awarded the doctorate in 1667.
sible. The main idea of the proof is that God may be charac-
terized as a being having all and only perfections; perfections
After declining a teaching position offered at Altdorf,
are positive simple qualities, and, hence, collections of them
Leibniz was employed first by Baron Johann Christian von
must be consistent.
Boineburg, and, then, by Boineburg’s sometime employer,
Johann Philipp von Schönborn, elector of Mainz. While in
During his years of service to Johann Friedrich, a con-
the employ of the elector he initially worked on a project
vert to Catholicism, and his early years of service to Ernst Au-
aimed at a codification of German civil law, and later as an
gust, a Lutheran, Leibniz was deeply involved in reunion
officer in the court of appeal. During his time in Mainz Leib-
projects, first with the apostolic vicar Nicholas Steno, who
niz produced work in physics, the law, and philosophy, espe-
read and commented on Leibniz’s The Faith of a Philosopher,
cially philosophy of religion. It was in this period that he for-
and then with Cristobal de Rojas y Spinola, the representa-
mulated the idea of writing a definitive apology for
tive of the emperor Leopold I, who, with papal approval, en-
Christianity, under the title The Catholic Demonstrations.
gaged in extensive negotiations in Hanover in an effort to
While at Mainz he outlined the entire project and filled in
find compromise positions acceptable to both Catholics and
some of the details. The aims of the project included proofs
Protestants. Although not an official party to the negotia-
of the propositions of natural theology, proofs of the possi-
tions, Leibniz produced various documents intended to fur-
bility of Christian dogmas not included in natural theology,
ther their progress, including A System of Theology, a docu-
and the adumbration of a philosophical system that would
ment that has generated considerable debate about Leibniz’s
provide a basis for reunion among the Christian churches.
attitude toward Catholicism. What is clear is that the work
considers some of the problems relating to church reunion
In the winter of 1671–1672 Leibniz drew up a plan for
from the Catholic standpoint. What is less clear is the extent
the French conquest of Egypt, which appealed to his German
to which Leibniz accepted its contents.
superiors because, if carried out, it would have provided
Louis XIV with a task they assumed to be incompatible with
Much of Leibniz’s intellectual effort went into his exten-
his attacking Germany. Leibniz was sent to Paris to present
sive correspondence. The most famous of his irenic corre-
his plan to Louis. He was never granted an audience with the
spondences was with Jacques-Bénigne Bossuet, bishop of
French king, but during his protracted stay there (spring
Meaux and leading French prelate, a correspondence that
1672 to December 1676) he met and conversed with some
began in earnest in 1691 and continued with some interrup-
of the leading intellectuals of Europe, including Antoine Ar-
tions until 1702. Leibniz aimed at compromise, Bossuet at
nauld, Nicolas Malebranche, and Christiaan Huygens. Huy-
capitulation. Neither succeeded.
gens became Leibniz’s mentor in mathematics. When Leib-
Leibniz himself dated his philosophical maturity from
niz arrived in Paris his mathematical knowledge was out of
1686 and the writing of The Discourse on Metaphysics. Leib-
date and superficial; by the time he left he had developed the
niz’s original work in dynamics, begun prior to The Discourse
basic theory of calculus, which he first published in 1684.
on Metaphysics and reaching its culmination in the Specimen
Later in his life a storm of controversy was to arise over
Dynamicum of 1695, and his original work in logic, begun
whether he or Isaac Newton deserved credit for laying the
in 1679 and reaching a high point in the General Inquiries
foundations of calculus. Modern scholarship seems to have
concerning the Analysis of Concepts and Truth of 1686, partial-
reached the verdict that Leibniz and Newton both developed
ly motivate the metaphysics of The Discourse on Metaphysics.
the idea of calculus independently. Newton was the first to
But so do the theological aims of The Catholic Demonstra-
develop calculus, Leibniz was the first to publish it. A time
tions, previously mentioned. Thus it is plausible to see The
of intensive effort in mathematics, Leibniz’s Paris period was
Discourse on Metaphysics as attempting to provide a philo-
also a period of serious work in philosophy and, in particular,
sophical framework adequate to permit a satisfactory account
philosophy of religion. During the Paris years he wrote The
of the relation of human freedom to divine causality. Indeed,
Faith of a Philosopher, apparently for Arnauld, a work that
the major project of The Discourse on Metaphysics is an at-
considers many of the same problems treated in his only
tempt to provide a theory of individual created substances
philosophical monograph published in his lifetime, The The-
that will permit a distinction between those actions properly
odicy.
attributed to creatures and those properly attributed to God,
yet a distinction so drawn that it is consistent with God’s
Leibniz left Paris in October 1676 to accept a position
universal conservative causation.
as councillor and librarian to Duke Johann Friedrich in Han-
over. During the trip from Paris to Hanover Leibniz had a
Much of Leibniz’s philosophical work in the mature pe-
four-day visit with Spinoza, which generated Leibniz’s par-
riod may be seen as a contribution to the aims of The Catho-
ticular contribution to the ontological argument for the exis-
lic Demonstrations. Thus, in The Theodicy (1710), Leibniz set
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEMMINKÄINEN
5407
out to show, contrary to the claims of Pierre Bayle, that the
it was not intended for publication. Some remains unpub-
tenets of Christianity are not contrary to the dictates of rea-
lished. The work of producing a definitive edition has been
son; in particular, that the Christian view that God is omnip-
undertaken jointly by various German academic groups. The
otent, omniscient, omnibenevolent, and the creator of the
“academy edition,” as it is usually called, is being produced
world is consistent with the fact that there is evil in the
under the title Gottfried Wilhelm Leibniz: Sämtliche Schriften
world. He believed that his views about the structure of pos-
und Briefe. Until that grand project reaches fruition it will
be necessary to rely on partial editions, among which the
sible worlds, composed of independent possible substances,
most useful is Charles James Gerhardt’s Die philosophischen
from which God chose at creation in accordance with the
Schriften von G. W. Leibniz, 7 vols. (Berlin, 1875–1890).
principle of sufficient reason, provided a suitable framework
The most complete edition available in English is Leroy E.
for resolving the problem of evil, as well as the problem of
Loemker’s Philosophical Papers and Letters, 2d ed. (Dor-
the relation of human freedom to divine grace. The basic
drecht, 1969).
idea of Leibniz’s solution to the problem of evil is this: God’s
Works about Leibniz
choice among possible worlds, like every choice of every
The Leibniz manuscript material available in Hanover is cataloged
agent, is subject to the principle of sufficient reason. God’s
in two volumes by Eduard Bodemann: Der Briefwechsel des
reason in connection with creation is based on the principle
Gottfried Wilhelm Leibniz (1895; reprint, Hildesheim, 1966)
of perfection; hence, God chooses the best possible world.
and Die Leibniz: Handschriften (1889; reprint, Hildesheim,
There is evil in the world and there are possible worlds con-
1966). Two major works of Leibniz bibliography are Émile
Ravier’s Bibliographie des œuvres de Leibniz (1937; reprint,
taining no evil. Still, this is the best possible world, so the
Hildesheim, 1966) and Albert Heinekamp and Kurt Mül-
evil it contains must be necessary for good things without
ler’s Leibniz Bibliographie: Verzeichnis Der Literatur über
which the overall perfection of the world would be dimin-
Leibniz bis 1980 (Frankfurt, 1983).
ished.
A scholarly exploration of some aspects of Leibniz’s theological
Leibniz’s major metaphysical thesis, articulated in his
thinking is Gaston Grua’s Jurisprudence universelle et théo-
mature period, is that there is nothing in the world except
dicée selon Leibniz (Paris, 1953). On the specific topic of
simple substances (monads) and, in them, nothing except
Leibniz’s reunion efforts, see Paul Eisenkopf’s Leibniz und
perceptions and appetites. He believed that monads, al-
die Einigung der Christenheit: Überlegungen zur Reunion der
though capable of spontaneous action, could not causally in-
evangelischen und katholischen Kirche (Munich, 1975). Two
penetrating studies of his philosophy in English are Bertrand
teract, but that they were so programmed by their creator
Russell’s A Critical Exposition of the Philosophy of Leibniz,
that they appeared to interact in accordance with the princi-
new ed. (London, 1937), and G. H. R. Parkinson’s Logic and
ple of preestablished harmony. An extensive correspondence
Reality in Leibniz’s Metaphysics (Oxford, 1965). An excellent
with Bartholomew des Bosses, a Jesuit professor of theology
introduction to Leibniz’s philosophy is Nicholas Rescher’s
in Hildesheim, dating from 1706 until Leibniz’s death, con-
Leibniz: An Introduction to His Philosophy (Totowa, N.J.,
siders, among other things, whether Leibniz’s major meta-
1979). The scholarly journal Studia Leibnitiana (Wiesbaden,
physical thesis is consistent with the Catholic dogma of tran-
1969–) is devoted to the study of Leibniz.
substantiation and the Christian understanding of the
R. C. SLEIGH, JR. (1987)
incarnation.
Leibniz traveled extensively in connection with his his-
torical research and on various diplomatic missions, particu-
LEMMINKÄINEN is one of the heroes of the Finnish
larly to Berlin and Vienna. During the same period he made
national epic, the Kalevala. Elias Lönnrot, who published his
efforts to bring about the establishment of scientific acade-
redaction of the Kalevala in 1835, composed those sections
mies, particularly at Berlin, Dresden, Vienna, and Saint Pe-
concerning the adventures of Lemminkäinen by combining
tersburg. Of these proposals, only the plan for an academy
elements from the stories of five other heroes, a process al-
at Berlin came to fruition in his lifetime. In 1700 the Bran-
ready begun by the traditional rune singers on whose songs
denburg Society of Sciences was founded in Berlin, with
his work was largely based. Lemminkäinen thus came to play
Leibniz its president for life.
such diverse roles as Don Juan, belligerent adventurer, skier,
The later period of Leibniz’s life produced important
sailor, and witch.
philosophical work in addition to The Theodicy, for example,
The only poem incorporated into the Kalevala having
The Monadology (1714); The New Essays on Human Under-
Lemminkäinen as its original hero describes his journey as
standing (1703–1704), a commentary in dialogue form on
an uninvited guest to a place variously named Luotola
John Locke’s philosophy; and the correspondence with Sam-
(“homestead of the archipelago”), Pohjola (“homestead of
uel Clarke, a disciple of Isaac Newton, on the nature of space
the north”), or Päivölä (“homestead of the sun”). There he
and time.
overcomes various supernatural obstacles: the fiery grave, the
rapids, the fence coiled with snakes (or one giant serpent),
BIBLIOGRAPHY
and the fettered beasts that guard the yard. His host there
Works by Leibniz
serves him a flagon of beer with snakes hidden beneath the
Much of the material Leibniz wrote on philosophical and theolog-
foam, which he nevertheless drinks. After this he kills his
ical topics was not published in his lifetime, in part, because
host in a battle of magical skills.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5408
LENSHINA, ALICE
The description of Lemminkäinen’s journey has fea-
went to heaven, and met a Christian spirit, described various-
tures in common with medieval vision poetry and the vision-
ly as Jesus, God, or an angel, who told her to return to earth
ary journeys described by arctic shamans. It also finds close
to carry out God’s works. She told her story to the minister
parallels in the oral traditions of the Saami (Lapps) and oth-
of the nearby Church of Scotland mission at Lubwa
ers, which include poems about battles of magic between
(founded by David Kaunda, the father of Kenneth Kaunda,
shamans of different communities.
the president of Zambia) and was baptized into the church,
A few of the three hundred variants of the Lemmin-
taking the name Alice. In 1954, she began holding her own
käinen poem contain a sequel that has attracted the attention
services and baptizing her followers. Her meetings drew large
of many scholars of mythology and religion. In one of its epi-
crowds, and by 1955 her following was more or less distinc-
sodes a herdsman shoots (or, in some versions, stabs) Lem-
tive from the Church of Scotland mission. One characteristic
minkäinen with the only weapon against which he has taken
feature of Lenshina’s movement was the singing of hymns,
no magical precautions and throws him into the black river
many of which were closer in form to traditional Bemba
of Tuonela (the realm of death). As Lemminkäinen dies, his
music than were the hymns of the Church of Scotland.
mother notices that a brush has begun oozing blood, fulfill-
Moreover, Lenshina’s followers believed that she could pro-
ing Lemminkäinen’s prophesy of his own death. Taking this
vide protection against witchcraft, the existence of which the
as a sign that her son is in danger, she sets out in search of
Church of Scotland denied.
him. She rakes parts of his body out of the river, but, accord-
By 1956 the Lenshina movement, with a membership
ing to most versions, does not succeed in restoring him to
of more than 50,000, could be considered a church of its
life.
own. As the movement grew it drew members from different
ethnic and religious backgrounds—matrilineal and patrilin-
Scholars have noted the similarity of this story to the an-
eal peoples, urban workers and rural subsistence farmers—
cient Egyptian myth of Osiris, as well as to the religious leg-
and from a range of social statuses, although its appeal was
ends concerning the death of Christ and Balder. The poem
strongest among the poorer, less educated sections of North-
contains clear influences from the Russian bylina Vavilo i
ern Rhodesian society. The movement spread along the line
skomorokhi, a poem through which it is believed motifs from
of the railroad into the towns of the Copper Belt, one of the
the Osiris myth were conveyed from Byzantium to northern
main urban, industrial regions of central Africa. It also spread
Europe.
to the remote rural areas of the northern and eastern prov-
A Christian poet-singer has reshaped the poem, adding
inces, and poor peasants would walk hundreds of miles to
to it, among other things, a passage describing Lemmin-
contribute their labor and money to construct the monu-
käinen’s power to cure the blind and the crippled. At the end
mental cathedral at Kasomo, Lenshina’s religious headquar-
of the poem, Lemminkäinen delivers a homily on the horrors
ters. Lenshina’s followers became known as Lumpa (a Bemba
that await the wrongdoer in the world beyond.
term meaning “excelling,” “the most important”).
In its early years, from the mid-1950s to the early 1960s,
SEE ALSO Finnish Religions; Ilmarinen; Tuonela;
Väinämöinen.
the Lumpa church, with its anti-European stance, was
viewed as a political ally of the independence movement in
B
Northern Rhodesia, and Lumpa meetings incorporated na-
IBLIOGRAPHY
Krohn, Kaarle. “Lemminkäinens Tod ‘Christi’ Balders Tod.” Fin-
tionalist propaganda. Afterward, however, the church be-
nisch-ugrische Forschungen 5 (1905–1906): 83–138. Includes
came increasingly nonpolitical and otherworldly in its out-
a German translation of the last portion of the poem.
look, and conflicts developed with the United National
Independence Party, a political party founded under the
Kuusi, Matti, Keith Bosley, and Michael Branch, eds. and trans.
Finnish Folk Poetry: Epic; An Anthology in Finnish and En-
leadership of Kenneth Kaunda and the main political con-
glish. Helsinki, 1977. Pages 205–223 and 538–540 contain
tender to establish Zambian independence from colonial
three extensive variants with translations and comments in
rule. In 1957 the Lumpa church, in its constitution, had stat-
English.
ed that it was not opposed to the laws of the country; its solu-
tion to the problem of colonialism, African political nation-
MATTI KUUSI (1987)
alism, and rapid economic change was withdrawal. By 1963
church members refused to obey the laws of the colonial state
or to join political parties. They believed that the end of the
LENSHINA, ALICE (c. 1919–1978), was the founder
world was at hand, and they withdrew from the secular world
of the African prophetic movement referred to as the Lumpa
and built their own separate communities in anticipation of
church. A barely literate peasant woman, Alice Lenshina
the end. These communities were believed to be sacred do-
Mulenga, from Kasomo village, Chinasali district, in the
mains, immune from the evils of the external world, which
northern province of Northern Rhodesia, started the move-
was thought to be under the control of Satan and his evil in-
ment among the Bemba, a matrilineal Bantu-speaking peo-
fluence and agents.
ple of Northern Rhodesia (now Zambia). In 1953, Lenshina
By 1964, at a time when Northern Rhodesia’s indepen-
claimed to have had a spiritual experience in which she died,
dence was imminent, both the colonial administration 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
LEO I
5409
the African independence movement attempted to control
BIBLIOGRAPHY
the Lumpa church. This led to fighting between church
Binsbergen, Wim van. “Religious Innovation and Political Con-
members and the recently elected Northern Rhodesia gov-
flict in Zambia: The Lumpa Rising.” In his Religious Change
ernment, and between July and October 1964 more than
in Zambia. Boston, 1981.
700 people were killed. The Lumpa, armed with indigenous
Bond, George Clement. “A Prophecy That Failed: The Lumpa
weapons such as spears, axes, and muzzle loaders, confronted
Church of Uyombe, Zambia.” In African Christianity, edited
soldiers with automatic weapons. As the Lumpa attacked
by George Clement Bond, Walton Johnson, and Sheila S.
they shouted, “Jericho!” in the belief that the walls of evil
Walker, pp. 137–160. New York, 1979.
would tumble down and that they would triumph in battle.
Calmettes, J.-L. “The Lumpa Sect, Rural Reconstruction, and
As they were shot they shouted, “Hallelujah!” in the belief
Conflict.” M.Sc. (Econ.) thesis, University of Wales, 1978.
that they would be transported directly to heaven, only to
Roberts, Andrew D. “The Lumpa Church of Alice Lenshina.” In
return to rule the world. The Lumpa were defeated, the
Protest and Power in Black Africa, edited by Robert I. Rotberg
church was banned, and Lenshina herself was imprisoned.
and Ali A. Mazrui. Oxford, 1970.
Some of her followers fled to Zaire, where the Lumpa church
Rotberg, Robert I. “The Lenshina Movement of Northern Rhode-
continued to exist.
sia.” Rhodes-Livingston Journal 29 (June 1961): 63–78.
In its beliefs and practices, the Lumpa church combined
Taylor, John Vernon, and Dorothea A. Lehmann. Christians of the
both African and European elements. Movements of this
Copperbelt. London, 1961.
type were and are characteristic of southern and central Afri-
GEORGE CLEMENT BOND (1987)
ca. At the core of such movements is a prophet who is be-
lieved to have had a Christian experience. As is typical of
such movements, Lenshina’s prophecy was ethical in that it
imposed a strict, puritanical moral code upon her followers.
LEO I (d. 461), pope of the Roman Catholic Church (440-
She forbade adultery, polygamy, divorce, dancing, and
461), called “the Great.” Nothing is known for certain about
drinking. Lenshina herself was the ultimate source of author-
Leo’s early life, although according to the Liber pontificalis,
ity, and some Lumpa hymns even represented Lenshina as
he was born in Tuscany probably at the turn of the fourth
the savior. Baptism, the most important rite of the church,
to the fifth century. Leo is one of the most important Roman
could only be performed by Lenshina herself, using water
pontiffs and one of the architects of papal authority. He
that she claimed to have received from God himself. Baptism
served as a deacon of the Roman church under both Pope
was believed to wash away sins and ensure salvation.
Celestine I (422–432) and Pope Sixtus III (430–440), and
In Lumpa theology, God was viewed as the creator of
in that position exercised great influence. He took an active
all things. Satan was thought to have been created by God
role in the theological controversies with the Nestorians and
as a good spirit who turned against God. Witchcraft, thought
the Pelagians and was also involved with institutional mat-
to stem from Satan, could be safeguarded against by church
ters. While Leo was on a mission to Gaul in early 440, Sixtus
membership. Unlike the European mission churches, the
died, and the legate returned to Rome to find himself elected
Lumpa church did not deny the existence of witchcraft; in-
pope. He was consecrated as bishop of Rome on September
stead it gave its members a means of combating it. Lenshina
29, 440.
was believed to be the personification of good and to provide
The energy that Leo had devoted to religious questions
protection against evil. For the Lumpa, evil came to be the
before he became pope carried into his pontificate. In the
world outside their church, including the colonial adminis-
first decade of his papacy, Pelagians, Manichaeans, and Pris-
tration, and the United National Independence Party repre-
cillianists were at different times condemned in his writings
sented evil.
and even in public debate. Of Leo’s undoubtedly extensive
homiletical and epistolary production, only 96 sermons and
The movement gradually acquired a structure, with
123 indisputably authentic letters survive. Yet even this lega-
Lenshina, her disciples, and spiritual and secular advisers at
cy is unusually large for a pope in antiquity and permits in-
the center. Deacons supervised congregations, and within
sight not only into Leo’s papal activities, but also into his
congregations preachers and judges ministered to the needs
ideas and beliefs.
of local members and adjudicated their disputes. The church
was itself a complete community, meeting its own spiritual,
Leo considered himself to be, as bishop of Rome, the
social, judicial, and economic requirements. In the historical
successor of Peter in a transhistorical sense. When Leo spoke
context of the struggle for Zambian independence, a move-
it was the apostle who spoke. Just as all bishops are responsi-
ment that demanded the complete allegiance of its members
ble for the care of their own flocks, so, in Leo’s conception,
was bound to come into conflict with secular authorities.
the successor of Peter in the Roman church is charged with
The Lenshina cult was not an atypical African religious ex-
the care of all churches, for it was to Peter that Christ gave
pression; what brought it into prominence and led to its de-
the keys of binding and loosing in heaven and on earth (Mt.
struction was its unfortunate timing and conflict with the
16:16-19). Just as it was for Peter’s faith alone that Christ
movement for Zambia’s independence.
prayed when all the apostles were threatened (Lk. 22:32), so
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5410
LEO XIII
firmness to the apostolic tradition of the Roman church will
The events of 449 were reversed through the concerted
strengthen all bishops. With a strikingly deep sense of the
efforts of Leo, in association with powerful allies in Constan-
traditions both of his office and of Roman law, and with a
tinople, both in the imperial household and in the church.
conviction about the presence of apostolic authority in his
The Roman pontiff’s legates and Tome had been ignored in
words and actions, Leo stands out among other fourth- and
Ephesus. When a new synod was convened at Chalcedon in
fifth-century architects of papal claims, such as Celestine I
451 by the recently elevated emperor Marcian, the oppo-
and Damasus I (366–384). With deft use of such a dossier,
nents of the Alexandrians were firmly in charge. Leo’s Tome
it is small wonder that notions such as the contrast between
was received, to quote Henry Chadwick, “with courteous ap-
plenitudo potestatis (“fullness of power”) and pars solicitudinis
proval” (The Early Church, 1967, p. 203), and it became the
(“part of the responsibility”)—terms that emerge from a let-
basis of the Chalcedonian definition of faith (not a new
ter of Leo’s to Anastasius, his vicar in Illyricum—over time
creed, in deference to the tradition that no faith different
became central in the tradition of describing the powers of
from that of the Council of Nicaea, 325, should be pro-
Rome vis-à-vis other churches.
claimed). The definition set forth a Christology of two na-
tures, divine and human, in Christ, within one person, and
Leo was not, however, merely a theoretician of papal
represented a triumph for Western views and Roman author-
claims. He was deeply committed to effective action, wheth-
ity within the complex Eastern world. Chalcedon also, in its
er in a pastoral role at Rome or in the larger sphere of empire-
twenty-eighth canon, which was enacted without the ap-
wide ecclesiastical politics. He promoted the claims of
proval of the Roman legates, elevated the see of Constantino-
Roman authority in various ways, whether negotiating in the
ple to a rank in ecclesiastical dignity equal to that of Rome.
West with barbarian invaders, or dealing with issues in re-
The pope was furious, refused to accept this decree into the
gions as far removed as Egypt and Gaul. In the former in-
Latin canonical tradition, and even delayed affirming the
stance, although he acknowledged Dioscorus as successor of
council’s theological decisions.
Cyril on the patriarchal throne of Alexandria, Leo urged uni-
formity between the two churches in certain liturgical prac-
With Leo, Roman ecclesiastical authority became both
tices. Tradition stated that the evangelist Mark had founded
a concept and a force to be taken seriously in the Christian
the Alexandrian church, and Mark was a disciple of Peter,
world. Scholars debate the extent of his contributions to the
who had “received the apostolic principate [apostolicum prin-
sacramentary that bears his name, although Leo may have
cipatum] from the Lord, and the Roman church preserves his
composed some of the material. There can be no question,
teachings” (Regesta pontificum Romanorum, JK406). Leo rea-
however, of Leo’s contribution to the development of the pa-
soned that teacher and disciple ought not to represent dispa-
pacy as a religious and political force. Together with Dama-
rate traditions.
sus I, Gelasius I, and Gregory I, he stands out as one of the
most important Roman pontiffs of antiquity, and through-
The pope asserted papal authority in Gaul in the face
out papal history only Leo and Gregory have been remem-
of staunch opposition. The archbishop of Arles had been
bered with the sobriquet “the Great.”
granted a primacy over the Gallican church by Pope Zosimus
I (417–418). The vigorous exercise of that privilege and the
objection of local churchmen gave Leo an opportunity to
BIBLIOGRAPHY
have recourse to the prerogatives of the Roman church. The
Readers should begin with the sections on Leo by Karl Baus and
others in The Imperial Church from Constantine to the Early
pope restored to Besançon a bishop who had been deposed
Middle Ages, “History of the Church,” no. 2 (New York,
by Bishop Hilary of Arles and was able to gain support from
1980), pp. 264–269, with a bibliography. The best guide to
Emperor Valentinian III against Hilary. When the latter
Leo’s letters is still Regesta pontificum Romanorum, vol. 1, 2d
challenged Leo’s authority, the pontiff had him confined in
ed., edited by Phillip Jaffé (Leipzig, 1885). The letters are
445 to his diocese by an imperial decree in which the prima-
usually cited by number preceded by J(affé) K(altenbrunner);
cy of the bishop of Rome was acknowledged.
an English translation of Leo’s letters and sermons by Charles
Lett Feltoe is in “A Select Library of Nicene and Post-Nicene
The most famous instance in which Leo’s claims were
Fathers,” 2d series, vol. 12 (New York, 1895). Useful still is
manifest involved the renewed Christological dispute in the
the informative article by G. N. Bonwetsch in The New
East in the 440s. When the troubles over Eutyches began at
Schaff-Herzog Encyclopedia of Religious Knowledge, 13 vols.,
Constantinople, Leo felt that they should have been referred
edited by Samuel M. Jackson (Grand Rapids, Mich., 1953).
to Rome at once. In 449 the pope sent to Bishop Flavian of
See also Henry Chadwick’s The Early Church (Harmonds-
Constantinople his famous Tome in the custody of legates
worth, 1967) and The Church in Ancient Society (Oxford,
destined for the synod held at Ephesus, a synod that Leo later
2001).
condemned as a latrocinium (a band of robbers, or an act of
ROBERT SOMERVILLE (1987 AND 2005)
banditry), rather than a concilium. The problem with Ephe-
sus as Leo saw it was that the gathering was controlled by
Dioscorus of Alexandria and concluded by condemning
Flavian and rehabilitating Eutyches and his Alexandrian Mo-
LEO XIII (Vincenzo Giaocchino Pecci, 1810–1903),
nophysite Christology.
pope of the Roman Catholic church (1878–1903). The sixth
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEO XIII
5411
child of noble parents, Giaocchino Pecci was born in Car-
to terms with the intellectual, political, and socioeconomic
pineto in the Papal States on March 2, 1810. Educated at
conditions of the times. Although his statesmanship suc-
the Jesuit college in Viterbo (1818–1824), the Roman Col-
ceeded both in ending German repression of the Catholic
lege (1825–1832), and the Roman Academy of Noble Eccle-
church (Kulturkampf) and in establishing correct relations
siastics (1832–1837), he was made a domestic prelate in
with Britain and cordial ties with the United States, it was
1837 and began a career as a papal civil servant.
Leo’s revitalization of the church’s philosophical tradition
Following his ordination as a priest in late 1837, he held
that allowed Catholicism effectively to come to terms with
the post of papal delegate (provincial governor) successively
the two major currents of the age: democracy and industrial
at Benevento (1838–1841), Spoleto (briefly in 1841), and
life.
Perugia (1841–1843). As a result of his success as an admin-
In 1879, Leo issued Aeterni patris and called for a Cath-
istrator, in 1843, Pope Gregory XVI made him papal nuncio
olic return to the study of Thomism. As time went on, it be-
to Belgium and promoted him to the rank of bishop. At the
came clear that in his plan for a revival of Thomas, Leo re-
request of King Leopold I, he was recalled to Rome and
vered him above all as a methodological mentor who pointed
named to the vacant see of Perugia in 1846.
the way to a reconciliation of church and world. As Thomas
During his long Perugian tenure (1846–1878), he de-
had used the intellectual advances and categories of his day
veloped and displayed the complex attitude toward moderni-
to reconcile faith and reason, enhancing the teaching prestige
ty (combining a principled resistance to the currents of the
of the church by giving it a philosophy that was solid, plausi-
age with a pragmatic accommodation to the same for the
ble, and useful, so also Leo wished to enhance the prestige
church’s welfare) that was later to mark his pontificate. Thus,
of the modern church by advancing a philosophical system
on the one hand, he identified with Pius IX’s program calling
that was solid because it was based on natural-law principles
for the definition of papal infallibility and the convening of
and both plausible and useful because these same principles
an ecumenical council to solidify the church’s teaching au-
could be translated into modern terms. Once this translation
thority. He also reflected Pius’s views in condemning both
had been made, Leo believed that the church would be able
the Sardinian annexation of Perugia (1860) and the anticleri-
to understand the modern world, converse with the natural-
cal legislation that followed it. On the other hand, he re-
law adherents of the Enlightenment, and offer plausible and
vamped the seminary curriculum of his diocese to include
lasting solutions to the problems of contemporary society.
the study of modern developments, founded the Academy
In Leo’s hands, Neo-Thomism proved a remarkably
of Saint Thomas to help the church meet the philosophical
supple and useful instrument for confronting the political
challenges of the age, praised the advances of modern sci-
and socioeconomic conditions of the age. Spurred on by cri-
ence, technology, and scholarship in a series of pastoral let-
ses in the French church, Leo used his new philosophical
ters (1874–1877), and sought accommodation with the Sar-
method to rehabilitate democracy for the church. In a series
dinian regime.
of encyclicals running from Diuturnum illud (1881) to Au
Pecci’s complex stance toward modernity produced
milieu des sollicitudes (1892), he used natural-law thought to
mixed reactions. Giacomo Antonelli, the cardinal secretary
distinguish between the forms and functions of states. Al-
of state, distrusted him, while some bishops hailed his perspi-
though he never personally reconciled himself with the idea
cacity. Although he did not sympathize with him entirely,
of popular sovereignty or the revolutionary aspects of mod-
Pius IX recognized Pecci’s abilities. Consequently, in 1853
ern democracies, he was able to accept democratic republics
he made him a cardinal, and in 1877 he appointed him the
as long as they fulfilled the functions assigned them by natu-
camerlengo, the cardinal to whom fell the responsibilities of
ral law and did not interfere in the religious sphere.
governing the church and organizing the electing conclave
during a papal interregnum.
Leo likewise used his Neo-Thomist method to frame a
universal Catholic response to the problems of worker un-
Following Pius’s death in 1878, Pecci was elected pope.
rest, unionization, and socialism. Building on the work of ec-
At the time of his election, the church’s prospects were not
clesiastics such as Henry Manning (d. 1892) and Wilhelm
very promising. Leo’s sympathy with Pius’s attitudes toward
von Ketteler (d. 1877), in 1891 Leo issued Rerum novarum.
modernity led him to continue or at least to echo some of
In this encyclical, he used natural-law social thought to con-
the latter’s sentiments and policies, most notably concerning
demn both liberalism and socialism and to champion the
compensation for the loss of church lands (the Roman Ques-
rights of workers both to earn a living wage and to organize
tion), the centralization of church authority, and a distaste
in unions. In addition, he used the natural-law understand-
for modern political developments (which in 1878 he voiced
ing of the positive function of the state (i.e., the promotion
in the encyclical Inscrutabili). But his contribution to mod-
of the common good) to sanction state intervention for the
ern Catholicism lay in his discerning that Pius’s strident hos-
alleviation of worker distress. Although Leo’s encyclical came
tility to modernity had not won for the church the influence
relatively late in the history of European industrial growth,
that both men desired.
and although it was frequently construed as a purely antiso-
With a pragmatism that his detractors interpreted as
cialist document, it earned for him the sobriquet Pope of the
rank opportunism, Leo realized that the church had to come
Workingman, and its sympathy for the rights of labor 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
5412
LEONTIUS OF BYZANTIUM
generally credited with stopping or at least slowing the exo-
Greek East just before the Second Council of Constantino-
dus of industrial workers from the church.
ple (553). The manuscript tradition calls Leontius only
“monk” and “eremite,” but modern scholarship identifies
Although he met with defeats (most notably his failure
him as Leontius of Byzantium, an Origenist monk of Pales-
to interest European governments in his plans for the return
tine, who appears in the Life of Sabas by the sixth-century
of the papacy’s temporal power) and although he never
hagiographer Cyril of Scythopolis. This Leontius, born prob-
gained for the church that degree of power for which he
ably in Constantinople, entered the monastery called the
yearned, Leo XIII did, through his diplomacy, his revitaliza-
New Laura near Tekoa in Palestine around 520 with his spir-
tion of Catholic scholarship, his social concern, and his sin-
itual master Nonnus, a disciple of the Origenist monk Eva-
cere desire to touch the world, leave the church more secure,
grios of Pontus (345–399). Coming to Constantinople in
more respected, and more able to deal with the modern
531, he became the nucleus of an Origenist party led by his
world than it had been at the time of his accession to the
friend Theodore Askidas (d. 558), which defended the
papal throne in 1878.
Council of Chalcedon against the Monophysites. Back in
Palestine in 537, Leontius returned to Constantinople
BIBLIOGRAPHY
around 540 to defend the Origenists against charges of here-
Camp, Richard L. The Papal Ideology of Social Reform: A Study in
sy. In 543 the emperor Justinian condemned Origenism.
Historical Development, 1878–1967. Leiden, 1969. Deals
with the growth of sophistication in papal social documents
Leontius’s polemic against Theodore of Mopsuestia (c. 350–
from Leo XIII to Paul VI. Helpful for seeing Leo’s long-term
428) probably initiated the campaign that led to Justinian’s
influence on the church.
publication of the “Three Chapters” edict (a collection of
condemned texts attributed to three representatives of the
Gargan, Edward T., ed. Leo XIII and the Modern World. New
York, 1961. A collection of essays marking the sesquicenten-
school of Antioch: Theodore of Mopsuestia, Theodoret of
nial of Leo’s birth. Joseph N. Moody’s contribution on Leo-
Cyrrhus, and Ibas of Edessa), which persuaded the Second
nine social thought and James Collins’s article on Leo’s
Council of Constantinople (553) to condemn the school as
philosophical program are especially helpful.
teaching the heresy of Nestorius (that in Jesus exist two dis-
tinct “sons” or persons, the one divine, the other human).
Jedin, Hubert, and John Dolan, eds. The Church in the Industrial
Age, vol. 9 of The History of the Church. New York, 1981.
Three of Leontius’s works survive, all defending and in-
This work benefits from the contributions of Oskar Kohler,
terpreting the Christological formula of Chalcedon. The first
which place Leo in his historical context.
work collects three different treatises but is usually called by
Moody, Joseph N., et al., eds. Church and Society: Catholic Social
the name of the first: Against the Nestorians and Eutychians.
and Political Thought and Movements, 1789–1950. New
This treatise, the best known of Leontius’s works, defends
York, 1953. Has the virtue of gathering together extended
the formula of Chalcedon both against those who “divide”
essays and primary sources that, among other things, shed
or “separate” (and not simply “distinguish”) Christ’s divine
light on the development of Catholic social thought.
and human natures (that is, the Nestorians) and against those
Murray, John Courtney. “Leo XIII on Church and State: The
who collapse the two natures into “one incarnate nature of
General Structure of the Controversy,” “Leo XIII: Separation
God the Word” (the formula of the Orthodox father Cyril
of Church and State,” “Leo XIII: Two Concepts of Govern-
of Alexandria adopted by the Monophysites). Leontius repre-
ment,” Theological Studies 14 (1953): 1–30, 145–214, 551–
sents Chalcedon as a middle way between heresies, defending
567; and “Leo XIII: Government and the Order of Culture,”
Theological Studies 15 (1954):1–33. A series of four impor-
it by means of a common metaphor: Just as soul and body,
tant articles that offer a progressive and historically sophisti-
although different by nature, are united to form a single
cated interpretation of the political thought of Leo XIII.
human being, so also the Son of God (bearing the divine na-
ture) is united with human nature to form Jesus Christ.
Soderini, Eduardo. The Pontificate of Leo XIII. 2 vols. London,
1934–1935. Written with the aid of the Vatican Archives.
The second treatise, Dialogue against the Aphthartodocet-
Only two of the original volumes have been translated into
ists, attacks the Monophysite Julian of Halicarnassus
English.
(d. after 518), who had taught that the body of Jesus had be-
Wallace, Lillian P. Leo XIII and the Rise of Socialism. Durham,
come incorruptible not at his resurrection (the Orthodox
N.C., 1966. Argues that the rise of socialism forced the
view) but at the very moment of the Son’s entering it. The
church to come to terms with the problems of industrializa-
third treatise, Critique and Triumph over the Nestorians, ar-
tion, and that the church’s entrance into the field of econom-
gues that Theodore of Mopsuestia was the spiritual father of
ics blunted the advance of socialism.
the heretic Nestorius. Leontius’s other works include Resolu-
JOSEPH M. MCSHANE (1987)
tion of the Arguments Opposed by Severus, Thirty Propositions
against Severus, and Against the Frauds of the Apollinarists, the
last work attested to be genuine (on the strength of only a
single manuscript).
LEONTIUS OF BYZANTIUM (c. 500–c. 543), Or-
thodox Christian monk and theologian, was the author of
The Origenism ascribed to Leontius of Byzantium by
a brief corpus in the Christological controversies of the
Cyril of Scythopolis derived not from Origen (c. 185–c. 254)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LESBIANISM
5413
himself but from Evagrios of Pontus, who taught that Jesus
pled with definitions of the term and methodological impli-
was not, strictly speaking, the Son of God, but rather an eter-
cations, as well as more straightforward documentations of
nally spiritual intellect (nous) who had, without losing his
cases of “lesbianism” around the world and throughout
primordial unity with the Son, transformed himself into a
history.
soul capable of uniting its flesh to the Son. Modern scholarly
interpretations divide over the question whether the Chris-
One of the most significant debates to shape the field
tology of Leontius reflects this Origenism. The best-known
is the relationship scholars have sought to articulate between
of Leontius’s teachings is the formula “one person in two na-
the fields of lesbian studies and gay and, more recently, queer
tures,” in which the term nature is understood as an “en-
studies. In response to questions articulated by Mary Daly
hypostasized nature.” The traditional scholarly view main-
and others in the 1970s, scholars have asked whether lesbian
tains that for Leontius only the human nature of Jesus is
studies share any part of their analysis with studies that do
enhypostasized; it exists only in the hypostasis or person of
not seek to critique the larger framework of patriarchy.
the Son of God. Leontius is therefore a “strict Chalcedonian”
Studies of gay male sexuality and some queer theorists do not
who rejected the extremes of both Alexandria and Antioch.
consistently engage critiques of patriarchy, and thus they
Others interpret Leontius as an Origenist: Both natures of
have been called into question by scholars in lesbian studies.
Christ are enhypostasized in a third entity, the “intellect”
The central question in this conversation focuses on the na-
Jesus.
ture of experiences of lesbians as women, and thus it em-
braces an analysis of the oppression of women across cultures
Although known to Maximos the Confessor (c. 580–
and throughout history. In distinction to studies that focus
662) and John of Damascus (c. 679–c. 749), Leontius’s
primarily on lesbians, recognizing a necessary breadth of the
works exercised almost no influence in the later Byzantine
term in relation to specific periods and places under exami-
tradition and were unknown in the Latin West until Hein-
nation, queer studies and queer theories seek to be more in-
rich Canisius published a Latin translation by Francisco Tor-
clusive than lesbian or gay theories. The term queer includes
res in 1603.
bisexual and transgendered people; fundamentally, “queer”
embraces anyone who falls outside of traditional heterosexual
BIBLIOGRAPHY
orientations.
Daley, Brian. “The Origenism of Leontius of Byzantium.” Journal
of Theological Studies 27 (October 1976): 333–369.
Contemporary scholarship in lesbian studies and reli-
gious studies draws in part on two studies that stand at the
Evans, David B. Leontius of Byzantium: An Origenist Christology.
foundation of studies of gay male experiences: Michael Fou-
Washington, D.C., 1970.
cault’s History of Sexuality (1976) and John Boswell’s Chris-
Evans, David B. “Leontius of Byzantium and Dionysius the Are-
tianity, Social Tolerance, and Homosexuality (1980). Also in
opagite.” Byzantine Studies 7 (1980): 1–34.
1980, Adrienne Rich published her classic essay “Compulso-
Gray, Patrick T. R. The Defense of Chalcedon in the East, 451–553.
ry Heterosexuality and Lesbian Existence,” arguing for a “les-
Leiden, 1979.
bian continuum” that embraced women who were sexually
Guillaumont, Antoine. Les “Kephalaia gnostica” d’Evagre le Pon-
attracted to other women as well as nonsexual friendships be-
tique et l’histoire de l’Origénisme chez les Grecs et chez les Sy-
tween women-identified women. Following Boswell’s mon-
riens. Paris, 1962.
umental survey and engaging Rich’s methodological ques-
Loofs, Friedrich. Leontius von Byzanz und die gleichnamigen
tions, Judith Brown’s study of the life of Benedetta Carlini
Schriftsteller der griechischen Kirche. Leipzig, 1887.
was published in 1986 as Immodest Acts: The Life of a Lesbian
Nun in Renaissance Italy. Critically drawing upon Foucault,
Richard, Marcel. “Léonce de Byzance était-il origéniste?” Revue des
Janice Raymond published A Passion for Friends in 1986 and
études byzantines 5 (1947): 31–66.
called for women to document the genealogies of gyn/
DAVID B. EVANS (1987)
affection, or female friendship. These works were situated in
the explosion of scholarship in lesbian studies outside the
study of religion that emerged in the first half of the 1980s.
Other works of this period that have been foundational for
LESBIANISM. The field of lesbian studies has bur-
lesbian and religious studies include Audre Lorde’s “Uses of
geoned in the last two decades. In response to the social and
the Erotic: The Erotic as Power,” which appeared in her
political changes of the 1960s, as well as to the 1963 U.S.
book Sister Outsider (1984), and, of course, the works of
Supreme Court decision concerning the legality of teaching
Mary Daly. A good overview of the early decades of scholar-
about religion in public institutions of higher education, les-
ship in the field may be found in the introduction of Berna-
bian studies has emerged as a dynamic arena that engages
dette Brooten’s Love between Women (1996).
questions of lesbian identities and religious experience, com-
parative religions, and religious studies at its broadest. Root-
At the core of this generation of scholarship in lesbian
ed historically in the medical discourses that defined homo-
studies and religion were questions of, first, biological essen-
sexuality in the late nineteenth century, studies of lesbianism,
tialism or social construction, and second, the use of catego-
or the homosexuality of women, have self-consciously grap-
ries such as “homosexuality,” “gay,” or “lesbian” across vastly
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5414
LESBIANISM
different cultural and historical periods. These issues have
It is essential to note that some of the most striking con-
not abated in recent years. In stark contrast to popular as-
tributions of lesbian studies have been to liberal theologies
sumptions about gay identity found in the press around the
of different religious traditions, most notably Christianity
end of the twentieth century about how gay people are “born
and Judaism. The writings of such authors as Mary Daly and
that way,” scholarship that emerged in the 1980s staunchly
Carter Heyward have transformed feminist theologies in the
argued for the social construction of lesbianism in clear his-
United States. Similarly, recent books by Rebecca Alpert not
torical and cultural contexts. Scholars such as Rich, Daly,
only document the experiences of lesbian rabbis but offer
and Raymond have since been classified by others as “cultur-
new ways of looking at traditional Jewish theologies from les-
al feminists” and have thus been labeled as biological essen-
bian-feminist points of view. Such theologians as Renita
tialists. However, Tania Lienert (1996) demonstrates that
Weems, Kelly Douglas, and Renee Hill have taken up ques-
these reinterpretations were rooted in different strategies for
tions of homophobia within Womanist theologies. Each of
social change. Questions of essentialism have also been taken
these studies seeks to incorporate the experiences of lesbians/
up by queer and postmodern theorists and have become in-
bisexual/gay/transgendered individuals into the traditionally
extricable from discussions of identity. Scholars who locate
proscribed territory of Christian theology, transforming
themselves within queer studies have sought to unravel dif-
Christianity in the process. Any search on the internet shows
ferent threads of this issue, examining assumptions about
that Muslim lesbians are beginning to speak out in ways sim-
sexual identities, constructions of gender, and the signifi-
ilar to Christian and Jewish lesbians; however, we have yet
cance of power with the tools of poststructural and postmod-
to see the beginnings of a Muslim lesbian theology emerge
ern approaches. Amanda Swarr and Richa Nagar (2003), for
within the academic sphere. There is a plethora of resources
example, provide insightful critiques of the category of “les-
from the point of view of lesbians within Hinduism and
bian” in relation to issues of class, cultural location, and
South Asian traditions—South Asian sources rarely make
heterosexism in India and South Africa, raising questions
distinctions on the basis of religion. One of the earliest col-
about the centrality of a woman’s choice to identify as a lesbi-
lections was edited by Rakesh Ratti, A Lotus of Another Color
an. Though not explicitly focused on lesbians, one of the
(1993), and one essay of note is a piece on the 1987 marriage
most useful anthologies that deliberately positions itself at
of two policewomen in Bhopal, India.
the intersections of religious studies and lesbian/gay/queer
There is hardly any tradition around the world that does
studies and that engages the question of identity is the an-
not have first-person reflections from lesbian members of
thology Que(e)rying Religion (1997), edited by add Gary
that culture available on the Internet. Will Roscoe has been
David Comstock and Susan E. Henking.
particularly active in seeking out the voices of lesbian/
Arguments about what to call women who are attract-
bisexual/gay/transgendered individuals in different cultures.
ed—sexually or not—to other women marked the early
Roscoe (1988) has edited a volume on Native American two-
studies in the 1980s and continue to characterize scholarship
spirit traditions and, with Stephen Murray (1997), he has
today. For example, Marilyn Brown (1986) rejected Rich’s
also published volumes on homosexuality in Muslim cultures
notion of a “lesbian continuum” as ahistorical, but she still
and in African traditions. In each of these collections, the au-
retained the category of “lesbian” as useful for studying the
thors provide material on lesbians, often critiquing the tradi-
life of Renaissance nuns. This assertion, though, did not
tional category of lesbian. In almost all of these non-Anglo
enter the field uncontested: Mary D’Angelo (1990) used
cultures, a critique of colonialism goes hand-in-hand with
Rich’s notion of a lesbian continuum to explore women who
the need to identify the indigenous concepts of gender and
appear partnered with other women in the New Testament.
sexuality that may or may not intersect with the familiar
The relationship between scholarship on gay men and lesbi-
Western concepts. One of the most provocative findings to
ans was also at stake in these terminology battles. John Bos-
come out of many of the studies of lesbianism in indigenous
well (1980) argued for the use of the term gay in contrast to
traditions has been the challenge to the fixed system of two
homosexual on the grounds that gay had a richer history in
genders, as in the study of traditional women healers in
the experiences of same-sex attractions than homosexuality
South Africa conducted by Ruth Morgan and Graeme Reid
and that it was broad enough to encompass the experiences
(2003). Finally, since its inception in the 1970s, the study
of women. Despite Boswell’s claims for his inclusive ap-
of same-sex relationships between women has suffered from
proach to the study of gay studies, he has been soundly cri-
“lesbian invisibility,” a widely recognized phenomenon in
tiqued for his lack of attention to gender and the experiences
the field that stems from both sexism and heterosexism. Reli-
of women. In part as a response to both of Boswell’s studies,
gion, too, suffers a similar neglect: while there are increasing
Brooten chose the term “homoeroticism” to denote erotic at-
numbers of articles on lesbianism in specific cultures, reli-
traction for members of the same sex, distinguishing between
gion is not often pursued as a line of analysis. Nonetheless,
female and male homoeroticism when appropriate. She
there is a growing body of research available to scholars of
found this term to be broader than the term homosexual, and
lesbianism and religion that may draw on the wealth of first-
more useful than terms used by male authors in the early cen-
person narratives available online.
turies of Christianity to describe homoerotically oriented
One of the advantages of studying lesbianism and male
women.
homosexuality in religious traditions is that there is usually
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LESBIANISM
5415
a detailed enumeration of the type of same-sex identities or
variations in how the terms are understood in the commen-
behaviors that are forbidden by a given religion. Setting aside
taries.
indigenous religions, such as those in Africa and the Ameri-
Sources for understanding same-sex relationships be-
cas, every major religion prohibits homosexuality at the most
tween women are relatively scarce in East Asia. There is one
explicit level. The Hebrew Bible is actually an exception, in-
passage in the Dream of the Red Chamber (also known as The
sofar as it makes no reference to same-sex sexual relationships
Story of the Stone) that describes the attractions that a young
between women. Hindu, Jain, Buddhist (from India to
actress has for other actresses with whom she worked. Hinsch
Japan), and Muslim sacred texts proscribe sexual practices
also devoted an appendix to lesbianism in Passion of the Cut
between women—but to widely varying degrees. Islamic ju-
Sleeve (1990), but there are relatively few studies of lesbian-
risprudence rarely identifies sexual acts between women but
ism in Chinese literature. Some have argued that the strong
does prohibit all homosexual activity insofar as it falls outside
affiliations between women at certain moments in Chinese
of the bounds of marriage. There are very few references to
history should be considered as same-sex affections, as in the
sexual activity between women contained in the juridical
case of Chinese marriage resisters. It may be that the relation-
texts, but there are a few more in Arabic, Turkish, and Per-
ships between women such as these should be considered in
sian literature; Everett Rowson (1991) discusses the refer-
the same light as female friendships in the nineteenth centu-
ences found in Arabic literature, and Paul Sprachman (1997)
ry, in which the relationships are enduring, passionate, and
focuses on Persian sources. Ironically, lesbianism in Turkish
stable but contain no references to sexual activity between
harems was one of the classic stereotypes about Islam at the
the partners (Smith-Rosenberg, 1985; Raymond, 1986).
height of colonialism, as Marilyn Brown (1987) has elo-
Paul Schalow’s article on Kukai and male love in Buddhism,
quently demonstrated. There are few studies of same-sex re-
Sexuality, and Gender (1992) is a fascinating study. There is
lationships between women within Islam; the references are
a growing literature on the lives of gay men and lesbians in
scattered throughout studies of male homosexuality. In the
contemporary China—known collectively as tongzhi—and
South Asian arena, however, Ruth Vanita has recently
Japan—where the term for lesbian is rezubian, or rezu for
emerged with a few excellent studies on same-sex relation-
short. One good guide to the literature by geographical area
ships between women in Hinduism that draw on both local
is the Reader’s Guide to Lesbian and Gay Studies, edited by
and Sanskrit myths, rituals, and linguistic analyses (in Vanita
Timothy F. Murphy (2000).
and Kidwai, 2000).
SEE ALSO Gender and Religion, overview article; Gynocen-
The normative standard in all Indian traditions is het-
trism; Homosexuality; Human Body, article on Human Bo-
erosexual intercourse. Almost all violations of the usual stric-
dies, Religion, and Gender; Nuns, overview article; Patriar-
tures incur a higher penalty than male-male sex, and the price
chy and Matriarchy.
for sexual acts between women falls even lower on the scale.
Thus, in the Hindu ´sastra tradition, the Artha´sastra declares
BIBLIOGRAPHY
that women who have sex with each other are required to pay
Alpert, Rebecca. Like Bread on the Seder Plate: Jewish Lesbians and
a lower fine than men who have sex with each other. In the
the Transformation of Tradition. New York, 1997.
Manusmriti, a woman who has sex with a virgin pays a much
Boswell, John. Christianity, Social Tolerance, and Homosexuality:
higher fine than two women who are no longer virgins are
Gay People in Western Europe from the Beginning of the Chris-
required to pay. The Ka¯masu¯tra details a variety of sexual acts
tian Era to the Fourteenth Century. Chicago, 1980.
between women, and like other sources of the period, de-
Brooten, Bernadette J. Love between Women: Early Christian Re-
scribes a type of “third gender” described as biologically
sponses to Female Homoeroticism. Chicago, 1996.
male. Leonard Zwilling (1992) has written on the detailed
Brown, Judith C. Immodest Acts: The Life of a Lesbian Nun in Re-
taxonomies of sexual “identities” described within Indian
naissance Italy. New York, 1986.
texts, but he has not paid as close attention to terms for
Brown, Marilyn R. “The Harem Dehistoricized: Ingres’ Turkish
“women” as he has for “men.” Within the Indian sphere, but
Bath.” Arts Magazine 61 (Summer 1987): 58–68.
from a different angle, Buddhist Vinaya texts go into detail
Cabezòn, José Ignacio, ed. Buddhism, Sexuality, and Gender. Alba-
on the kinds of sexual activity prohibited to monks and nuns;
ny, N.Y., 1992.
unlike the Hindu tradition, one’s intent weighs more heavily
Cao Xuequin, and Gao E., trans. Story of the Stone, vol. 3,
than the actual act itself. Thus, the punishment for monks
pp. 375, 551–553. New York, 1973–1987.
who willfully violate the prohibitions on sexual intercourse
Chalmers, Sharon. Emerging Lesbian Voices from Japan. London,
(maithuna) with women is to be expelled from the sangha
2002.
(order). However, the penalty for two nuns who engage in
Chao, Antonia. “Global Metaphors and Local Strategies in the
“patting each other” (i.e., mutual manual stimulation) falls
Construction of Taiwan’s Lesbian Identities.” Culture,
into the category of minor offenses. Because the Buddhist
Health and Sexuality 2, no. 4 (2000): 377–390.
Vinaya texts were carried along with Buddhism as it moved
Comstock, Gary David, and Susan E. Henking, eds. Que(e)rying
into China, Japan, and throughout Southeast Asia, the same
Religion: A Critical Anthology. New York, 1997.
descriptions of proscribed behaviors for nuns appear
Daly, Mary. Gyn/Ecology: The Metaethics of Radical Feminism.
throughout Asian Buddhist traditions, though with some
Boston, 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
5416
LESSING, G. E.
D’Angelo, Mary Rose. “Women Partners in the New Testament.”
Thomas, Wesley, and Sue-Ellen Jacobs. “‘. . . And We Are Still
Journal of Feminist Studies in Religion 6, no. 1 (1990): 65–86.
Here’: From Berdache to Two-Spirit People.” American In-
Foucault, Michel. The History of Sexuality, vol. 1. Translated by
dian Culture and Research Journal 23, no. 2 (1999): 91–107.
Robert Hurley. French orig. 1976; New York, 1978.
Vanita, Ruth, and Saleem Kidwai. Same Sex Love in India: Read-
Heyward, Carter. Touching Our Strength: The Erotic as Power and
ings from Literature and History. New York, 2000.
Love of God. San Francisco, 1989.
Zwilling, Leonard. 1992. “Homosexuality as Seen in Indian Bud-
Hinsch, Brett. Passion of the Cut Sleeve: The Male Homosexual Tra-
dhist Texts.” In Buddhism, Sexuality, and Gender, edited by
dition in China. Berkeley, Calif., 1990.
José Ignacio Cabezòn. Albany, N.Y., 1992
Leyland, Winston, ed. Queer Dharma: Voices of Gay Buddhists. San
CAROL S. ANDERSON (2005)
Francisco, 1998.
Lienert, Tania. “On Who Is Calling Radical Feminists ‘Cultural
Feminists’ and Other Historical Sleights of Hand.” In Radi-
cally Speaking: Feminism Reclaimed, edited by Diane Bell and
LESSING, G. E. (1729–1781), was a German dramatist,
Renate Klein, pp. 155–168. North Melbourne, Australia,
historian, and essayist. Born in Kamenz, the son of a Luther-
1996.
an pastor, Gotthold Ephraim Lessing went to university in
Lorde, Audre. Sister Outsider: Essays and Speeches. Trumansburg,
Leipzig in 1746 to study theology, which his interest
N.Y., 1984.
in drama soon caused him to abandon. He moved to Berlin
Morgan, Ruth, and Graeme Reid. “‘I’ve Got Two Men and One
in 1748 and there became acquainted with noted Enlighten-
Woman’: Ancestors, Sexuality and Identity among Same-Sex
ment figures. Between 1755 and 1760 Lessing spent time in
Identified Women Traditional Healers in South Africa.”
Leipzig and Berlin as a journalist. In 1760 he took up resi-
Culture, Health and Sexuality 5, no. 5 (2003): 375–391.
dence in Breslau, where he wrote his famous drama Minna
Murphy, Timothy F., ed. Reader’s Guide to Lesbian and Gay
von Barnhelm (1767–1777) and his treatise comparing liter-
Studies. Chicago, 2000.
ary and visual arts criticism, Laokoon (1766). In 1766 Lessing
Murray, Stephen O., and Will Roscoe, eds. Islamic Homosexuali-
became resident critic for a new theater in Hamburg and
ties: Culture, History, and Literature. New York, 1997.
composed the Hamburg Dramaturgy (1767). The theater
Murray, Stephen O., and Will Roscoe, eds. Boy-Wives and Female
soon failed, and Lessing finally became librarian at the library
Husbands: Studies in African Homosexualities. New York,
of the duke of Brunswick in Wolfenbüttel. Here he pursued
1998.
intently his heretofore intermittent theological and historical
Ratti, Rakesh, ed. A Lotus of Another Color: An Unfolding of the
studies. His publication of anonymous fragments from a
South Asian Gay and Lesbian Experience. Boston, 1993.
manuscript by Samuel Reimarus (1694–1768), attacking
Raymond, Janice. Passion for Friends: Toward a Philosophy of Fe-
Christianity, provoked heated opposition from orthodox Lu-
male Affection. Boston, 1986.
therans, and Lessing eventually became embroiled in polem-
Rich, Adrienne. “Compulsory Heterosexuality and Lesbian Exis-
ics with the Hamburg pastor Johann Melchior Goeze (1717–
tence.” Signs: Journal of Women in Culture and Society 5
1786). Upon being placed under censorship by the duke in
(1980): 631–660.
1778, Lessing answered with his famous play Nathan the
Roscoe, Will, ed. Living the Spirit: A Gay American Indian Anthol-
Wise (1779), which pleads for religious toleration. He died
ogy. New York, 1988.
in Braunschweig in 1781. Lessing’s theological tracts include
Vindication of Hieronymous Caradanus (1754); Leibniz on
Rowson, Everett K. “The Categorization of Gender and Sexual Ir-
regularity in Medieval Arabic Vice Lists.” In Body Guards:
Eternal Punishments (1773); Berengarius Turonesis (1770);
The Cultural Politics of Gender Ambiguity, edited by Julia Ep-
“Editor’s Counterpropositions,” prefacing Reimarus’s frag-
stein and Kristina Straub, pp. 50–79. New York, 1991.
ments (1777); New Hypotheses Concerning the Evangelists
Smith-Rosenberg, Carole. “The Female World of Love and Ritu-
Seen as Merely Human Historians (1778); Axiomata (1778);
al: Relations between Women in Nineteenth Century Amer-
and The Education of Mankind (1780).
ica.” In Disorderly Conduct: Visions of Gender in Victorian
Lessing’s theological reflections have produced diver-
America, pp. 53–76. New York, 1985.
gent interpretations. He is variously seen as an Enlighten-
Sprachman, Paul. “Le beau garon sans merci: The Homoerotic Tale
ment rationalist, basing knowledge upon mathematical mod-
in Arabic and Persian.” In Homoeroticism in Classical Arabic
els, or as an irrationalist influenced by British empiricism.
Literature, edited by J. W. Wright and Everett K. Rowson,
There are sound textual grounds for both positions, but both
pp. 192–109. New York, 1997.
presuppose a consistent and relatively complete theory on
Swarr, Amanda Lock, and Richa Nagar. “Dismantling Assump-
Lessing’s part. Lessing is most effectively interpreted not as
tions: Interrogating ‘Lesbian’ Struggles for Identity and Sur-
a consistent theorist, however, but as one caught up in the
vival in India and South Africa.” Signs: Journal of Women in
cognitive crisis of precritical philosophy between 1750 and
Culture and Society 29, no. 2 (2003): 491–516.
1781. Rationalistic and empiricist paradigms are evident as
Te Awekotuku, Ngahuia. “Maori—Lesbian—Feminist Radical.”
organizational principles in his handling of religious data.
In Radically Speaking: Feminism Reclaimed, edited Diane Bell
and Renate Klein, pp. 55–61. North Melbourne, Australia,
Religion, specifically revealed religion, became an acute
1996.
problem for Lessing because its medium is history. “Acciden-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LESSING, G. E.
5417
tal truths of history can never become the proof of necessary
is in need of a directional impulse from beyond. Lessing ac-
truths of reason,” he wrote in On the Proof of the Spirit and
cordingly accepts hypothetically the basic Christian position
the Power (1777). Reason, he argued, posits a mathematical
that God has entered history. But for Lessing, God enters
mode for all reality. The inner truth of being evinces the for-
history as an educator who uses prerational means (e.g., mir-
mal features of necessity, universality, and intelligibility;
acles) to stimulate human evolution toward rational self-
truth about God must accord with the formal structure of
sufficiency. The Old and New Testaments are thus stages
reason. Historical truth is, on the other hand, always con-
leading to a new eternal covenant, not unlike that envisioned
cerned with what, empirically, has occurred. But empirical
by some rationalists, in which humankind will reach per-
events are structurally accidental, that is, their contradiction
fection.
is always possible; this generates the accidental essence of the
In the modern period, revealed religion is valid indepen-
historical. To base metaphysical and moral truth about God
dent of any historical proofs because it has the function to
and human relation to God on accident would accordingly
stimulate humankind’s progressively improving capacity for
constitute metabasis eis allo genos (passage into another con-
rational self-reflection. The effects (still evident) of a matur-
ceptual realm). Lessing does not flatly deny, for instance, the
ing Christianity, not its historical miracles, become the crite-
historical truth of Christ’s resurrection. Letting it be accept-
rion of the inner truth of Christianity. True religion im-
ed as historically possible, he nevertheless balks at drawing
proves humankind.
a conclusion of salvational importance from such an “acci-
dental” event. History would thereby become a “spider’s
Lessing’s theology does not constitute a worked-out
thread,” too weak for the weight of eternity.
philosophy; rather, it evinces a laborious and painful encoun-
ter with revolutionary tendencies of the modern world. His
Because Lessing freed himself from orthodox depen-
progressive view of history constitutes an early link in the
dence upon the literal word of the Bible, he was able to enter-
great theodicies of historical evolution developed in the eigh-
tain various theses concerning the purely historical origins of
teenth and nineteenth centuries, particularly by Hegel.
the books of the New Testament. He can thus be considered
an early exponent of higher criticism.
Lessing’s influence on posterity has been ambiguous. He
Through Lessing’s reflections there runs an empiricist,
founded no school and had no followers, yet his theological
if not irrationalist, counterthesis: Humankind as it really
efforts encompass and epitomize the theological currents of
is—in history and as historical being—is not a rationalist,
the eighteenth century, currents that influenced subsequent
grounding moral activity on rational insight into the nature
developments critically. In addition, he was a master stylist
of God. From his youthful poetic fragment “Religion” to his
and rhetorician. Lessing’s writings are masterfully, even dra-
late “collectanea to a book,” The Education of Mankind, Les-
matically, constructed. Here is the source of his lasting influ-
sing complained of the benightedness of human conscious-
ence. He has historical importance because of the content of
ness. Indeed, he sometimes viewed reason as a destructive
his theologizing and enduring appeal because of the creative
force that has removed humanity from a primitive inno-
form of his writing.
cence. At any rate, humankind, left to its own powers, would
wander about for “many millions of years” in error, without
BIBLIOGRAPHY
reaching moral and religious perfection. De facto, humanity
An agreed-upon interpretation of Lessing’s theology is lacking,
has fallen from a primordial state (be it in fact or only in alle-
and great divergencies among scholars are evident. In the
gory) and is cognitively limited. De facto, humans do not
twentieth century some found Lessing to be a secular ratio-
nalist. In this connection, see Martin Bollacher’s Lessing:
possess a rational consciousness; they are limited to “unclear”
Vernunft und Geschichte; Untersuchungen zum Problem re-
ideas. In short, human consciousness is sensate-empirical.
ligiöser Aufklärung in den Spätschriften (Tübingen, 1978) and
Along with humanity’s benighted cognition goes its essen-
Martin Haug’s Entwicklung und Offenbarung bei Lessing
tially emotional psychology. Images, not abstract ideas, move
(Gütersloh, 1928). Bollacher’s study is a particularly good
humans to action.
presentation of this view. Since the 1930s some scholars have
Lessing clearly separated himself from Lutheran ortho-
found Lessing to be a theist, even Christian to a degree—at
any rate, at least receptive to the idea of revelation. For two
doxy, but he expressed his appreciation for it: Historical
very important works concerning this thesis, see Arno Schil-
Christianity at least addresses humans as they de facto are.
son’s Geschichte im Horizont der Vorsehung: G. E. Lessings
Neological and rationalist theologies, on the other hand, as-
Beitrag zu einer Theologie der Geschichte (Mainz, 1974) and
sume humans to be rational; this, history proves false. Les-
Helmut Thielicke’s Offenbarung, Vernunft und Existenz: Stu-
sing thus repeatedly opposed theological “liberals” such as
dien zur Religionsphilosophie Lessings, 3d ed. (Göttingen,
J. A. Eberhard (1739–1809).
1957). My study G. E. Lessing’s Theology: A Reinterpretation
(The Hague, 1977) is an attempt to integrate the two tradi-
Lessing reconciled rationalism and Christianity by dis-
tions by viewing Lessing not as a systematic thinker but as
tinguishing between Christianity as history and Christiani-
one who evinced contradictions and hovered between secu-
ty’s contemporary meaning; he then brought the two togeth-
larism and Christianity. For two introductions in English to
er through the notion of the progressivity of history.
Lessing’s theology, see Henry Allison’s Lessing and the En-
Humankind, clearly incapable of reaching moral perfection,
lightenment (Ann Arbor, Mich., 1966) and Henry Chad-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5418
LEUBA, JAMES H.
wick’s “Introduction,” in Lessing’s Theological Writings (Stan-
Leuba, James H. A Psychological Study of Religion. New York,
ford, Calif., 1957), pp. 9–49.
1912.
L. P. WESSELL, JR. (1987)
Leuba, James H. The Belief in God and Immortality. Chicago,
1921.
Leuba, James H. The Psychology of Religious Mysticism (1926). Bos-
LEUBA, JAMES H. (1868–1946), was an American
ton, 1972.
psychologist and one of the leading figures of the early phase
New Sources
of the American psychology of religion movement (1880–
Hay, David. “Psychologists Interpreting Conversion: Two Ameri-
1930). Born in Switzerland, Leuba came to the United States
can Forerunners of the Hermeneutics of Suspicion.” History
as a young man and studied at Clark University under
of the Human Sciences 12, no. 1 (1999): 55–73.
G. Stanley Hall. In 1895 he graduated from Clark and be-
Leuba, James H. “Sources of Humanism in Human Nature.” Hu-
came a fellow there, and in 1896 he published the first aca-
manist 61, no. 2 (2001): 12–15.
demic study of the psychology of conversion. In 1889 he had
Wulff, David M. “James Henry Leuba: A Reassessment of a Swiss-
begun teaching at Bryn Mawr College, where he spent all his
American Pioneer.” In Aspects in Contexts, edited by Jacob A.
active academic life. His numerous publications on the psy-
Belzen, pp. 25–44. Amsterdam; Atlanta, 2000.
chology of religion gave him a position of prominence in the
field through the 1930s.
BENJAMIN BEIT-HALLAHMI (1987)
Revised Bibliography
Leuba was responsible for the classic study on religious
beliefs among scientists and psychologists. He found that the
more eminent the scientist, the less likely he was to profess
religious beliefs. The same finding held for psychologists.
LÉVI, SYLVAIN (1863–1935), French Sanskritist, Ori-
The results accorded with Leuba’s own sympathies, for he
entalist, and cultural historian. “Sylvain was—always and
was a critic of religion, a skeptic reporting on other skeptics.
from the very first—my second uncle,” Marcel Mauss de-
In his book The Psychology of Religious Mysticism (1926) he
clared, recalling his fateful introduction to Sylvain Lévi in
emphasized the importance of sexual impulses in motivating
1895; “I owe to Sylvain the new directions of my career.”
religious rituals and of the sexual symbolism of religious ec-
Many other scholars, European and Asian, owed Sylvain Lévi
stasy. Leuba’s work has been described as empiricist, reduc-
similar debts, and twentieth-century studies of South and
tionist, and antireligious. There is no doubt that in his time
East Asia’s cultural and religious legacy owe numerous in-
he was the least inclined among the leading psychologists to
sights and new directions to Lévi’s scholarship and personal
show any respect for conventional religion.
example.
As Leuba himself reported, his early experiences in Swit-
Just as Marcel Mauss was indebted to Sylvain Lévi for
zerland led him to his critical views regarding religion and
crucial advice, so Lévi owed a similar debt to Ernest Renan,
religious people. Raised in a Calvinist home, he began to
who urged that he sit in Abel Henri Joseph Bergaigne’s San-
have doubts, but then came under the influence of the Salva-
skrit course at the École des Hautes Études in 1882. Born
tion Army and had a conversion experience. After he began
in Paris, March 28, 1863, Lévi was nineteen when he took
his scientific studies he became an atheist. He remained,
Renan’s advice, and his career was set after the first hour with
throughout the rest of his life, a critic of religion, much in
Bergaigne. Three years later, in 1885, he was appointed to
the same vein as Freud, and a critic of religious hypocrites.
the second Sanskrit post at the École, and the following year
He accused Hall and others of keeping up the appearance of
he also took up a lectureship in the newly established section
religiosity for the sake of their social standing, or as a way
on sciences religieuses. In 1889, the year after Bergaigne’s
of maintaining the authority of religious institutions in order
death, he became head of Sanskrit instruction at the École.
to keep the “ignorant masses” under control. The current
He resigned that post to become professor of Sanskrit lan-
standing of Leuba’s contribution can be gauged by the fact
guage and literature at the Collège de France in 1894, a posi-
that of the six books he published during his lifetime, four
tion he held until his death, October 30, 1935.
are still in print, and one of them (The Psychology of Religious
Mysticism) was reissued as recently as 1972. His brilliant
Initially fascinated by the possible impact of Greek cul-
ideas regarding the origins of religion and magic presaged
ture on ancient India, Lévi remained captivated by the nature
those of Freud and Malinowski, and should keep Leuba
and extent of cross-cultural influences in Asia. The extensive
numbered among the true greats of the study of religion.
domain of his own scholarship on primary sources ranged
from the first systematic study of Sanskrit drama to Buddhist
B
studies, in which he was, in effect, the successor of Eugène
IBLIOGRAPHY
Argyle, Michael, and Benjamin Beit-Hallahmi. The Social Psychol-
Burnouf. In pursuit of these latter studies, he learned Chi-
ogy of Religion. Boston, 1975.
nese, Tibetan, and Japanese, and also mastered the Tochari-
Beit-Hallahmi, Benjamin. “Psychology of Religion, 1880–1930:
an dialects of Central Asia. Broad and imaginative in his
The Rise and Fall of a Psychological Movement.” Journal of
scholarly vision and speculation, Lévi remained a versatile
the History of the Behavioral Sciences 10 (1974): 84–90.
specialist who insisted that the discovery of a single text, 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
LEVITES
5419
confirmation of a single historical fact, the decipherment of
trine du Grand Véhicule selon le système Yogacara, 2 vols.
a single stanza, was more significant than any theoretical con-
(Paris, 1907–1911), and Un système de philosophie boudd-
struct.
hique: Matériaux pour l’étude du système Vijñaptima¯tra (Paris,
1932).
Having become a close friend of two young Japanese
while still a student, Lévi always sought to strengthen living
G. R. WELBON (1987 AND 2005)
cross-cultural associations and to recover dimensions of cul-
tural heritage for the benefit of all. These humanistic con-
cerns were evident not only in his scholarship but in his nu-
LEVI BEN GERSHOM SEE GERSONIDES
merous activities as an unofficial cultural ambassador.
Instrumental in establishing the École Française d’Extrême
Orient, the Institut de Civilisation Indienne, and the Musée
Guimet, Lévi founded the Maison Franco-Japonaise and was
LEVITES. [This entry discusses the role of the leviyyim
its first director. His close friendship with the ruling family
(“Levites”) and kohanim (“priests”) in Israelite religion and in
of Nepal resulted in his classic three-volume work, Le Népal.
Judaism.]
As a friend and adviser of such Indians as Rabindranath Ta-
The origin of the Levites remains obscure despite con-
gore and as a teacher of students, such as Takakusu Junjiro¯,
siderable scholarly attention. Without contemporary docu-
who came to him from Japan, India, and other Asian coun-
mentation of the sort available on the larger societies of the
tries, Lévi internationalized Asian religious studies and was
ancient Near East, scholars must rely largely on the Hebrew
perhaps Europe’s first “postcolonial” Orientalist.
Bible and later Jewish sources for information, making it dif-
An important element in Lévi’s background as a scholar
ficult to trace the early development of this priestly group.
was his abiding interest in Judaism of the Diaspora. The son
What is known is that religious life in antiquity, from an in-
of Alsatian Jewish immigrants, he worked tirelessly on behalf
stitutional point of view, always required special places of
of world Jewry, becoming the president of the Alliance Israél-
worship with priests who were trained to perform cultic rites,
ite Universelle. In the last years of his life, efforts on behalf
make oracular inquiry, record temple business, and instruct
of Jewish refugees from Germany consumed much of his en-
worshipers on religious matters. Like the scribe, the priest
ergy. Clearly, he saw parallels between the adventure of Bud-
had a set of skills unknown to most other members of soci-
dhism in Asia and the impact of Jewish life and thought in
ety, and the need for skilled personnel generated a system of
Europe. The one historical verity reinforced the other; to-
“schools” attached to temples and other cult centers to re-
gether the two helped shape and direct a career that changed
cruit, support, and educate priests. In ancient societies three
European Orientalism and inaugurated an epoch in scholar-
factors interact: training and skill, family and clan, and place
ship and in the human interaction between Europe and Asia.
of residence. The family provided an ideal setting for teach-
Lévi was, as one of his admirers put it, more than an Orien-
ing priestly skills and retaining exclusive control over them.
talist: he was a humanist.
In Israel, as elsewhere, families and clans tended to concen-
trate in certain locales, where their members lived in proxim-
BIBLIOGRAPHY
ity to each other. Clans were not strictly ancestral, contrary
Lévi’s writings remain untranslated from the French. A fairly com-
to the impression made by certain biblical texts, and it was
plete bibliography concludes Victor Goloubew’s tribute,
not uncommon to admit an outsider to learn the skills prac-
“Sylvain Lévi et l’Indochine,” Bulletin de l’École Française
ticed by the clan, and eventually to grant clan membership
d’Extrême Orient 35 (1935): 551–574. The volume Mémori-
as well.
al Sylvain Lévi, edited by Louis Renou (Paris, 1937), con-
Some biblical traditions regard the Levites as one of the
tains forty-two articles by Lévi that eloquently illustrate the
nature and range of his interests and scholarship. Renou’s
original twelve tribes, whose members were collectively con-
preface to this collection, “Sylvain Lévi et son œuvre scienti-
secrated to cult service; other less systematic but perhaps
fique” (first published in the Journal asiatique), is an infor-
more authentic biblical evidence regards them as a profes-
mative and affectionate evaluation of the scholar and the
sional group, whose members came from various tribes and
man. Ivan Strenski continues his useful exploration of Levi’s
clans. Initially, priestly groups may have formed along pro-
influence on Émile Durkheim and his school in Durkheim
fessional lines, subsequently developing into clans and even
and the Jews of France (Chicago, 1997).
larger units. Biblical writers probably began to regard the Le-
The essays (including an address in English) published as L’Inde
vites as a tribe only after the interaction of training, locale,
et le monde (Paris, 1925) may be the most accessible intro-
and family affiliation had progressed to a considerable de-
duction to Lévi’s thought. Of his longer works, three are in-
gree. Biblical historiography has shown a strong tendency to-
disputable classics: Le théâtre indien, 2 vols. in 1 (Paris,
ward fitting social groups into neat, genealogical categories,
1890), La doctrine du sacrifice dans les Bra¯hman:as (Paris,
which may account for the traditional identity of the Levites
1898), and Le Népal: Étude historique d’un royaume hindou,
as a tribe.
3 vols. (Paris, 1905–1908). Among his numerous editions,
translations, and studies, two that remain especially impor-
Of the professional titles and terms used in Hebrew
tant are Asanga: Mahayana-sutralamkara; Exposé de la doc-
sources to designate priests of different types, the most 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
5420
LEVITES
mon is kohen (pl. kohanim), cognates of which are found in
priest for their tribe. The Danites stole Micah’s cult objects,
the Ugaritic, Aramaic, Phoenician, and Arabic languages.
including a statue, an efod (a vestment with pockets, contain-
The term komer (“priest”), with cognates in Akkadian, the
ing lots used in oracular divination), and terafim (statuettes
el-Amarna dialect, and again Aramaic, is used in Hebrew
that probably served as family gods). Then they proceeded
scriptures only for pagan priests, and then rarely (2 Kgs. 23:5,
to Laish, took it without an attack, and renamed it Dan, and
Hos. 10:5, Zep. 1:4).
thus the cult of Dan was established.
There is no feminine form for kohen because there was
The story has all the earmarks of authenticity precisely
no role for women in the official Yahvistic cult of Israel. And
because it does not conform to traditional notions about
yet there is a term for priestess, qedeshah, which literally
Yahvistic religion. The levi was of the clan of Judah and from
means a (female) “consecrated person.” (The masculine
Bethlehem. But it was his profession, as distinct from clan
equivalent, qadesh, also occurs.) Based upon biblical evi-
affiliation, that was valued all over the country, affording
dence, these terms would be considered solely derogatory
him a certain degree of mobility. He was appointed av and
(e.g., Dt. 23:18, Hos. 4:14). However, in Ugaritic, qadishu-
kohen, the former a term sometimes used to designate a
ma is an administrative term for priests and in Akkadian,
“teacher” or “master,” quite apart from its use in a familial
qadishtu designates a priestess class widely known in the Old
sense.
Babylonian period. Thus, biblical usage of qedeshah and
qadesh as terms of derision to designate improper or pagan
From this story it could be concluded that a levi was a
priests is more a matter of attitude than of nomenclature.
mobile professional who might have come from any tribe or
The terms kohen, komer, and qadesh/qedeshah are professional
clan, employed by a family or at a temple or other cult site,
titles.
supported by them and serving at their pleasure. In contrast
to other members of clans, who normally tended agricultural
A bigger problem arises in defining the term levi
lands, a levi could move about. This portrait, probably more
(Levite). A number of etymologies have been posed along
accurate for the early period of Israelite settlement than for
professional lines, ranging from the notion of “carrying,
the later, sheds light on the question of origins, and corrects
bearing,” to camping “around” the sanctuary. Poor docu-
the traditional and less historical picture found in biblical
mentation aside, what these etymologies are actually positing
priestly literature.
is more logical than linguistic, reflecting known cultic func-
tions, such as carrying cultic artifacts, guarding temples, and
Hebrew scriptures tell little about the status of Micah
so on. If the term derives from a single verbal root, it is not
himself except that he owned a temple, which indicates that
presently established and any definition must be according
he was a local leader. Leading residents of towns built tem-
to context and usage.
ples, appointing members of their own families as priests.
Some biblical historians claim that in the early Israelite peri-
EARLY HISTORY IN BIBLICAL TRADITION. The earliest bibli-
od the head of the clan or household was the priest, an image
cal reference to a levi is probably to be found in Judges 17–18.
that seems to fit the patriarchs of Israel, who built altars and
Micah, a man who lived somewhere in the Ephraimite hills
endowed cults.
before there was a monarchy in Israel, built a temple and in-
stalled in it several cult objects. He appointed one of his sons
An early story about the training of a priest is preserved
as priest. About that time, “a young man from Bethlehem,
in 1 Samuel 1–3. Samuel, a cult prophet, officiated at sacri-
from the clan of Judah, who was a levi” (Jgs. 17:7), arrived
fices but also spoke with the authority of a prophet who com-
at Micah’s residence while en route to seek his fortune in
municated God’s word to the people. Before his birth, he was
northern Israel. After conversing with him, Micah invited
dedicated to temple service by his mother, pledged as a nazir
him to live in his household and serve as priest in his temple;
(“Nazirite”) to serve all his life in the temple at Shiloh. This
more precisely, to be a father (av) and priest (kohen). Micah
form of cultic devotion, which parents might perform for a
offered him ten shekels of silver a year, clothing, and room
variety of reasons, was one of the ways of recruiting priests.
and board. The levi accepted, and Micah was assured that
With Samuel the motive given was the gratitude of his one-
God would grant him good fortune now that he had a levi
time barren mother, but in reality economic deprivation
of his own.
often prompted parents to seek security for their sons in the
priesthood. 1 Samuel 2:36 intimates as much in predicting
Chapter 18 opens with the tribe of Dan, then living in
that the sinful priests of the House of Eli would beg to be
the southern plain, seeking territory elsewhere because of
accepted in a priestly group just to have bread to eat.
pressure from the Philistines. The Danites sent spies to
northern Israel, where they stopped at Micah’s home, and
It was Eli, the chief priest of Shiloh, to whom young
the levi assured them that God was with them. They later
Samuel was brought by his mother. Samuel’s prophetic role
found suitable land in upper Galilee, and when the entire
is anticipated by a divine theophany whose message Eli does
tribe began its migration northward, they once again stopped
not fail to comprehend. Samuel is taught the priestly arts by
at Micah’s home. The spies informed the others that valuable
Eli, whose own sons were greedy and improper in the con-
cult objects were to be found in the local temple, and they
duct of the sacrificial cult. Here is seen an instance in which
persuaded the young levi to abandon Micah and serve as
an outsider rose to prominence at a major temple, while 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
LEVITES
5421
family that had controlled the priesthood lost power. The he-
and this line of priests was rejected (1 Kgs. 1:7, 1:19). Solo-
reditary succession did not always work and one adopted
mon banished the priest to his hometown, and henceforth
into the priesthood might assume leadership if he had superi-
only the line of Zadok served the Judahite royal house (1 Kgs.
or gifts. In 1 Chronicles 6:13, the name of Samuel is inserted
2:35). The list preserved in 1 Kings 4:25, which still men-
in a Levitical genealogy. At that late period, it would have
tions Abiathar, is apparently a later source, showing how lit-
been inconceivable that a legitimate priest and leader of the
erary tradition often ignores historical sequence.
people such as Samuel would not have been the descendant
In priestly families, as in many royal lines, sons were
of a Levitical clan.
named after their grandfathers, a method known as “pap-
The story of the Canaanite king of Salem, Melchizedek,
ponymy,” so that names like Zadok reappear in subsequent
characterized as “a priest of El, the most high,” adds yet an-
generations (Ez. 40:46).
other dimension to the status of priests in early Israel. In
The narratives of David and Solomon reveal how cer-
Genesis 14 (by all accounts an early biblical text), Melchize-
tain priestly families were appointed under the monarchy
dek greets the patriarch Abram (later Abraham) after a victo-
and were expected to be loyal to their royal sponsors. At one
rious battle fought against foreign kings. He blesses Abram
point David used the priest Zadok to spy for him and to re-
in the name of his own god, El EElyon. Here the king of a
port on Absalom’s activities (2 Sm. 15:26f.).
Canaanite city-state serves as a priest, showing the priestly
Considerable information is found in the Bible about
office to be a corollary of civil status.
priestly families during the period of the Judahite and north-
Little else is known about priests, generally, in the pre-
ern Israelite monarchies, but there is hardly any mention of
monarchic period. Quite coincidentally, Judges 19:1 reports
Levites. 1 Kings 12:31 states that Jeroboam I did a wicked
that the man whose concubine was raped and murdered in
thing by appointing non-Levitical priests to officiate at his
Gibeah of Benjamin was a levi living in the Ephraimite hills.
heterodox temples, but this statement occurs in a later inser-
That he had originally taken a concubine from Bethlehem
tion into the text. For the most part, Samuel and Kings know
suggests that he, like Micah’s levi, may also have been from
nothing about a tribe of Levi.
Bethlehem.
The reference to Nob as a town of priests introduces the
factor of locale. The law of Leviticus 25:32–34 provides tax
Curiously, the term levi most often appears in north Is-
exemptions for Levitical towns, justifying such exemptions
raelite literature. Indeed, it may be a north Israelite term for
by the fact that the Levites had no territory of their own. The
“priest,” which would explain its general absence from Juda-
same justification underlies the provisions in Numbers
hite sources and its occurrence in Deuteronomy, a book essen-
35:1–8. Both are late texts.
tially northern in origin.
The lists of Joshua 21 and 2 Chronicles 6 present a differ-
Monarchic period. The biblical narratives about Saul,
ent problem because they specifically name forty-eight Levit-
the first king of Israel, reveal two aspects of the role of priests
ical towns, most of which have been located. Benjamin
during the early monarchy. Saul employed an elderly profes-
Mazar argues that these lists ultimately reflect the situation
sional priest, a descendant of Eli, from Shiloh (it having since
under the united monarchy of the tenth century BCE. Ac-
been destroyed by the Philistines), who made oracular inqui-
cording to Mazar, these towns were first established by David
ry for Saul and the Israelite forces using the efod (1 Sm. 14).
and Solomon as part of a system of royal outposts, especially
There is also the recurring theme of Saul’s own involvement
in newly conquered territories.
in priestly functions. At one point, Saul officiated at a sacri-
Aside from the fact that these lists show signs of lateness,
fice when, after seven days of waiting, Samuel failed to arrive
there is some difficulty in ascertaining whether the sites listed
(1 Sm. 13). Although Samuel was enraged over what Saul
were actually settled by Israelites in the tenth century BCE.
had done, it was probably in accordance with contemporary
Recent archaeological surveys in Israel show a different pat-
custom: Kings often assumed sacral roles.
tern of early settlement. Then too Mazar must rest his case
David also employed professional priests, appointing
on the traditions of Chronicles, to the effect that Levites spe-
and dismissing them at will. The first priest he encountered
cifically were involved with David and Solomon. Given the
was Ahimelech, priest of Nob—the town of priests (1 Sm.
generally biased character of Chronicles, these traditions may
21). Ahimelech sided with David against Saul, offering him
not reflect an earlier reality. In any event, the concentration
and his band comfort and aid. Saul eventually murdered the
of Levites in certain locales is logical in the earlier periods of
priests of Nob, but one escaped, Abiathar, Ahimelech’s son
biblical history, as is the existence of certain towns of asylum,
(1 Sm. 22:20f.), who joined David’s forces and regularly un-
often located where priests lived (Nm. 35:9f.).
dertook oracular inquiry for David (1 Sm. 23:10f., 30:7f.).
Deuteronomy, essentially derived from the northern Isra-
Later, David had two priests with him, Ahimelech and
elite kingdom of the eighth century BCE, refers to all priests
Zadok, whose origins are not revealed (2 Sm. 8:17, 15:24).
as Levites. Its classic designation is “the Levitical priests, the
These two lines of priests continued to serve David through-
entire tribe [Heb., shevet] of Levi” (Dt. 18:1). Clearly, in the
out his career until a priest of the Abiathar line sided with
north Levites were regarded as having a tribal identity: All
David’s son, Adonijah, in an attempt to claim the succession
legitimate priests were Levites, and all Levites were priests.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5422
LEVITES
From what Deuteronomy says about Levites elsewhere
prophet, in his vision of a restored Temple in Jerusalem, fa-
one notes that the tribe of Levi was not like other tribes. Le-
vored the priestly line of Zadok exclusively. The Levites who
vites lived throughout the land (Dt. 14:26f.) and had no ter-
had turned away from Yahveh (when, is not clear) were no
ritory of their own, relying on cultic service for support (Dt.
longer to officiate at the cult, but were demoted (as it were)
18:6f.). The concern in Deuteronomy with the Levitical
to supporting tasks in maintaining the Temple. In effect, the
priests stems from its doctrine, expressed in chapters 12 and
Levites were to take over tasks formerly performed by foreign
16, that sacrifice is proper only at one central temple in a
workmen (or, perhaps, foreign Temple slaves), whose pres-
town to be selected by God. The habitation patterns of the
ence in the Temple was condemned by Ezekiel.
Levites had corresponded to the decentralized pattern of
This is the first indication outside of the Priestly texts
worship at local and regional centers. Tithes and votaries re-
of the Torah of a differentiation between Levitical priests and
mitted at these centers henceforth were to be collected only
ordinary Levites, laying the groundwork for the postexilic
at a central temple. Once Deuteronomy legislated against the
system wherein priests were considered superior to Levites.
customary, decentralized pattern, provision had to be made
Most biblical historians have explained this distinction as a
for those Levitical priests who had served throughout the
consequence of Josiah’s edict (c. 622). Josiah had closed
land. They therefore were granted the right to be maintained
down the local bamot (“high places”) and summoned the
at the central Temple in Jerusalem, and assigned to cultic du-
priests serving them to Jerusalem (2 Kgs. 23). The recon-
ties there.
struction that Ezekiel’s heterodox Levites were, in fact, these
The “Tribe of Levi.” Current scholarship is only able
priests is logical but still only conjecture.
to explain the traditions concerning a tribal origin for the Le-
Classes of priests, with differentiated functions, were
vites in broad, sociological terms. The biblical record of
characteristic of Near Eastern temples, and undoubtedly ap-
twelve tribes, into which that set of traditions fits, is ques-
plied to the Temple in Jerusalem at one time or another.
tionable historically. The number twelve is maintained quite
Conceivably, the poem of Genesis 49 served to explain the
artificially in various tribal lists that sometimes include a
demotion of the Levites, which is attributed to some outra-
tribe named Levi, sometimes not.
geous act.
Apart from the genealogical recasting of the early Israel-
Postexilic references to priests and Levites appear in
ites, so characteristic of Priestly literature, the tradition of a
Ezra, Nehemiah, and Chronicles, a pattern continuing
tribe named Levi occurs in two poetic passages. In Genesis
through and even subsequent to the destruction of the Sec-
49, Levi, the eponym of one of Jacob’s sons, is the head of
ond Temple in Jerusalem in 70
a tribe like all the others. Nothing is said about any cultic
CE. In Kings, as in Jeremiah
with its strong historical orientation, priests are in charge of
function associated with Levi, but there is the telling threat
the First Temple, before the exile. Recent archaeological dis-
to disperse Levi throughout the Land of Israel, suggesting
coveries have added to information on the succession of high
what came to be the real situation of the Levites.
priests from the eve of the exile through to the Hellenistic
In Deuteronomy 33, the Levites are a tribe, but a tribe
and Roman periods. By correlating postexilic writings with
of priests. This same chapter, verses 8 through 11, contains
the works of Josephus Flavius and apocryphal books such as
an oblique reference to the incident of the golden calf, re-
1 Esdras, Frank Moore Cross (1975) uses the Aramaic Sa-
counted first in Exodus 32:26–29, and again in Deuteronomy
maria papyri of the fourth century BCE to propose an unin-
9:16f. Of all the Israelites, the Levites alone rallied to Moses’
terrupted succession of high priests. From Jehozadak, who
side. For their loyalty to God they were rewarded by being
served on the eve of the Babylonian exile, Cross moves for-
granted the Israelite priesthood. The cult of Yahveh was
ward to Simeon I, born in 320. Based on the custom of “pap-
threatened when the golden calf, an allusion to the calves in-
ponymy,” Cross traces the priestly names.
stalled by Jeroboam I at Dan and Bethel, became the object
High-born priestly families, such as those recorded in
of worship (1 Kgs. 12:29f.). The Levites are not characterized
the lists of returning exiles in Ezra 2 and Nehemiah 7, owned
as a tribe, but rather as a group bound by the commitment
estates outside of Jerusalem and probably derived their in-
to a proper Yahvistic cult that superseded their various tribal
come from sources other than mere priestly emoluments. It
affiliations.
can be logically assumed that of all the Jewish exiles in Baby-
The reference to a tribe of Levi in Genesis 49 is less readi-
lonia, priestly families may have been particularly motivated
ly explained. Some historians have suggested that Genesis 49
to return to the Holy Land. By contrast, the Levites seem a
is a very ancient passage that proves the early existence of a
deprived group in the early postexilic period. Ezekiel’s differ-
tribe called Levi. This is doubtful, because the incident of
entiation between Zadokite priests and Levites may, in the
Shechem, recounted in Genesis 35, may be a late story of
last analysis, reflect the different economic standing of priest-
priestly origin.
ly families.
Priests and Levites. The distinction between priest and
Thus far the history and formation of priestly groups in
Levite, basic to certain Priestly traditions, may have first
Israel have been discussed, but scripture highlights Priestly
emerged during the Babylonian exile. In Ezekiel 44:9f., the
traditions on the origin and character of the priesthood 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
LEVITES
5423
cannot be regarded historically, certainly not in detail. It
of the priesthood. In 1 Chronicles 5:27–41 Aaron and his
would be fruitful to attempt a synthesis of history and tradi-
sons launch the priestly line, but then the narrative returns
tion, both subjects for the historian but each requiring differ-
to historical reality, listing known priestly families. In 1
ent methods in studying the past.
Chronicles 6:1–27 the names are entirely different, and gen-
erally match those in Numbers. Thus even within Chronicles
The Priestly traditions trace the origin of the priest-
a distinction must be drawn between history and tradition.
hood, as well as the origin of the Yahvistic cult, to the time
The same is true in Ezra and Nehemiah.
of Moses, prior to the settlement of Canaan. When the read-
er first encounters Aaron in the earliest traditions of Exodus
This and other information confirms the unreliability
(in the source known as JE, which combines Judean and
of the Aaronic genealogy, while at the same time confirming
north Israelite texts), he is Moses’ brother certainly, but
the postexilic books as the repository of historical informa-
serves as a spokesman and emissary, and not as a priest. In
tion, as well as tradition.
Exodus 2:1f., Moses is affiliated with a Levitical family, and
YehoshuEa Ben Sira, a sage very much in the priestly tra-
4:14 refers to Aaron as “your brother, the levi,” but these ref-
dition, writing in the late third or early second century
erences are the work of the Priestly editors. The identifica-
BCE,
endorses the Aaronic line (Ben Sira 50). Ellis Rivkin (1976)
tion of Moses and Aaron as Levites was part of the overall
conjectures that beginning in the time of Ezra, around the
Priestly historiography, linking the cult and the priesthood
mid-fifth century, a group of priests claimed descent from
to the Sinai theophanies.
Aaron, and it was this group who promulgated the tradition
The consecration and investiture of Aaron and his sons
of the Aaronic priesthood continued by Ben Sira.
as priests are themes woven into the Tabernacle texts of Exo-
The Torah also preserves Priestly traditions on the con-
dus 24:12–31:18 and 35–40, and into Numbers, especially
secration of the Levites. In Numbers 8–10 the description of
1–10:28, and 26, as well as in the descriptions of the investi-
Levitical devotion parallels that of priestly investiture in Le-
ture of Aaron and his sons in Leviticus 8–10. G. B. Gray
viticus 8–10. The tasks of the Levites are set forth in Numbers
(1971) regarded Moses as a priest, primarily on the basis of
3–4 according to clans.
Psalm 99:6. It is preferable, however, to interpret the Priestly
traditions of the Torah as a mirror image of reality: Moses,
In the Priestly tradition, priests and Levites shared a
like other leaders and like the Judahite and northern Israelite
common descent. All priests were of the tribe of Levi, but
kings, is portrayed as a priest maker, not a priest. He oversees
not all Levites were priests. Nehemiah 10 has the population
the transfer of priestly authority to Eleazar, Aaron’s son, be-
registered in a stratified way: priests, Levites, and the people
fore Aaron’s death (Nm. 20:22f.); Moses never actually per-
at large.
forms cultic functions, apart from the investiture of the first
priests. As for Psalm 99, it is actually a late, postexilic compo-
ORGANIZATION. The internal organization of the Israelite
sition and it endorses the Aaronic priesthood.
priesthood probably changed little over the centuries, from
the inception of the monarchies to the destruction of the Sec-
Aaron the priest, as opposed to Aaron the person, is no-
ond Temple. A priest was usually in charge of a temple/cult
where mentioned in Deuteronomy. A Priestly addendum in
center, and he was referred to simply as ha-kohen (“the
Deuteronomy 32:50 speaks of his death, and Deuteronomy
priest”) or as the priest of a particular locality or temple. The
9:20f. merely retells the episode of the golden calf. Even in
chief priest of Jerusalem in the near-exilic period was called
that episode, with its cultic context, Aaron functions as lead-
kohen ha-ro Dsh (“the head priest,” Jer. 19:1), and the second
er of the people. The Aaronic priesthood is never referred to
in charge kohen ha-mishneh (“the deputy head”). The title
in the historical books of the Bible—Judges, Samuel, Kings—
ha-kohen ha-gadol (“the high priest”) that occurs in several
except in a few interpolated passages (such as Jgs. 20:28).
passages in Kings (2 Kgs. 22:10, 23:3f.) is probably a later des-
ignation based on the characterization of the head priest in
It is in Chronicles, however, that Aaronic genealogies are
the Holiness Code (Lv. 21:10) as ha-kohen ha-gadol me-ehav
presented in detail, much in the spirit of the Priestly writings
(“the priest who is higher than his kinsmen”). From the fifth-
of the Torah (1 Chr. 5–6, 23–24, etc.). In this fourth-
century
century
BCE Jewish mercenary community at Elephantine
BCE recasting of early Israelite history, Aaronic
comes the Aramaic counterpart, khn D rbD (“the high priest”),
priests are projected into the preexilic period of the Judahite
and it is entirely possible that the Hebrew ha-kohen ha-gadol
monarchy, as though to compensate for their absence in
is a translation from the Aramaic. The Torah includes the
Samuel and Kings. Julius Wellhausen (1957) was logical in
epithet ha-kohen ha-mashiah, “the anointed priest” (Lv. 4, 6),
concluding that the Priestly Torah traditions originated
reflecting a Priestly tradition that has only Aaron receiving
in the period of Chronicles, but it would be more precise to
unctions, not his sons (Lv. 8:12). The rabbinic tradition has
place them somewhat earlier in the postexilic period, the fifth
the additional title ha-segan, or segan ha-kohanim (“the direc-
century BCE.
tor of the priests”); the term segan is a cognate of the Akkadi-
Ezra, Nehemiah, and Chronicles present a dual situa-
an shaknu (“govern”). This terminology reflects the widely
tion: on the one hand, the Aaronic tradition, and on the
attested practice of applying political and administrative no-
other, evidence of a more historical character on the history
menclature to cultic offices (Yoma D 3.9, 4.1; Tam. 7.3). 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
5424
LEVITES
2 Kings 19:2 is found the designation ziqnei ha-kohanim
The priestly vestments are described in Exodus 28 and
(“the elders of the priests”), perhaps the “curia” of the priest-
are referred to in Leviticus 8 and 16. The high priest (Aaron
hood. In rabbinic literature, apprentice priests were called
was the first) wore distinctive garb; linen was used extensive-
pirhei ke-hunah (“the budding flowers of the priesthood,”
ly, as was dyed cloth, and both were embroidered with gold.
Yoma D 1.7, Tam. 1.1). Certain postexilic sources refer to sarei
The high priest wore an efod decorated with twelve gem-
ha-kohanim (“the leaders of the priests,” Ezr. 8:24) who had
stones symbolizing the tribes of Israel, a breastpiece on which
a role in governing the people.
were sewn the binary oracles Urim and Tummim (two small
The Mishnah (Tam. 3.1) mentions ha-memunneh (“the
stones), a headdress, diadem, robes, and pantaloons. These
appointed priest”), who served either as an “officer of the
vestments were worn only while officiating, or when present
day,” or was in charge of a specific bureau or set of rites. In
in a sacred precinct.
short, the priesthood of the Temples of Jerusalem was orga-
Ezekiel’s vision of the restored Temple (44:15f.) in-
nized along royal, administrative lines.
cludes more information on priestly vestments as well as
From early times priests likely were assigned to Temple
grooming: Wool was to be avoided, and priests were to crop
duty for one-week periods. Nehemiah is said to have institut-
their hair but refrain from shaving their head. They probably
ed these mishmarot (Neh. 13:20; cf. 1 Chr. 7:6) and indica-
officiated barefoot.
tions are that this was the arrangement in the Jerusalem
The priesthood was bound by a rigid law of purity. First
Temple during the monarchy. In 2 Kings 11:5f., groups of
were fitness requirements for officiating priests, who had to
priests are designated as ba Dei ha-shabbat (“going on duty on
be free of blemishes, as were the sacrifices. Priests at all times
that Sabbath”) and yots Dei ha-shabbat (“going off duty on that
were to avoid impurity, and as necessary would undergo pu-
Sabbath”), suggesting weekly tours of duty for the priests.
rification in order to be readmitted to the Temple and al-
SUPPORT SYSTEMS. While on duty, priests lived in the Tem-
lowed to officiate once again. The most severe impurity was
ple complex, apart from their families; this arrangement
contact with dead human bodies. According to their law,
helped ensure a state of purity.
priests were forbidden to attend burials, which removed the
Priests were supported by levies and donations, and en-
cult of the dead from the priesthood’s functions. An ordinary
joyed the privilege of partaking of sacred meals; their families
priest was permitted to attend the burial of his most immedi-
also benefitted from Temple support. There is evidence,
ate, consanguineous relatives, but even that was denied the
however, that as time went on, prominent priestly families
high priest. Purity involved marriage law as well. A priest was
amassed independent wealth and owned large estates.
forbidden to marry a divorced woman, because adultery was
F
originally the basis of divorce; similarly unfit (at least in later
UNCTIONS. The skills required for the priestly functions
(see below) were learned from masters and based on written
law) was a woman who had committed harlotry, or whose
“instructions” (or manuals) called torot (sg. torah). The term
fathers had been pronounced unfit for the priesthood. An
torah, which has enjoyed wide applications in the Jewish tra-
improper wife would disqualify a priest’s son from cultic ser-
dition, derives from the priestly context: It is the priest who
vice. A priest could only marry an Israelite, and the high
knows the torah, as is indicated in many biblical characteriza-
priest only a virgin.
tions of the priesthood (Jer. 18:18, Ez. 7:26, Hg. 2:11). In
All of these regulations originate in the Priestly laws of
the Priestly laws of the Pentateuch captions such as zo Dt ha-
the Pentateuch and were expanded and variously applied by
torah (“this is the instruction,” Nm. 19:2) and zo Dt torat (“this
the rabbinic authorities of a later age. How early they applied
is the instruction for,” Lv. 6:2) introduce guides for purifica-
is not certain, but they were in force during the early postex-
tion and sacrifices.
ilic period. In late Second Temple times, priestly families
The Mishnah describes how priests were guided or di-
kept marriage records and were presumed to adhere to a
rected step by step in the celebration of cultic rites. In ancient
stricter code. Ezra 2 and Nehemiah 7 mention priests who
Egypt, officiating priests were actually followed around by
had been declared impure, and removed from the priesthood
a “lector priest” who held before him a tablet with precise
on that account, an obvious reference to violations of the
instructions that he read aloud to the officiant. Failure to
priestly marriage code.
carry out the specific instructions could render the rite inef-
Sacrificial and cultic functions. The primary responsi-
fective, disqualify the priest, and in severe cases defile the
bility of the priest was to officiate at sacrificial worship; quite
sanctuary.
possibly, others than priests may have officiated at certain pe-
In addition to their roles as skilled professionals, priests
riods in biblical history. As stated earlier, the priestly laws of
were consecrated persons. The Torah preserves detailed de-
the Pentateuch include the torot (“instructions”) for this
scriptions of the procedures followed in consecration (Lv.
function, spelled out in detail. Apart from actually officiat-
8–10, Ex. 28–29), including prophylactic rites (involving the
ing, priests were undoubtedly responsible for sacrificial maté-
use of blood and oil), ablutions, and investiture—all accom-
riel—mixing spices and incense, preparing flour for grain of-
panied by purification or expiatory sacrifices. Once conse-
ferings, and preparing proper oils for various purposes,
crated, the priest officiated for the first time and partook of
including lighting of the menorah (“candelabra”) and the
expiatory sacrifice.
like. According to the later pattern, Levites attended to cer-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEVITES
5425
tain of the preparations, but actual slaughtering of sacrificial
similar to dice, each with affirmative and negative markings,
animals was a priestly function.
or one was affirmative, the other negative.
The function of the priest as officiant was indispensable
The Urim and Tummim were kept by the priest in a
to the efficacy of the sacrificial cult, and priests were required
pouch sewn into an embroidered cloth breastpiece. They are
to partake of sacrifices in sacred meals. Certain sacrifices were
mentioned also in connection with the efod, a finely embroi-
not valid if the priest failed to partake of them. The priests
dered garment. In the depiction of the vestments of the high
invoked God’s blessing of the people on certain occasions;
priest (Ex. 28, Lv. 8), the two stones were carried in a sepa-
Numbers 6:24–26 preserves the text of the benediction.
rate breastpiece, called hoshen, fastened to the efod, but it is
“May the Lord bless you and watch over you. May He cause
quite obvious that they were an important part of the efod,
the light of His countenance to shine over you, and may He
the essential oracular vestment. The depiction of carved gem-
be gracious to you. May the Lord lift His face toward you
stones, symbolizing the tribes of Israel, further indicates the
and grant you peace.” The benediction was usually pro-
vestments’ oracular function. The term hoshen ha-mishpat
nounced at the end of the sacrifice, when the priest emerged
(“breastpiece of judgment,” Ex. 28:15, Lv. 8:8) reflects the
from the Temple and its inner courtyard to face the people.
use of the Urim and Tummim in determining guilt and in-
This blessing is one of the rare instances of recitation in the
nocence, a process also indicated by the phrase mishpat ha-
priestly laws of the Torah, which otherwise fails to preserve
urim (“the judgment of the Urim,” Nm. 27:21).
the many formulas employed by priests in the Israelite cult.
The casting of lots (goral) by priests was not always di-
In addition to sacrificial matériel, priests were clearly re-
rectly associated with the Urim and Tummim, at least not
sponsible for maintaining the purity of the Temple and of
explicitly. In the Yom Kippur ritual (Lv. 16), the high priest
all cultic utensils, vestments, and such. The Torah’s priestly
cast lots to determine which of two goats was to be designat-
laws assign some of these “maintenance” tasks (mishmeret)
ed the scapegoat and which the sin offering. Priestly tradi-
to the Levites, but they usually required priestly supervision.
tions, found primarily in Numbers and Joshua, portray the
division of the Promised Land among the tribes by casting
Oracular functions. Again, some of the earliest biblical
lots (Nm. 26, 33–36; Jos. 17–21). Priests again conducted
references to priests are in connection with oracular activity.
the proceedings.
Micah and the Danites were served in this way by a young
Levite, and the priests who accompanied Saul and David
Oracular inquiry is generally viewed as characteristic of
into battle provided similar service. Very likely the laws of
the earlier period of Israelite history, fading out as time went
Deuteronomy 20 are to be understood against the background
on, an opinion not borne out, however, in the priestly writ-
of oracular inquiry. Before battle the Israelites were addressed
ings that give prominence to oracular, priestly functions.
by the priest, undoubtedly the high priest, who assured them
Ezra (2:63) and Nehemiah (7:65) each include a curious
that God would stand at the side of his people and grant
statement about the disqualification of certain priestly fami-
them victory. The priest then stipulated certain deferrals and
lies among the returning Judahite exiles that, unable to pro-
exemptions from military service, an act reminiscent of the
duce genealogical records, were denied the right to partake
ancient custom of “clearance” (in Akkadian, tebibtu), known
of sacrificial meals, “until a priest with Urim and Tummim
from the archives of Mari, a Syrian capital of the eighteenth
should appear.”
century BCE. Soldiers had to be “cleared” by checking to see
It would be erroneous to minimize the lasting impor-
if their obligations on the “home front” had been met. Pre-
tance of oracular inquiry in early religion, a function shared
sumably, the priest was asked whether the contemplated mil-
by priests and prophets. The term darash (to inquire) often
itary venture had God’s support. While priests provided such
connotes oracular inquiry in biblical Hebrew, perhaps more
services most of the time, in some instances prophets advised
often than is generally realized. Other than the casting of
kings in this way, as in 1 Kings 22, a reflection of the overlap-
lots, very little is known about the mechanics of oracular in-
ping of priestly and prophetic functions.
quiry in Israelite Jewish religion.
Most forms of divination were expressly forbidden in
Therapeutic functions. Leviticus 13–15 prescribes a
official Israelite religion, but surprisingly the casting of lots
quasi-medical role for priests in the treatment of skin ail-
was not. The best known form of this practice was using the
ments that were considered contagious, and that in similar
Urim and Tummim. Comparative evidence suggests that the
form appeared as blight on leather, cloth, and plaster-covered
Urim and Tummim consisted of two somewhat flat stones
buildings and stones. Such a role was assigned to priests in
similar to the puru (“lots”) known in Mesopotamia. The
other parts of the ancient Near East; Mesopotamian magical
Tummim, a term derived from tamam (“perfect, without
texts, for instance, speak of the activities of the ashipu
blemish”; hence, “innocent, right”), probably indicated an
(“magical practitioner”) who combined magical and sacrifi-
affirmative response, or a response establishing innocence. It
cial activity with medical methods to heal the afflicted, often
is therefore assumed that Urim was negative, establishing
“purifying” them through exorcism. In Leviticus the priest
guilt, although its precise meaning remains unclear. Casting
orders quarantine, examines patients, shaves the hair of the
lots was intended to yield a response: Either the stones were
afflicted, and diagnoses skin ailments on the basis of a set 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
5426
LEVITES
given symptoms, observing the course of the disease. Along
or oil, or any other foodstuffs, would it [that foodstuff]
with these procedures, he conducts expiatory rites, involving
become sacrificial? The priests responded by saying,
the utilization of sacrificial blood in magic, as well as making
“No!” Haggai continued: Should a person impure by
sanctuary offerings. It is the priest who declares one either
reason of contact with a dead human body touch any
“impure” or “pure.”
of these materials, would it [that foodstuff] be rendered
impure? The priests responded by saying, “It would be-
Such functions were akin to the instructional and juridi-
come impure!”
cal roles of the priest: All involved interpreting the contents
An entire body of ancient Near Eastern literature of priestly
of the priestly torot (“instructions”). As with oracular inquiry,
texts has to do with the interpretation of dreams, often a
these functions were probably shared by prophets and other
function of the priest. Indeed, the instructional and juridical
“men of God.”
roles of the priesthood would be clearer if similar Israelite
Instructional and juridical functions. The cult role of
texts had survived.
the priest cast him in a sacred, somewhat detached light, for
Administrative and political functions. In addition to
he officiated within sacred precincts from which the people
conducting the cult of worship, priests were responsible for
at large were excluded. In contrast, the instructional and ju-
the overall administration of the Temple and its affairs.
ridical functions of the priesthood, like the less known thera-
peutic ones just discussed, brought the priesthood into con-
Temple business. The Temples of Jerusalem were hubs
tact with the people. The same applies to its administrative
of activity: Worshipers often purchased sacrifices in the
role discussed later.
Temple bureaus; they remitted votary pledges (the so-called
The instructional and juridical roles were, of course,
vows); they paid their dues (tithes to the Levites, and in later
closely interrelated. Ezekiel 44:23–24 gives a fairly compre-
times priestly levies, the firstlings of the herd and flocks). In
hensive definition of these priestly functions:
2 Kings, chapters 12 and 22, one learns that Temple business
was administered by the priests often in collaboration with
They [the Zadokite priests] shall declare to My people
agents of the king. In the postexilic recasting of these earlier
what is sacred and what is profane, and inform them
accounts, such as in 2 Chronicles 24, priests and Levites are
what is pure and what is impure. In lawsuits, too, it is
sent out to collect dues from the people, as well as voluntary
they who shall act as judges: they shall decide therein
contributions for the Temple.
in accordance with My rules. They shall preserve My
teachings and My laws regarding all My fixed occasions,
Maintenance. Cult vessels had to be replaced and puri-
and they shall maintain the sanctity of My Sabbaths.
fied from time to time, as did the Temple. The Temple com-
Deuteronomy 17:8f. relates that a court was to be located in
plex had to be kept in good repair, and priestly vestments
the central temple of the land where priests and magistrates
fashioned. Temple maintenance meant not only repair
could hear cases referred to them by local and regional
but purification, and the priesthood was in charge of these
courts. The high court of the Jews, the Sanhedrin, convened
activities.
in the Temple complex and was composed largely of priests.
In the postexilic period when Jerusalem and Judah were
The early Pharisees, members of a lay movement, eventually
under foreign domination, the high priest and heads of other
gained predominance in the courts, but not until after the
important priestly families often served as heads of the Jewish
destruction of Jerusalem’s Second Temple.
community, especially in conducting its relations with the
The epitome of the instructional role of the priest is pre-
imperial authorities. This political arrangement is referred to
served in 2 Kings 17:24f. Foreigners settling in northern Isra-
as “hierocracy,” government by priests. Something of this at-
el (Samaria) following its annexation by the Assyrians in 722
mosphere colors the Letter of Aristeas, which reports on dele-
suffered misfortunes, and they attributed their sad state to
gations to the high priest of Jerusalem, and the writings of
not knowing how to worship “the god of the land” properly.
Josephus of the first century CE.
Sargon, the Assyrian king, sent back an Israelite priest who
Throughout most of the period of the Second Temple
established residence in Bethel. “He went about instructing
the power of the priesthood was more than it had been in
the people how they should worship Yahveh” (2 Kgs. 17:28).
the preexilic period. In the wake of the Hasmonean Revolt
The verb horah is most often used to convey the instructional
(167–164 CE) the priests assumed both political and spiritual
role of the priests, who answered the questions brought to
power, a situation that lasted for about a century and corre-
them by the people and their leaders.
lated well with the imperial policy of various foreign rulers
The early exilic prophecy of Haggai (Hg. 2:11–13) con-
throughout their empires.
tains an actual inquiry that, although it was rhetorical and
The political function of the priesthood is more specific
symbolic in the prophetic context, is worded precisely; it is
during the postexilic period, although it is likely that, as in
dated to 520:
most societies, leading priests had exercised power and influ-
Inquire of the priests torah [“instruction”] as follows: If
ence under Judahite and northern Israelite kings as well.
a person should carry sacrificial flesh in a fold of his gar-
Whereas such earlier historic books as Samuel and Kings are
ment, and if this fold should touch bread, stew, wine
primarily concerned with the monarchy, and therefore say
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LEVITES
5427
little about priestly power, it is the later Chronicles that create
BIBLIOGRAPHY
the myth of deep cooperation between the two establish-
The higher critical point of view regarding the development of Is-
ments—the royal and the sacerdotal—especially during the
raelite religion and its priestly institutions, according to
reign of the “upright” Judahite kings.
which these are relatively late phenomena in biblical history,
is best presented in Julius Wellhausen’s Prolegomena to the
In the postexilic period, Levites had specific functions
History of Ancient Israel, translated by J. Sutherland Black
distinct from priests. In Numbers 1–4, Levites are assigned
(1885; reprint, New York, 1957). In contrast, Yeh:ezkel
the task of guarding the sanctuary, in addition to “bearing”
Kaufmann’s The Religion of Israel, translated and abridged by
its appurtenances, and other duties. They are encamped
Moshe Greenberg (Chicago, 1960), offers a learned argu-
around it, barring entry to all unfit to approach the sacred
ment against the higher position, insisting on the greater an-
tiquity of priestly institutions.
precincts. This role coincides with the postexilic Ezra, Nehe-
miah, and Chronicles concerning Levitical “gatekeepers”
The best, and virtually the only, overall history of the Israelite
(Neh. 7:1, 1 Chr. 9:18). In the later literature Levites are also
priesthood is Aelred Cody’s A History of Old TestamentPriest-
the Temple singers and musicians, a role further suggested
hood (Rome, 1969). G. B. Gray’s Sacrifice in the Old Testa-
ment (1925), reissued with a prolegomena by myself (New
by some of the captions in Psalms, attributing them to Leviti-
York, 1971), devotes a section to the priesthood
cal authors, members of musical guilds, and affiliates of the
(pp. 179–270), analyzing its character primarily on the basis
Levitical clans, such as “the sons of Korah.”
of the biblical textual evidence, and that of postbiblical an-
cient sources.
Postexilic traditions also speak of Levites as “teachers,
interpreters” (Ezr. 8:16, Neh. 8:7, 2 Chr. 35:3), thereby en-
Several recent encyclopedia articles summarize and assess scholarly
dorsing the ancient instructional role of priestly and Levitical
research. They include: Menahem Haran’s “Priests and
Priesthood,” in Encyclopaedia Judaica (Jerusalem, 1971); my
groups as teachers. Levitical names have turned up at Arad,
own “Priests,” and Ellis Rivkin’s “Aaron, Aaronides,” in In-
in the Negev, during the late preexilic period, thus affirming
terpreter’s Dictionary of the Bible: Supplementary Volume
that such families were assigned to royal outposts where there
(Nashville, 1976).
were also temples.
New light is shed on the history of the high priesthood by Frank
Worship was never the end-all of religious life in biblical
Moore Cross in his “A Reconstruction of the Judean Restora-
and later Jewish traditions, and prophets continually criti-
tion,” Journal of Biblical Literature 94 (1975): 4–18, drawing
cized the common belief that God was more desirous of
on the evidence of the Samaria Papyri of the fourth century
BCE. The religious and political roles of the postexilic priest-
praise than of obedience to his laws. The prophet Samuel put
hood, in particular, are discussed with considerable insight
the matter as follows (1 Sm. 15:22): “Does the Lord delight
in Morton Smith’s Palestinian Parties and Politics That
in burnt offerings and sacrifices, as much as in obedience to
Shaped the Old Testament (New York, 1971). The less ex-
the Lord’s command?” And yet, it was through the institu-
plored functions and status of the Levites, as distinct from
tion of religion, as conducted by sanctified and trained
priests, are investigated, on the basis of biblical terminology,
priests, that the people of Israel were able to secure the pres-
in Jacob Milgrom’s Studies in Levitical Terminology, 2 vols.
ence of God, in sacred places and in celebration. No institu-
(Los Angeles and Berkeley, Calif., 1970–1974). All of the
tion was more volatile, more subject to abuse and exploita-
above references provide extensive bibliographical infor-
tion than the priesthood (except, perhaps, the monarchy and
mation.
political leadership), and none was more indispensable to the
The reader will also want to consult ancient sources outside the
expression of Israel’s unique religion. Whereas the Hebrew
Bible referred to in this article. The best available English
scriptures and later Jewish literature never spared priests
translation of the Mishnah is Herbert Danby’s Mishnah (Ox-
from criticism and rebuke and faithfully recorded their mis-
ford, 1933). The writings of the ancient historian Josephus
deeds from Aaron to Menelaus, the same tradition held forth
Flavius, translated by Henry St. J. Thackeray and Ralph
the idea of the devout and learned priest:
Marcus, are available in volumes 1–5 and 7 of the “Loeb
Classical Library” (Cambridge, Mass., 1950–1961). The
True teaching was in his mouth,
Apocrypha and Pseudepigrapha of the Old Testament, 2 vols.,
edited by R. H. Charles (Oxford, 1913), includes such works
Nothing perverse was on his lips.
as Ben Sira. Aristeas to Philocrates, or the Letter of Aristeas has
He served Me with complete loyalty,
been edited and translated by Moses Hadas (New York,
And held the many back from iniquity.
1951).
For the lips of a priest preserve knowledge,
And men seek instruction from his mouth.
The discoveries at Arad, a Negev site principally excavated by the
late Yohanan Aharoni, have been carefully summarized in
For he is a messenger of the Lord of Hosts!
the article by ZeDev Herzog and others, “The Israelite For-
(Mal. 2:6–7)
tress at Arad,” Bulletin of the American Schools of Oriental Re
search 254 (Spring 1984): 1–34. The inscriptions, originally
SEE ALSO Aaron; Biblical Temple; Dreams; Israelite Reli-
published with a Hebrew commentary by Aharoni, have
gion; Oracles; Priesthood, article on Jewish Priesthood;
been translated by Judith Ben-Or and edited and revised by
Prophecy, article on Biblical Prophecy; Purification; Tithes;
Anson F. Rainey as Arad Inscriptions (Jerusalem, 1981).
Torah.
These inscriptions and the information received from the ex-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5428
LEVI YITSH:AQ OF BERDICHEV
cavations shed light on the functioning of Levitical priests at
cate of individual Jews before the heavenly tribunal that is
such royal outposts as Arad in the late preexilic period.
especially prevalent in the later folk literature. The relation-
New Sources
ship between the Levi Yitsh:aq of these tales and the actual
Abegg, Martin G., Jr. “1QSb and the Elusive High Priest.” Eman-
historical figure has yet to be tested.
uel (2003): 3–16.
Widely revered among the H:asidim even in his own
Broyde, Michael J. “A Mathematical Analysis of the Division of
day, Levi Yitsh:aq worked to stem the growing discord within
the Tribes and the Role of the Levites on Grizim and Aval
the Hasidic movement at the turn of the nineteenth century.
in Deuteronomy 27.” Tradition 27 (1992): 48–57.
He served as intermediary in the disputes between his friend,
Dahmen, Ulrich. Leviten und Priester im Deuteronomium: lite-
ShneDur Zalman of Lyady, and Barukh of Medzhibozh, as
rarkritische und redaktionsgeschichtliche Studien. Bonner
well as in Barukh’s dispute with his own nephew, the young
biblische Beiträge, no. 110. Bodenheim, 1996.
Nah:man of Bratslav.
Dequeker, Luc. “1 Chronicles 24 and the Royal Priesthood of the
The homilies of Levi Yitsh:aq, Qedushat Levi, were is-
Hasmoneans.” Oudtestamentische Studiën 24 (1986):
sued in two parts; the extended treatises on the meaning of
94–106.
Hanukkah and Purim were published during his lifetime
Haran, Menahem. Temples and Temple-service in Ancient Israel:
(Slavuta, Ukraine, 1798), while the better-known treatment
An Inquiry into Biblical Cult Phenomena and the Historical
of the weekly Torah portions were edited after his death and
Setting of the Priestly School. Winona Lake, Ind., 1985.
appeared in Berdichev in 1811. This work was largely a pop-
Leithart, Peter J. “Attendants of Yahweh’s House: Priesthood in
ularization of Dov Ber’s teachings but in a readable and
the Old Testament.” JSOT 85 (1999): 3–24.
homiletically creative setting.
Millar, William R. Priesthood in Ancient Israel. Understanding
Levi Yitsh:aq was a sounding board for all the major
Biblical Themes. St. Louis, Mo., 2001.
ideas of Dov Ber’s circle, and all are well represented in
Nurmela, Risto. The Levites: Their Emergence as a Second-class
Qedushat Levi. The call for ecstatic self-negation in devequt
Priesthood. South Florida Studies in the History of Judaism,
(communion with God) is adumbrated but is coupled with
no. 193. Atlanta, 1998.
warnings about its potentially antinomian implications. Levi
O’Brien, Julia M. Priest and Levite in Malachi. Dissertation Series
Yitsh:aq was well aware of the more radical implications of
Society of Biblical Literature, no. 121. Atlanta, 1990.
Hasidic teaching and sought to warn against them. Thus he
Schaper, Joachim. Priester und Leviten im achämenidischen Juda:
places in the mouth of the snake in Eden the notion that be-
Studien zur Kult- und Sozialgeschichte Israels in persischer Zeit.
cause all things are created by God there can be no category
Forschuzum Alten Testament, no. 31. Tübingen, 2000.
of the forbidden; he saw the authority of the mitsvot (com-
BARUCH A. LEVINE (1987)
mandments) potentially challenged by the notion, so loudly
Revised Bibliography
and uncompromisingly proclaimed in the early Hasidic
movement, that all is holy. He agreed with the elevation of
the tsaddiq (holy man) to a place of primacy in Hasidic Juda-
ism and speaks of the cosmic power such a figure has in the
LEVI YITSH:AQ OF BERDICHEV (c. 1740–
ongoing development of Torah. The sense of communal re-
1810), was a Hasidic master and is one of the best-beloved
sponsibility he felt as rabbi is frequently reflected in his hom-
figures of the east European Jewish folk tradition. Born into
ilies, in which there is also to be seen a touch of regret about
a distinguished rabbinical family, Levi Yitsh:aq joined the cir-
the fate of his own intense spiritual life, as he was forced to
cle of disciples around Dov Ber of Mezhirich (Miedzyrzecz,
E
devote his energies to communal matters.
Poland) in 1766. He served as rabbi of Richwal, Z˙elechów,
and Pinsk before being appointed to the important Ukraini-
BIBLIOGRAPHY
an rabbinate of Berdichev in 1785. As both statutory rabbi
The biography by Samuel H. Dresner, Levi Yitzhaq of Berditchev:
and Hasidic rebe of that city for twenty-five years, he made
Portrait of a Hasidic Master (New York, 1974) retells the tra-
Berdichev a center of Hasidic influence and played an impor-
ditional tales but also contains notes of scholarly interest. Mi-
tant role as a leader of Russian Jewry. While in his earlier rab-
chael J. Luckens’s “Rabbi Levi Yitzhak of Berdichev” (Ph.D.
binical positions he had been hounded by the mitnaggedim
diss., Temple University, 1974) surveys both the life and
(the “opponents” of Hasidism; he was apparently deposed in
thought of Levi Yitsh:aq.
both Z˙elechów and Pinsk), his strong position in Berdichev
New Sources
allowed him to serve as convener of rabbinical conferences,
Blumenthal, David R. God at the Center: Meditations on Jewish
author of important communal legislation, and defender of
Spirituality. San Francisco, 1988.
Hasidism from attack. He also worked to ameliorate the op-
Klepfisz, Heszel. “Rabi Levi Itzjak Berdichever, maestro Jasidico
pression of the Jews by their newly acquired Russian masters,
del judaismo polaco.” MEAH 29 (1980): 163–184.
but to little avail. Better known are his reputed attempts to
Waintrater, Meïr. “Lévi-Yitzhak ou le sens migratoire.” Genre Hu-
“storm the gates” of heaven, demanding of God, sometimes
main 19 (1989): 137–145.
in harsh terms, that he better the lot of his beloved Israel.
ARTHUR GREEN (1987)
It is this image of Levi Yitsh:aq as defender of Israel and advo-
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
LEWIS, C. S.
5429
LÉVY-BRUHL, LUCIEN (1857–1939), French phi-
of causation does not employ the inductive method of the
losopher and sociologist. Lévy-Bruhl devoted most of his at-
scientific West.
tention to the analysis of the human mind in primitive socie-
In L’âme primitive (1927) Lévy-Bruhl argues that the
ties. He studied mental functions and mystical experience,
“primitive” personality appears stronger than the “civilized”
symbols and myths, and notions of the soul and of the super-
personality, because the ego and the cosmos are integrated
natural.
there through a network of mystic relations. In his later
Lucien Lévy-Bruhl was born in Paris. A student at the
works, Lévy-Bruhl develops the notion of the “law of partici-
École Normale Supérieure, he passed his agrégation in philos-
pation,” according to which various aspects of reality com-
ophy in 1870. He then taught successively at three lycées. In
prise a single mystical unity based on resemblance, contrast,
1884 he was awarded the docteur ès-lettres with a thesis on
or contiguity and thereby enable a being to be simultaneous-
the idea of responsibility. At the École des Sciences Poli-
ly himself and something other. This “law of participation”
tiques, he gave a remarkable course of lectures on the history
is a way of living, of acting, and of being acted upon. Lévy-
of ideas in Germany since Leibniz. As senior lecturer (1895)
Bruhl attempts to show that symbols are the vehicles of par-
and then professor (1907) at the Sorbonne, he taught the his-
ticipation; he claims that extrarational reality does not permit
tory of modern philosophy and developed his ideas about
itself to be systematized into a conceptual framework.
primitive peoples. He became the editor of the Revue philo-
Lévy-Bruhl’s theories were controversial in their day and
sophique in 1916, was elected to the Académie des Sciences
met criticism from a variety of perspectives. Most contempo-
Morales et Politiques in 1917, and, with Paul Rivet and Mar-
rary anthropologists have rejected the notion of a specifically
cel Mauss, founded the Institute d’Ethnologie.
primitive mentality. In his posthumous Carnets (1949),
Lévy-Bruhl himself considerably tempers the difference be-
Without ever openly disagreeing with Émile Durkheim,
tween prelogical and logical mentalities, showing that they
Lévy-Bruhl diverged from the leader of the French sociologi-
coexist to various degrees in all kinds of societies and that
cal school—a divergence that was made apparent when his
participatory thought is never entirely eclipsed by pure ratio-
book La morale et la science des mœurs (1904) criticized
nality.
Durkheim’s theory of métamorales and what he took to be
Durkheim’s confusion of moral philosophy with the sociolo-
gy of moral life. In Les fonctions mentales dans les sociétés in-
BIBLIOGRAPHY
férieures (1910), Lévy-Bruhl examined what he took to be
Several works by Lévy-Bruhl have been translated. These works
fundamentally different kinds of mental activity. This work
include Les fonctions mentales dans les sociétés inférieures (Paris,
1910), translated as How Natives Think (London, 1926); La
sought to establish the existence of a “primitive” mentality,
mentalité primitive (Paris, 1922), translated as Primitive
an attitude of mind characterized by mystic participations
Mentality (New York, 1923); L’âme primitive (Paris, 1927),
and exclusions and by alogical liaisons not subject to the
translated as The “Soul” of the Primitive (New York, 1928);
principle of contradiction.
and Le surnaturel et la nature dans la mentalité primitive
(Paris, 1932), translated as Primitives and the Supernatural
In La mentalité primitive (1922), he emphasized the dif-
(New York, 1935). Two additional works, though not trans-
ference between the “primitive mind” and the “civilized
lated, deserve to be mentioned: La mythologie primitive
mind.” These terms describe the distinctive tone or quality
(Paris, 1935) and L’experience mystique et les symboles chez les
of the “collective representations” of two basic types of soci-
primitifs (Paris, 1938).
ety. A society finds representation in the concepts and beliefs
For a brief assessment of the context and application of Lévy-
of its members; the members share a mental attitude and
Bruhl’s theories, see the chapter entitled “Lévy-Bruhl” in E.
hence a manner of experiencing the world.
E. Evans-Pritchard’s Theories of Primitive Religion (Oxford,
1965). The repercussions of Lévy-Bruhl’s notion of mystic
According to Lévy-Bruhl, the “primitive” mentality and
participation are examined in Jonathan Z. Smith’s article, “I
the “civilized” mentality each embodies its own irreducible
Am a Parrot (Red),” History of Religions 11 (May 1972):
logic: respectively, the magico-religious and the critical. Dif-
391–413. For discussions of his life and work, see Jean Ca-
fering conceptions of causality and representations of time
zeneuve’s Lucien Lévy-Bruhl (Paris, 1963), translated under
and space define these contrasting modes of thought. The
the same title (New York, 1972); and Georges Davy’s So-
magico-religious, or “prelogical” mentality, judges no event
ciologues d’hier et d’aujourd’hui, 2d ed. (Paris, 1950).
(e.g., accident, sickness, death) to be natural and fortuitous
CLAUDE RIVIÈRE (1987)
but instead attributes it to the direct action of supernatural
Translated from French by G. P. Silverman-Proust
powers belonging to an invisible extraspatial and extratem-
poral world. Dreams, omens, divinatory practices, and or-
deals are given great importance as signs of a primary mystic
causality, the only truly efficient cause. Without the critical
LEWIS, C. S. (1898–1963), was an Anglican scholar,
mentality’s concern for the causal interconnections of phe-
novelist, and theologian. Clive Staples Lewis was born in Bel-
nomena, the “primitive” mind is indifferent to secondary
fast on November 29, 1898. As a boy he read omnivorously
causation. Immediate and intuitive, the “primitive” concept
and wrote remarkably imaginative stories about a world 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
5430
LI
called Boxen. He was educated at Malvern College, and then
faults and foibles of men and women. Lewis was made pro-
privately. Soon after discovering Celtic and Norse mytholo-
fessor of medieval and Renaissance literature at Cambridge
gy, in 1913, he became convinced that Christianity was one
University in 1955. In 1956 he married Joy Davidman
of the inferior mythologies of the world and that God, if he
Gresham, who died in 1960. Lewis died at Oxford on No-
existed, was a cosmic sadist. After one term at University
vember 22, 1963.
College, Oxford, in 1917, he went to France with the Somer-
set Light Infantry, and on April 15, 1918, he was wounded
BIBLIOGRAPHY
in the Battle of Arras. Upon his return to Oxford in 1919
For a complete list of C. S. Lewis’s writings, see my “Bibliography
he took first-class degrees in classics, philosophy, and En-
of the Writings of C. S. Lewis,” in C. S. Lewis at the Breakfast
glish. Between 1925 and 1954 he was the fellow of English
Table, and Other Reminiscences, edited by James T. Como
language and literature at Magdalen College, Oxford, and he
(New York, 1979), pp. 250–276. Miracles: A Preliminary
won acclaim as a medievalist for The Allegory of Love (1936).
Study, rev. ed. (New York, 1960), is Lewis’s most solid work
of theology, and Mere Christianity (London, 1952) is his
Lewis’s efforts to keep God at bay gave way slowly as
most popular. For information about Lewis, see his Surprised
he began to find his own arguments philosophically untena-
by Joy: The Shape of My Early Life (London, 1955) and C.
ble. His friend and colleague J. R. R. Tolkien (1892–1973)
S. Lewis: A Biography, by Roger Lancelyn Green and myself
did much to unsettle his atheism when he convinced Lewis
(London, 1974).
that the Christian myth differed from all others in that it
WALTER HOOPER (1987)
ended in the Word made flesh. After his conversion in 1931,
Lewis published the partly autobiographical The Pilgrim’s Re-
gress (1933), whose main theme is that everyone’s experiences
LI. The homophones li and li, two distinct Chinese graphs,
of inconsolable longing (which he was later to call “joy”) are
are seminal concepts in Chinese moral philosophy and meta-
longings for and pointers to God. Another theme of the
physics. Although they are both pronounced the same in the
book—afterward developed in his Miracles (1947)—is that,
modern Beijing dialect, they differed in ancient pronuncia-
while all mythologies contain hints of divine truth, Jewish
tion and were originally unrelated: one li, meaning “princi-
mythology was chosen by God and culminates in myth be-
ple,” terminated in the consonant sound g, according to Kar-
coming fact. A clearer account of Lewis’s almost purely
lgren’s reconstruction, while the other, meaning “rites,”
philosophical conversion is his autobiography, Surprised by
ended in the consonant sound r. While the meaning and
Joy (1955).
usage of these terms converge to some extent, they will be
Lewis was happiest with a few male friends, and espe-
discussed separately in this article.
cially at the weekly meetings of the “Inklings,” a group that
LI AS PRINCIPLE. The root graph for this li combines the ele-
included his brother Warren (1895–1973), Tolkien, Merton
ments “field divided into sections for planting” with “earth,”
College English scholar Hugo Dyson (1896–1975), the nov-
and means “village.” To this is added the element “jade,” in
elist Charles Williams (1886–1945), the philosopher Owen
consequence of a derived meaning—thought by later philos-
Barfield (1898–1997), and a few others. The influence of
ophers to be the original sense—“cut and polish jade” so as
these men on Lewis was important, as they read and criti-
to make its inner pattern of veins visible. The original mean-
cized one another’s writings.
ing as found in the Shi jing (Classic of odes), however, appar-
Lewis relished “rational opposition,” and in debate his
ently was to mark out divisions in a field for planting, and
inexorable logic was unanswerable. His Abolition of Man
so to organize it for agricultural work. Thus li has the senses
(1943) is considered one of the most carefully reasoned de-
“put in order,” “govern,” and the resulting (good) “order”
fenses of natural law ever formulated. Able to adapt to any
in society, as well as “inner structure.” In antiquity these
audience, Lewis became well known in Britain from his talks
senses already converge in the sense “natural order or
over the BBC from 1941 to 1944, which were expanded into
structure.”
the book Mere Christianity (1952). One of his most popular
In the Mengzi the word occurs in a moral sense in the
works, The Screwtape Letters (1942), was rapturously received
term li yi, “order and right,” which Mengzi says is what “all
in America. These and many other books established him as
human hearts have in common” and what naturally “pleases”
a brilliant and lucid defender of orthodox, supernatural
our moral sensibility (6A.7). By the early Han dynasty, the
Christianity, and through them he won a wide hearing for
term had gone through a semantic evolution: from just “pat-
Christianity. A great many people have been introduced to
terns observable here and now” to patterns in temporal ex-
Christian ideas through Lewis’s three science fiction novels,
tention; hence a pattern developing through history; hence
of which the first is Out of the Silent Planet (1938), and his
potential or ideal as well as what is actual; hence not only
seven fairy tales of the mythical land of Narnia, beginning
patterns observed in particulars but also general patterns in
with The Lion, the Witch and the Wardrobe (1950). A bril-
types or classes; and hence also one overarching pattern
liant popularizer of the faith and an apologist acceptable to
through time, branching out from a simple beginning to the
an exceptionally wide spectrum of Christians, Lewis,
complexity of observables in the present; thus both one and
through his books, sheds light from unexpected angles on the
many, both explanatory and normative. The Huainanzi (c.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LI
5431
130 BCE) says, “As for the dao, when unity is established the
lite behavior. In early Confucian writings great attention was
myriad creatures are produced. For this reason, the li of unity
paid to li in all senses; Confucius frequently complained
permeates the entire world, and the expansion of unity reach-
about eminent people’s use of ceremonials to which they
es the bounds of Heaven and earth.” This sense is further de-
were not by rank entitled. Some schools of his followers spe-
veloped by Wang Bi (226–249), who speaks of zhi li
cialized in the study and practice of li. Of particular impor-
(“ultimate li”), and Kuo Xiang (d. 312). However, one al-
tance were observances for the dead, such as the three-year
ready finds the expression tian li (“heavenly” or “natural” li)
period of mourning for parents (Mengzi 3A.1–3).
in Zhuangzi and in the Li ji. Li thus approaches the sense
of a single first “principle,” intelligible but distinct from sen-
As the meaning evolved during the first millennium BCE
sible phenomena, linked with dao and Heaven. It was not
two concurrent tendencies developed. First, there was a pro-
yet, perhaps, an object of religious awe.
gressive secularization of certain originally religious concepts,
not only “rite” but also Heaven (tian). This latter term origi-
The word acquired this religious sense when Buddhists,
nally denoted an anthropomorphic deity, but by the third
realizing its importance, appropriated it to refer to the prima-
century BCE it had become for many simply the physical
ry object (and state) of saving contemplation. The Su¯tra in
heaven and the order of nature. The other tendency was a
Forty-two Sections (c. 100 CE) says that the saint who has cut
persisting sacralization of the concept of ordinary civilized
ties to the world “attains to the deep li of Buddhahood,”
behavior (Fingarette, 1972). Both of these developments
gaining enlightenment and nirvana. Zhi Dun (314–366)
came to fruition in the subtle moral philosophy of Xunzi, in
uses the word interchangeably with the Daoist wu
whose writings the ubiquitous term li yi (“rites-and-right”)
(“nothing” or “nonbeing”) and the Buddhist kong (Skt.,
means in effect “morality,” much like renyi in Mencian
´su¯nyata¯; “emptiness”), the ultimately real character (“divine
thought. Xunzi was cognitively and explicitly atheist, yet atti-
li”) of things. Still later, proponents of Huayan Buddhism
tudinally deeply religious, devoting a major chapter to the
such as Dushun (557–640), retreating from the negativistic
utility, beauty, and cosmic appropriateness of li. Earlier,
Ma¯dhyamika terminology of kong and se (“phenomena”), of-
Mengzi had taken li, in the sense of a disposition to propri-
fered a dualism of li (“principle”?) and shi (things and
ety, as one of man’s four natural virtues.
events), in which li are both one and many, “pervading” and
“pervaded by” shi, so that the one-and-many li of everything
The different sorts and aspects of li were explained and
is instanced, for example, in each mote of dust.
cataloged in a group of the Confucian classics that probably
date from Han times (with older material): the Zhou li, on
The word next is repossessed by the Confucians of the
the organization of the early Zhou state and functions of its
Song and following dynasties; li is now both one and many,
officers; the Yi li, on ceremonies in everyday life; and the Li
it becomes the object of religious veneration insofar as it is
ji, which contains miscellaneous treatises on ritual and relat-
identified with their first principle, under various names and
ed moral-philosophical matters, and which was probably the
aspects—tai ji (“supreme ultimate”), dao (“way”), tian
cumulative product of Han court specialists on ritual.
(“heaven”), and xing (“human nature”). In the dualism of
Zheng Yi (1033–1108), li, “principle(s),” sometimes re-
Li has continued to have a double importance in Confu-
described as dao, is “above form” (xing er shang), while qi,
cian moral thought. On the one hand, its observance is evi-
“embodiments,” are “within form” (xing er xia). Different at-
dence of the moral health of society or of the individual. On
tempts were made to overcome this dualism by such thinkers
the other hand, observing the rites is thought to develop
as Lu Xiangshan, Wang Yangming, and Dai Zhen; some of
moral character and the moral health of society (see Ouyang
them (Lu, Wang, but also even Zheng Yi himself) identified
Xiu’s Ben lun). The li, therefore, are thought of as the pat-
li with xin (“mind”). Li is (are) both normative (dangran)
terns of behavior of a good society, a good government, or
and explanatory-descriptive (so-i-jan). As described by Zheng
a good life.
Yi and Zhu Xi, after long study (gewu, “investigating things”)
In this sense the concept overlaps with the li meaning
the Confucian sage attains a sudden unitary vision of all li.
“pattern” or “principle.” The convergence of li and li was no-
The concept is often illustrated by reference to natural ob-
ticed by Xunzi: “Music [i.e., the standard modes and tradi-
jects; however, the Confucians usually have in mind the
tional pieces] is harmonies that are unchangeable; rites [li]
“principles” of social institutions and relationships.
are patterns [li] that are unalterable” (Xunzi, chap. 20). That
LI AS RITES. The graphic root of this li represents a type of
is, the rites are forms of social behavior that are valid
ritual vessel (called a li), to which is added the graph for “altar
throughout history. Much later, Wang Yangming offers a
stand,” an element commonly marking graphs for religious
very different idea. In his Chuanxii lu (Instructions for prac-
objects or activities. The basic sense was “religious rite.” By
tical living) Wang argues that “li [rites] means li [principle],”
the time of the earliest moral-philosophical writings the term
because “restraining oneself with li [rites]” means that “this
had already taken on an expanded meaning: not merely a rite
mind” must become completely identified with the “princi-
in a religious ceremony, but formal, patterned behavior of
ple of nature,” the li of Heaven (3.9).
any kind, from court ceremonial—and hence, the functions
and duties of officials—to the ordinary forms of everyday po-
SEE ALSO Confucianism; Ren and Yi; Tian.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5432
LIANG WUDI
BIBLIOGRAPHY
peror also established “inexhaustible treasuries” (wujin zang),
Chan, Wing-tsit. “The Evolution of the Neo-Confucian Concept
institutions that provided safe-deposit vaults and repositories
of Li as Principle.” Tsing-hua Journal of Chinese Studies, n.s.
for donations made to the religion. These funds were often
4 (February 1964): 123–148.
used in financial transactions the profits of which reverted
Demiéville, Paul. “La pénétration du bouddhisme dans la tradi-
to the church.
tion philosophique chinois.” Cahiers d’histoire mondiale 3
Emperor Wu was overthrown by the rebel Hou Jing in
(1956): 19–38.
548. Some anti-Buddhist critics attributed his fall to the
Fingarette, Herbert. Confucius: The Secular as Sacred. New York,
slackening effect of Buddhist principles on governmental
1972.
control. Such a view unjustifiably ignores the political com-
Gimello, Robert M. “Apophatic and Kataphatic Discourse in Ma-
plexities of the period. Nor are his deeds to be comprehended
hayana: A Chinese View.” Philosophy East and West 26 (April
merely in terms of whether or not they conform to Buddhist
1976): 117–136.
principles. Although versed in Buddhist doctrine beyond the
Graham, A. C. Two Chinese Philosophers: Ch’êng Ming-tao and
level of the ordinary layman, Emperor Wu also devoted an
Ch’êng Yi-ch’uan. London, 1958.
important part of his energies to his literary work, much of
Moran, Patrick Edwin. “Explorations of Chinese Metaphysical
which is still preserved and admired. This artistic bent, as
Concepts: The History of Some Key Terms from the Begin-
much as his religious proclivities, must be taken into account
nings to Chu Hsi (1130–1200).” Ph. D. diss., University of
in any effort to assess his fitness to rule.
Pennsylvania, 1983.
Waley, Arthur, trans. and ed. The Analects of Confucius. London,
BIBLIOGRAPHY
1938.
Annals of the reign of Emperor Wu can be found in fascicles 1
to 3 of the Liang shu and in fascicles 6 and 7 of the Nan shih.
DAVID S. NIVISON (1987)
His writings are collected in Yan Kejun’s Quan shanggu san-
dai Qin Han sanguo liuchao wen (1930, available on micro-
film at the University of Chicago library). See also Mori
Mikisaburo’s Ryo no Butei (Kyoto, 1956).
LIANG WUDI (464–549), or Emperor Wu of the Liang
dynasty, also known as Xiao Yan; first emperor of the Liang
MIYAKAWA HISAYUKI (1987)
dynasty (502–557), man of letters, and patron of Buddhism.
Although from a Daoist family and versed, like all educated
gentlemen of his time, in the Confucian principles of morali-
LIANG WU-TI SEE LIANG WUDI
ty and statecraft, Xiao Yan came to be fascinated by Bud-
dhism through exposure as a young man to the teachings of
Buddhist monks at the court of Prince Jingling, Xiao Ziliang,
LIBATION is one of the oldest and perhaps least under-
of the Southern Qi dynasty (479–502). Xiao Yan later over-
stood religious rituals, the sacrificial pouring out of liquid.
threw the Qi and declared himself emperor of the Liang
Its primary importance seems to lie in the act of pouring, be-
dynasty, but he maintained his interest in Buddhism and be-
cause the liquids that are poured out (wine, milk, honey,
came a full convert after three years on the throne.
water, oil, and in some cases even blood) and the places
Endeavoring to fashion state policy according to Bud-
where this is done (on the ground, into chasms, upon the
dhist ideals, Emperor Wu softened the traditionally harsh
altar, over the sacrificial victim, into a sacrificial bowl) vary
penal code by minimizing the application of torture, capital
and change. Libation can be traced back as far as the Bronze
punishment, and other excesses of government. He also fors-
Age by means of libation pitchers and bowls discovered in
wore meat and alcohol and built numerous temples, includ-
excavations or depicted in stone reliefs and vase paintings or
ing the Tongtai Si, where he often sponsored a kind of Bud-
on gems, seals, and rings. The ritual is found in almost every
dhist symposium, known as an “open assembly” (wuzhe
culture and geographical area, but the kinds of libations and
dahui), so called because it was open to men and women,
their performance, place in the cult, relations to other rituals,
clergy and laity, regardless of class. The emperor, who some-
sacrificial materials, and possible meanings and functions dif-
times delivered lectures on Buddhist doctrine at these assem-
fer from one religion to another and even within the same
blies, four times used the occasion to announce that he was
religion.
surrendering himself to voluntary servitude to the Tongtai
In spite of a wealth of evidence, many of the basic prob-
temple. He of course expected his imperial officials to ran-
lems have remained unsolved. The information about Greek
som him, and so they did, each time for prodigious sums.
religion is extraordinarily complicated, but the situation may
Each ransoming was followed by a full reenactment of the
have been just as confusing in other religions where data have
imperial enthronement ceremony. Emperor Wu’s behavior,
not been as fully preserved. Further, in this regard there is
which had precedents in the history of Indian Buddhism and
a remarkable degree of similarity between religions that oth-
may have been suggested by the newly translated
erwise have little connection, as for instance the sacrificial
A´soka¯vada¯na (Legend of King A´soka), was intended to raise
rites of Classical Greece and the Priestly tradition of the Old
money for the propagation of the Buddhist religion. The em-
Testament.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIBATION
5433
NAME AND TERMINOLOGY. The word libation is derived
A priestess officiates before one of these altars, on which
from the Latin libatio (“sacrificial offering of drink”). The
stand a libation pitcher and a basket of bread and fruit. Be-
word is connected with the Greek noun loib¯e (“libation”)
hind this altar, however, appears a table bearing a newly
and the verb leibo¯ (“to pour out a libation”), used since
slaughtered bull, his blood flowing from his throat into a ves-
Homer. More common than these poetic terms, however,
sel on the floor. The data provided by these pictures suggest
are the synonyms spendo¯, spond¯e (Hittite, shipand-; Latin,
that later Greek sacrifice dates back to this Archaic period,
spondeo; German, spenden; English, spend) and cheo¯, cho¯e.
when the originally separate gift offerings had already be-
The word-field points to an Indo-European religious ritual
come associated with animal sacrifice.
with the wider range of social and legal functions.
It is difficult to understand the relationship between li-
M
bations and the special blood sacrifices performed in funerary
EANING. The meaning of the libation offering can vary as
much as the way it was performed. It is not known for certain
rites for heroes (see Pindar, Olympian Odes 1.90, with the
what the original meaning of the ritual was, if, in fact, there
technical expression haimakouria, “a fill of blood”; Homer,
was only one original meaning. Perhaps the original meaning
Iliad 23.34; Plutarch, Aristides 21). Whether these blood
or meanings are still found among the many seemingly sec-
rites are to be regarded as different from libations, or in some
ondary applications and developments. The ritual itself,
instances as adaptations to libations, is far from clear.
being rather simple and of no great interest, may have at-
While the gift offerings continued in Classical Greek re-
tracted what appeared to be deeper interpretations and con-
ligion, libations also made their way into a variety of other
nections with other rituals. In these matters history may pro-
rituals and became a part of them. Animal sacrifice had liba-
vide some clues.
tions as part of its preliminary sacrifice (as in Aristophanes’
The Peace 431–435) and used libation as well in its conclu-
The most ancient sources treat libations as separate gift
sion, when wine was poured into the fire that consumed the
offerings, and this is probably what they originally were. In
remains of the victim. Wine drinking at symposiums in-
Babylonian and Assyrian religion, it was primarily the king’s
volved libations by all participants, together with invocations
office to offer libations to the gods. Libations were part of
and prayers. Concern for protection and a safe return is evi-
the meals presented to the gods on altar tables, around which
dent in libations made just prior to sea voyages (Thucydides,
the divinities gathered eagerly. In purifications and magic,
6.32.1–2; Pindar, Pythian Odes 4.193–200) and battle (Iliad
however, the purpose of libations was different. The ancient
16.220–252). Libations in connection with legal agreements
Egyptian sources provide a similar picture, so that the com-
had a different meaning, signifying the entering into obliga-
mon performances of the ritual may not have changed much
tion. The more magically oriented libations for the dead, of
over the centuries down to the Greco-Egyptian period, when
which there are literary accounts, were again different, but
libations are found in all their variety in the Greek Magical
their specific role and function, despite ancient attempts at
Papyri. These sources show libations of wine, honey, milk,
explanation, remain somewhat ambiguous (e.g., the epithet
water, and oil as standard features of most religious rites, ei-
gapotos, “to be drunk up by Earth,” in Aeschylus, The Liba-
ther separately or in connection with other ceremonies.
tion Bearers 97, 164, and The Persians 621). A reflection of
Originally they seem to have been separate from animal sac-
popular beliefs is found in Lucian’s remark (On Funerals 9)
rifices, with which they were often later connected. If at the
that the souls of the dead receive nourishment from libation.
beginning libations were gift offerings, they were most likely
Libations of oil, another very old custom, develop more in
understood as gifts to the deity in return for benefits re-
a magical direction: Anointing stones and funerary stelae was
ceived. By the seemingly wasteful giving up of some vital re-
customary in much of the ancient world.
sources, libations constituted fundamental acts of recogni-
Whatever the original purpose of water libations may
tion and gratitude as well as hope for future benefits. Thus
have been, they were later understood mostly in terms of pu-
they were part of the communication with the divine sphere
rification. This is true especially of the ablution of hands
of life through the exchange of gifts. This may also explain
(chernips) at the beginning of the offering ceremonies. Yet
why the gods themselves are often shown offering libations.
water libations were also performed at tombs by putting the
GREEK RELIGION. Libations were common as early as the
water on them or pouring it into them. Mythology may have
Minoan-Mycenaean period (c. 2000 BCE). Gems often de-
provided secondary explanations: They are bathwater
pict sacrificial scenes with libation pitchers and offering ta-
(loutra) from the underworld (Sophocles, Electra 84.434) or
bles laden with bread and fruit. While these pictures general-
a fresh drink for the thirsty dead (cf. Luke 16:24). The ori-
ly separate such gift offerings from animal sacrifices, there is
gins of water-carrying festivals (hudrophoria), which existed
at least one noted exception: the Hagia Triada sarcophagus
since ancient times, were different still, the purpose perhaps
from the late Minoan period (c. 1500 BCE; Long, 1974).
originally being purification. Yet another water ritual found
Here one scene shows a procession of women and men carry-
its way into the mysteries of Eleusis, when at their conclusion
ing buckets of liquid; the first person, a priestess, is pouring
two jugs were filled and then overturned, one toward the east
her bucket into a krater (mixing bowl). This scene probably
and the other toward the west. This probably happened
depicts the mixing of wine and water as preparation for the
while the initiates shouted “Hue kue,” telling the heavens,
libation. In another scene altars are shown in a tree sanctuary.
“Rain!” and the earth, “Conceive!”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5434
LIBATION
ISRAELITE RELIGION. Israelite libations, as known from the
The offering includes the essential means for life, food, and
Hebrew scriptures and the Mishnah (Suk. 4.9), were remark-
drink and is followed by a feast. Ceremonial beer-drinking
ably similar in appearance to ancient Greek rituals. Similar
rituals were conducted by the Vikings of Scandinavia. The
too are some of the ambiguities, such as the role of blood in
drykkeoffer was a sumptuous beer party with three ceremonial
relation to libations (see McCarthy, 1973; Kedar-Kopfstein,
cups of mead offered to Óðinn (Odin), Þórr (Thor), and
1978). The formation of the composite sacrifice in the
Freyja. The three offerings have a curious parallel in Greek
Priestly texts can be compared to the formation of the Greek
sacrifice, but beer-drinking rituals are found elsewhere as
sacrifice. No attempt is made in the Hebrew scriptures to ex-
well, as for instance in Southeast Asia.
plain the purpose of the libations. If reasons are given, they
For different reasons, several major religions have dis-
apply as caricatures of foreign religions and express sarcasm
continued libations altogether. Buddhist religion is opposed
(Is. 1:11; Ps. 50:13). Together with other parts of the sacrifi-
to external sacrifices in principle. Jewish religion was com-
cial cult, libation was taken over from the Canaanites. The
pelled to abandon its sacrificial ritual, and with it libations,
root of the term designating libation (nsk) also occurs in Uga-
because of the destruction of the Jerusalem Temple in 70 CE.
ritic and Phoenician-Punic. Direct takeover of a foreign ritu-
Christianity has no room for libations in its cult. It uses water
al including libations is reported in connection with King
in baptism; sees in wine the blood of Christ, the sacramental
Ahaz’s imitation of the royal cult of Damascus (2 Kgs. 16:10–
drink of the Eucharist (substituted in some instances by milk
18) and in Artaxerxes’ decree to Ezra (Ezr. 7:17). The sharp
or honey), which is offered not to but by the deity, and cer-
polemics by the prophets also reflect the non-Israelite origin
tainly must not be spilled; and uses oil for sacramental
of libations (Jer. 7:18, 19:13, 32:29; Ez. 20:28; Dt. 32:38;
anointing. Islam has no sacrifices in the proper sense of the
Ps. 16:4). Texts dealing with libations mention them either
term. The pre-Islamic libations of milk, predominant among
alone (Gn. 28:18, 35:14; Jer. 7:18, 19:13, 32:29, 44:17–19,
the Arabs, were discontinued, but in some quarters those of-
44:25; Ez. 20:28; Ps. 16:4) or in connection with the min-
ferings persist.
hah, the gift offering of cereals (Jl. 1:9, 1:13, 2:14; Is. 57:6).
The Priestly legislation shows the combination of minhah
BIBLIOGRAPHY
(“gift offering”) and nesekh (“libation”) with the burnt offer-
No scholarly investigation exists that takes adequate account of
ing ( Eolah) (Lv. 23:13, 23:18, 23:37; Nm. 6:15, 6:17, 15:10,
the libations in the various religions, nor do most encyclope-
28:7–31, 29:39), as do the morning and evening offerings
dias include a separate article on this important ritual. The
in Exodus 29:40–41. References to libation utensils confirm
following bibliography lists items that summarize the evi-
what is known from excavations (Ex. 25:29, 30:9; Nm. 4:7;
dence of specific religions, provide surveys, or contain bibli-
1 Chr. 29:21; 2 Chr. 29:35). Anointing of stones with oil was
ographies.
perhaps traditional at Bethel (Gn. 28:18, 35:14); water liba-
Asmussen, Jes P., and Jo⁄rgen Laesso⁄e, eds. Handbuch der Religions-
tions are also mentioned (1 Sm. 7:1; 2 Sm. 23:16; 1 Chr.
geschichte. 2 vols. Göttingen, 1971–1975. Sections on the
11:18). The notion of wine symbolizing blood is late (Sir.
various religions give attention to libations; see the index, s.v.
50:15).
Opfer (Trink-, Libations-).
S
Bonnet, Hans, ed. Reallexikon der ägyptischen Religionsge-schichte.
PECIAL DEVELOPMENTS. Some religions and cultures have
2d ed. Berlin, 1952. See pages 424–426, s.v. Libation. Sur-
developed special forms of libation offerings, several of which
veys the evidence in Egyptian religion; includes a useful bib-
should be mentioned. The Iranian cult of haoma goes back
liography.
to great antiquity. This drink of immortality was encoun-
Borghouts, J. F. “Libation.” In Lexikon der Ägyptologie, vol. 3.
tered by Zarathushtra (Zoroaster, c. 600 BCE), who attacked
Wiesbaden, 1980. Presents evidence for Egyptian religion on
it. Its later revival suggests that he reformed the ritual and
the basis of current research.
thus continued it. The haoma cult corresponds to the Vedic
cult of soma. Soma is at once a deity and the plant from
Burkert, Walter. Homo Necans: The Anthropology of Ancient Greek
Sacrificial Ritual and Myth. Berkeley, Calif., 1983. Basic
which the juice comes that, when pressed and then mixed
study of Greek sacrificial rituals and their prehistory.
with water and milk, makes the soma drink. This drink is of-
fered to the gods, but it is also consumed by the people dur-
Burkert, Walter. Greek Religion. Cambridge, Mass., 1985. Best ac-
count of the current state of research on Greek religion, with
ing feasts and conveys immortality (R:gveda 8:48).
sections on libation. Contains a wealth of bibliographical,
Ancient Chinese religion developed the festival of Shidi-
textual, and archaeological references.
an (“pouring a drink offering”). The cult seems to have its
Gill, David. “Trapezomata: A Neglected Aspect of Greek Sacri-
origin in ancestral worship and is connected with the venera-
fice.” Harvard Theological Review 67 (1974): 117–137. Dis-
tion of Confucius and his pupil Yen Hui. It consisted of a
cusses Greek gift offerings set up for the gods on tables.
sacrifice and a banquet. During the Ming dynasty (1368–
Graf, Fritz. “Milch, Honig und Wein: Zum Verständnis der Liba-
1644), the Shidian ritual was greatly expanded along with
tion im griechischen Ritual.” In Perennitas: Studi in onore di
the Confucius cult.
Angelo Brelich, pp. 209–221. Rome, 1981. Important study
of the complexities of the Greek ritual, especially with regard
The sacrifice of the legendary first emperor, Jimmu, in
to the substances of milk, honey, and wine. Bibliographic
Shinto¯ religion is also interesting because of its antiquity.
references.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIBERATION
5435
Hanell, Krister. “Trankopfer, Spenden, Libationen.” In Real-
Wachsmuth, Dietrich. “Trankopfer.” In Der Kleine Pauly, vol. 5,
Encyclopädie der klassischen Altertumswissenschaft, 2d series,
edited by Konrat Ziegler. Munich, 1975. Update of the arti-
vol. 6. Stuttgart, 1937. Collection of the evidence of liba-
cles by Krister Hanell and Ludwig Ziehen with additional
tions in Greek religion.
references.
Herrmann, Wolfram. “Götterspeise und Göttertrank in Ugarit
Wendel, Adolf. Das Opfer in der israelitischen Religion. Leipzig,
und Israel.” Zeitschrift für die alttestamentliche Wissenschaft
1927. A basic study that is still of value.
72 (1960): 205–216. Compares the evidence from Ugarit
Ziehen, Ludwig. “Nephalia.” In Real-Encyclopädie der klassischen
and the Old Testament.
Altertumswissenschaft, vol. 16. Stuttgart, 1935. Surveys wine-
Kedar-Kopfstein, Benjamin. “dam” (Blood). In the Theological
less libations in Greek religion.
Dictionary of the Old Testament, vol. 3. Grand Rapids, Mich.,
1978. Deals with the evidence and literature on blood sacri-
New Sources
fice in the ancient Near East and the Old Testament.
Schechner, Richard, and Willa Appel, ed. By Means of Perfor-
mance: Intercultural Studies of Theatre and Ritual. New York,
Latte, Kurt. Römische Religionsgeschichte. Munich, 1960. Summa-
1990.
ry of the evidence in Roman religion.
Long, Charlotte R. The Ayia Triadha Sarcophagus: A Study of Late
HANS DIETER BETZ (1987)
Revised Bibliography
Minoan and Mycenaean Funerary Practices and Beliefs. Göte-
borg, 1974. Investigation of the sacrificial scenes on the sar-
cophagus from Hagia Triada (Crete), with good photograph-
ic material.
LIBERAL JUDAISM SEE REFORM JUDAISM
McCarthy, Dennis J. “The Symbolism of Blood and Sacrifice.”
Journal of Biblical Literature 88 (1969): 166–176.
McCarthy, Dennis J. “Further Notes on the Symbolism of Blood
and Sacrifice.” Journal of Biblical Literature 92 (1973): 205–
LIBERATION, as a goal to be attained or as a designa-
210. Discusses the evidence and possible meaning of blood
tion of a process or activity contributing to this goal, has a
sacrifice in the ancient Near East and Israel and in Greek
central place in many religious traditions, but this should not
religion.
belie the fact that quite different terms are used in these tra-
Meuli, Karl. “Griechische Opferbräuche.” In Phyllobolia für Peter
ditions to convey the protean variability of the meanings typ-
von der Mühll zum 60. Geburtstag, edited by Olof Gigon and
ically associated with this concept. These differences of
Karl Meuli, pp. 185–288. Basel, 1946. Reprinted in Meuli’s
meaning may reflect a wide range of religious conviction and
Gesammelte Schriften, vol. 2, edited by Thomas Gelzer (Basel,
1975). A seminal study.
practice, even as these meanings happen to overlap. Thus,
in English alone, redemption, salvation, purification, absolu-
Michel, Otto. “Spendomai, spendo¯.” In the Theological Dictionary
tion, freedom, illumination, enlightenment, forgiveness, expia-
of the New Testament, vol. 7. Grand Rapids, Mich., 1971.
Surveys the evidence in the Old Testament, Judaism, and
tion, deliverance, and rescue form a cluster of terms with close
Christianity. Contains a rich bibliography, for which also see
affinities to liberation. These affinities notwithstanding, sig-
the supplement in Theologisches Wörterbuch zum Neuen Tes-
nificant differences may exist in the import conveyed by
tament, vol. 10, pt. 2 (Stuttgart, 1979).
these expressions. Thus, and this is just one example, deliver-
Mitropoulou, Elpis. Libation Scenes with Oinochoe in Votive Re-
ance, as in the Christian prayer “Deliver us from our travails,
liefs. Athens, 1975. Collects evidence from the perspective of
O Lord,” clearly presupposes the indispensable agency of the
art history.
author of this sought-for deliverance, while, by contrast, illu-
Nilsson, Martin P. The Minoan-Mycenaean Religion and Its Sur-
mination does not necessarily carry with it the presumption
vival in Greek Religion (1950). 2d rev. ed. New York, 1971.
of the activity of any kind of external agent or power. The
Especially important for the pictorial material.
differences between these terms are also indicated by their
Nilsson, Martin P. Geschichte der griechischen Religion. 3d ed. 2
contrasts: to be purified is to be removed from a state of un-
vols. Munich, 1967–1974. A monumental work, especially
cleanliness, whereas to be illuminated is to be extricated from
important for bibliographical references.
a condition of ignorance. Of course, one may be said to be
Rendtorff, Rolf. Studien zur Geschichte des Opfers im alten Israel.
ignorant because one is unclean, or vice versa, but ignorance
Neukirchen-Vluyn, West Germany, 1967. The only modern
is banished by one’s gaining in wisdom, while uncleanliness
critical study of the Old Testament traditions concerning li-
is removed by one’s extrication from a state of defilement or
bations. Contains a comprehensive bibliography.
corruption. Someone may be cleansed without necessarily
Smith, W. Robertson. Lectures on the Religion of the Semites: The
being any wiser about it, or anything else, as when an infant
Fundamental Institutions (1889). 3d ed. New York, 1969.
undergoes a cleansing ritual, but it is impossible to become
This nineteenth-century classic is still indispensable.
significantly wiser without being aware in some way that one
Stengel, Paul. Opferbräuche der Griechen. Leipzig, 1910. Basic
has undergone a more or less decisive cognitive or spiritual
study of the Greek sacrificial terminology and practices.
transformation. Different patterns of belief and practice may
Stengel, Paul. Die griechischen Kultusaltertümer. 3d ed., rev. Mu-
therefore surround a particular term—expiation, for instance,
nich, 1920. Standard work concerning Greek cultic prac-
presupposes a gesture of atonement on the part of the one
tices. See pages 103–105 on libations.
whose putative transgressions are being expiated (a substitute
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5436
LIBERATION
may also undertake this act of expiation on behalf of the one
his work to eschew reliance of any kind on theological prem-
who is being redeemed by the expiation in question), and so
ises, but whose delineation of the sacred is nonetheless
expiation qua act is never fortuitous or gratuitous, while, by
thought by such critics as Jonathan Z. Smith to involve just
contrast, rescue can be, and indeed in many religious tradi-
such a theological dependence. Eliade believed that there is
tions is thought to be, entirely gratuitous and undeserved,
an essential sacred in the world, to which religions sought
the outcome of an act of grace (to use a theological formula-
to give expression, and that the task of the student of religion
tion). To gain an appreciation of the significance and com-
was to analyze both this expressivity and the structure of the
plexity of these assorted patterns of belief and practice, the
essential sacred conveyed through its myriad modulations.
individual undertaking a scientific study of “religion” has to
Smith and others have criticized Eliade’s key proposition that
be aware of the complex conditions that give these expres-
there is an irreducible “religious” way of being in the world
sions their particularities of meaning. This is not likely to be
possessing an essential structure. For Smith this proposition
easy.
can only be regarded as residually theological, and he prefers
instead to view sacred as a term used in the construction and
For one thing, an expression like liberation (and its sev-
discovery of worlds of meaning. For someone like Smith,
eral cognate terms) is always an abstraction, and by virtue of
therefore, it is not obvious that there are readily available
being an abstraction it is unavoidably detached, albeit in
bridging concepts, invoking sacred “essences,” which enable
ways that are not insurmountably problematic, from the full
us to establish commonalities and affinities between the
range of the ritual, doctrinal, and textual particularities that
rituals and doctrines constitutive of the various religious
go into the constitution of liberation’s putative goals or pro-
traditions.
cesses. Thus the Buddhist ma¯rga (path to liberation) is treat-
The above animadversions notwithstanding, the person
ed in such exegetical texts as the Bha¯vana¯krama (Stages of
interested in propounding a concept of liberation may find
practice), Bodhisattvabhu¯mi (Stages on the bodhisattva path),
useful the general theory of the concept of salvation formu-
and Mo-ho-chih-kuan (Great calming of contemplation).
lated by the sociologist Max Weber (1864–1920). A general
These works are commonly depicted by scholars of Bud-
theory of this kind, which will of course need to be mindful
dhism as descriptions of contemplative states achieved by in-
of the differences that exist among peoples, their communi-
dividuals who happen to be skilled practitioners of the medi-
ties, and their religious traditions, can link otherwise dispa-
tative arts. This is in fact a misrepresentation, since the
rate phenomena into a general narrative that will be a useful
authors of these texts derive their influence not from their
complement to the more piecemeal ethnographies or phe-
achievement of some kind of inner enlightenment attested
nomenologies of religious practice and conviction. (It is fairly
to in the texts in question, but rather from their disciplined
clear, however, that a satisfactory account of the concept of
observance of Buddhist scripture (Sharf, 1995). The “path
liberation requires both this general theory and the more
to liberation” delineated in these sacred texts therefore is
finely grained ethnographies and phenomenologies.) Libera-
found not so much in the undergoing of a process of spiritual
tion, like parallel concepts such as creation, human flourish-
illumination, but in the discipline of mastering sacred scrip-
ing, providence, or cosmic harmony, has in some sense to func-
tures (though illumination is not an accidental by-product
tion as a narrative that aspires to be a “story of everything.”
of this scriptural mastery). Texts, even scriptural texts, are
Weber’s sociology of religion provides a pioneering overarch-
not always free of inconsistencies and ambiguities, and any
ing narrative of liberation, motivated by just this ambition
characterization of liberation has to take these into account,
to be a “story of everything” about “stories of everything” (or
more often than not by relating the texts in question to the
metanarrative, in other words).
complex of practices associated with them. This in turn poses
Weber wanted to formulate a general theory for under-
important and sometimes difficult questions of description
standing the many different conceptions of religious salva-
and interpretation.
tion, and he employs the notion of an ideal-type to identify
How do we know that a particular term adequately ex-
and describe aspects of the different religious traditions that
presses what goes on in a particular religious practice, or that
for him embodied certain transhistorical and transcultural
it is providing an appropriate version of the meanings that
soteriological principles. The ideal-type is thus an analytical
inhere in a scriptural text? For instance, can we be certain
construct (Gedankenbilder) that enables its user to pinpoint
that the English term liberation is an appropriate rendition
and synthesize certain features of the phenomenal or histori-
of the Hindu notion of moksha, or that the English destiny
cal world, and to form these events and observable processes
properly translates the Homeric moira, and so forth? The his-
into an abstraction that is then returned to the historical and
tory of religions provides examples of how, despite purport-
empirical world to furnish interpretations of it. Weber har-
ing to be free of theological presuppositions, a religion’s ren-
nesses the tool of the ideal-type to a comparative mythology
ditions of the practical elements and doctrinal principles of
of salvation to formulate a number of interlinked typologies
other religions can nonetheless be tacitly influenced by theo-
that furnish some important theses about salvation in the dif-
logical or quasi-theological normativities. An important case
ferent religions.
in point is provided by the work of the great scholar of com-
The resultant Weberian theory of salvation, his meta-
parative religion Mircea Eliade (1907–1986), who sought in
narrative, hinges on a number of distinctions that have be-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIBERATION
5437
come standard in the sociology of religion. It exploits impor-
as a concept has to be understood by delineating the struc-
tant distinctions between religions that understand salvation
tures and functions of this elemental desire, its nomencla-
in terms requiring or positing the necessary agency of super-
tures, its conditions, its consequences, its practical ramifica-
natural beings (such as the so-called Abrahamic religions),
tions for those who are followers and believers. The
and those that do not (such as early Buddhism); between
constitution of the world as a place where meaning and value
ways to salvation based on the satisfaction of “ethical de-
are to be discovered and interpreted can only be approached
mands” and others based on “pure faith”; between a salvation
theoretically through an analysis of this primordial desire. As
premised on a “world-renouncing asceticism” (weltableh-
a result of this axiomatic principle, an ethics of liberation has
nende Askese) and one resulting from “this-worldly asceti-
to depend on the human powers that subtend this desire
cism” (innerweltliche Askese); between “contemplative” and
(though it is of course possible for the devout to locate the
“active” religious methods; and so on. These divisions are
source of this desire in some supernatural figure or power);
then further complicated, as when Weber distinguishes be-
and reflection on liberation will, in turn, rest on an ontology
tween schemas that involve a “salvation from. . .” and those
that elucidates the various conceptual amplifications of this
that embody a “salvation [attained] for. . .”—examples of
primal desire. It will take this ethics to be the outcome of
the former being “liberation from the machinery of Satan”
a disciplined reflection focused on this prior and enabling
or “liberation from the wheels of kharma causality,” and ex-
knowledge of desire. This ontology of human constitutive
amples of the latter being “salvation [attained] for the eternal
power will specify what it is that the configurations of desire
rest that is nirvana ” or “salvation [attained] for the bliss that
that happen to go by the name of the “human” can accom-
is heaven.”
plish, what their repulsions and attractions are capable of,
and this will include those impulses that gesture towards
As was the case with Mircea Eliade, critics soon made
what is seemingly beyond the compass of all that is currently
the point that these Weberian formulations are not as inno-
taken to constitute “the human.” The great philosophical
cently “ideal-typical” as Weber himself took them to be.
projects—and here Aristotle’s Metaphysics, Barukh Spinoza’s
Thus, his important demarcation between “pure faith” and
Ethics, G. W. F. Hegel’s Phenomenology, Alfred North
“ethical demands” (or “works”) is palpably influenced by a
Whitehead’s Process and Reality, Martin Heidegger’s Being
post-Reformation version of Christianity. This being so, the
and Time, and Gilles Deleuze and Félix Guattari’s A Thou-
application of these schemas to the soteriological systems of
sand Plateaus come to mind as exemplary instances—
non-Christian religions will probably traduce or distort the
undertake this ontological task that is a necessary first step
latter—Weber, for instance, saw no problems with the dis-
in developing the ethics of liberation.
tinctions he made between “the divine,” “the human,” and
“the world,” and in this respect he resembles Eliade. For all
The problematic of the relation between transcendence
these weaknesses, Weber’s sociology of salvation is the first
and the doctrines of immanence—which picture conscious-
notable attempt to systematize the affirmations made by the
ness either as existing solely within the self or as being part
various religious traditions about the means by which salva-
of a universal whole—is thus central to reflection on the
tion is attained, the states associated with its attainment, and
project of liberation, a project that may or may not go by
the powers and figures deemed to be responsible for this at-
the name of “religion” or be associated with religion’s appur-
tainment. He was a pioneer when it came to systematizing,
tenances. For religions in their very nature provide for their
at the level of a wide generality, the various dispositions to-
adherents the figuration of an ontology of the kind men-
ward “the world” that underlie the different religions. This
tioned above. Religious traditions with a soteriological di-
is an essential undertaking for any theorist of liberation. Es-
mension, it is easy to see, purport not only to provide a path
pecially important here is Weber’s assertion that the funda-
towards liberation, but also seek to account for the origin or
mental motivation behind the various conceptions of libera-
ground of this very desire to find such a path. Soteriologies
tion is the pressing need to find a solution to the “problem”
are thus mechanisms for producing truth or “true ways” for
of the world, since the desire of the seeker of liberation pivots
those who adhere to them. Axiomatic for these mechanisms
on the quest for a resolution of the predicaments posed by
is the notion that to be liberated is to have found the true
a basic recalcitrance of the world. Liberation is thus glossed
way, whether this finding is attributed to an external agent
as liberation from some unsatisfactory state of the world, and
or is depicted as the individual achievement of the religious
this principle becomes an axiom for the theory or higher-
person. Can a religion really do without a basis in some kind
order narrative of salvation.
of transcendence, can it be wholly and unreservedly imma-
nent, and can an uncompromising immanence form the core
Liberation, therefore, is inextricably bound-up with the
of a project of liberation? These are the crucial questions for
lineaments of a certain structure of desire—namely, the de-
an ethics of liberation. Necessary here is a distinction be-
sire to surmount, bypass, or mitigate a fundamentally unsat-
tween the transcendent (that which transcends all subjects
isfactory state of being, whether it happens to be individual
and objects) and the transcendental field (which is a nontran-
or collective or both. Liberation can then be glossed as a con-
scendent that accounts for the possibility of immanence it-
cept intrinsically linked to that desire (and this includes the
self). Liberation’s ontological script could be one that occu-
desire for the ending of all desire). For this reason, liberation
pies a transcendental field without making any appeal to 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
5438
LIBERATION THEOLOGY
transcendent being or power. This would be the perspective
THE STAGE OF PREPARATION (1962–1968). The first re-
of a Spinoza, Heidegger, or Deleuze. We cannot be sure that
flections in the direction of liberation theology have their ori-
such an ontological script would be compatible with the reli-
gins in the 1960s. This was a period characterized by a struc-
gions of the Abrahamic traditions for instance, since these
tural crisis (economic, political, and ideological) of the
seem irreducibly to be wedded to an ontology of the tran-
systems of domination, the proliferation of popular libera-
scendent. But the possibility of these religions being able to
tion movements, and the appearance of military dictator-
incorporate an ontology of unqualified immanence is one
ships. Critical reflections from the Christian faith emerged
that cannot be ruled-out tout court. Or it may be that we can-
as an answer to the challenges that were presented not only
not, after all, obviate the transcendent, despite what Spinoza,
by the liberation movements but above all by Christians who
Heidegger, Deleuze, and others have argued for, in which
became involved in those movements.
case the ontological preeminence of the religious transcen-
Although elements were taken from new German politi-
dent is guaranteed. If this were the case, then it and only it
cal theology (Johann Metz, Jürgen Moltmann, Dorothee
can be the foundation of liberation.
Solle), the theological themes coming from the European
academy were considered insufficient to accompany the faith
BIBLIOGRAPHY
of Christians in a time of an “awakening of consciousness”
It is virtually impossible in a brief bibliography to do full justice
to the range of fields that have to be covered in an adequate
of belonging to a dependent and oppressed continent that
treatment of the concept of liberation: the history of reli-
needed to free itself. This “awakening of consciousness” ap-
gions, comparative religion, hermeneutics, the history of
peared in different parts of Latin America and from different
ideas, cultural anthropology, philosophy, theology and other
rationales. Among those, Frantz Fannon wrote against colo-
doctrinal studies, psychology, sociology, and political theory.
nialism in The Wretched of the Earth. Paulo Freire of Brazil
The following have been useful in producing this entry,
spoke out in Education as the Practice of Freedom (1967) and
which of course represents a primarily philosophical and her-
Pedagogy of the Oppressed (1970). Many writers expressed
meneutical approach to the concept of liberation that needs
themselves through literature, for example, Gabriel García
to be complemented by studies in other intellectual fields.
Márquez with his novel One Hundred Years of Solitude
Numerous works convey the hermeneutical difficulties in match-
(1967). Philosophy spoke of the social movements on the
ing later or contemporary interpretations to earlier practices
continent; economics produced the theory of dependence in
and doctrines. Robert Sharf’s “Buddhist Modernism and the
confrontation with the theory of development (André
Rhetoric of Meditative Experience,” Numen 42 (1995):
Gunder, Theotónio Dos Santos, Celso Furtado, and others).
228–283, has been used here, but a dozen other works can
In fact, the history of this continent was read from Eduardo
easily be cited. For an understanding of religion that accords
broadly with this hermeneutical approach, see Jonathan Z.
Galeano’s The Open Veins of Latin America (1973). The
Smith’s To Take Place: Toward Theory in Ritual (Chicago,
awakening of Christians to the challenges of the liberation
1987). Max Weber’s general theory of salvation is to be
movements and their active participation in those move-
found in Gesammelte Aufsätze zur Religionssoziologie (Tü-
ments led theologians to elaborate a theology that took seri-
bingen, Germany, 1922), translated by Ephraim Fischoff as
ously the reality of poverty and exploitation and to take up
The Sociology of Religion (Boston, 1963). A fuller version of
the clamor of the poor. The climate of the church in the
the position developed here is to be found in Kenneth Surin’s
Catholic world was opportune. The Second Vatican Council
“Liberation,” in Critical Terms for Religious Studies, edited by
(1962–1965) had begun a great opening with its concern
Mark C. Taylor, pp. 173–185 (Chicago, 1998).
and reflections on Christianity confronted by the modern
KENNETH SURIN (2005)
world, and the Medellín Conference of Latin American Bish-
ops contextualized its significance for the “oppressed and be-
lieving” Latin American continent. Within the Protestant
tradition there were also groups (ISAL; Iglesia y Sociedad en
LIBERATION THEOLOGY. Liberation theology is
América Latina, or Church and Society in Latin America)
defined as critical reflection on the historical praxis of libera-
and theologians (Rubén Alves, Richard Shaull, and José
tion in a concrete situation of oppression and discrimination.
Migues Bonino) who bore witness on the basis of Christian
It is not a reflection on the theme of liberation but “a new
faith in the face of a reality that needed liberation.
manner” of doing theology. The perspective of the poor and
THE FORMULATION (1968–1975). Gustavo Gutiérrez, a
the commitment of Christians to the transformation of the
Catholic Peruvian theologian, is the principal figure in the
world are the privileged places of the theological task. This
formulation of liberation theology. His classic book A Theol-
theology should be considered as a theological and pastoral
ogy of Liberation (1972) appears as an amplified and deep-
movement and not as theoretical expositions by important
ened version of previous expositions. Among other impor-
personages.
tant persons who contributed to the debate of this
The stages of development of liberation theology are:
reformulation were, among Catholics, Hugo Assmann, Leo-
preparation (1962–1968), formulation (1968–1975), sys-
nardo Boff, Juan Luis Segundo, Enrique Dussel, and later
temization (1976–1989), and diversification of specific per-
Clodovis Boff; among Protestants, Rubén Alves, José Migues
spectives (since 1990).
Bonino, and Julio de Santa Ana.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIBERATION THEOLOGY
5439
In this stage, theology is defined as a critical reflection
human history. From the beginning Gutiérrez affirmed that
on historical practice in the light of faith. The poor, as in “ex-
the reign of God “is realized in liberating historical acts, but
ploited classes, marginalized races, depreciated cultures”
denounces their limitations and ambiguities. It announces
(Gutiérrez), is the privileged place of the theological task. It
complete fulfillment and moves toward total communion.”
becomes clear that liberation theology is more than a theolo-
Because of the “radicality of the salvific gift, nothing escapes
gy with a single theme, or one of fixed contents. It is a man-
it, nothing is outside the action of Christ and the gift of the
ner of doing theology. Interested in the relation of theory
Spirit” (1973, p. 240).
and practice, the major contribution of liberation theology
The ecclesiology of liberation has as its point of refer-
is precisely its method, considered as “an epistemological
ence the experience of a new way of being a church in the
rupture” with traditional theology in which ideas are applied
Christian base communities. It is a church that understands
to practice. Its newness, thanks to the method, is in the appli-
itself and emerges from the poor. For that reason it has been
cation of the social sciences as instruments that help it ana-
called the church of the poor or church that is born from the
lyze the reality out of which the theological reflection comes.
people. This ecclesiology is critical of a form of church that
Theology, insists Gutiérrez, is a second act. It is the rationali-
gives privilege to power concentrated in hierarchy instead of
ty or intelligence of faith that emerges from the praxis of
privileging charisma. According to Brazilian theologian Leo-
transformation and the encounter with God in history: prax-
nardo Boff (1981), charisma is the spiritual force that main-
is and contemplation are the first act.
tains the life of institutions and is more fundamental for the
THE SYSTEMIZATION (1975–1989). This is a productive pe-
church than institutional element. Neither the hierarchy nor
riod in writings as well as in the growing eruption of Chris-
the institution constitutes what is fundamental in charisma,
tian base communities. Theologians during this period took
though they are not excluded (p. 254). This theme caused
great care to spell out the method and to re-create Christolo-
certain difficulties with the official Catholic Church. In 1984
gy and ecclesiology.
Boff was called on by Cardinal Ratzinger, head of the Catho-
lic Church’s Congregation for the Doctrine of the Faith, to
As for the method in the process of the theological task,
clarify some aspects of his book, published in English as
there are three mediations. The socioanalytic mediation ana-
Church: Charism and Power in 1985. Boff was silenced; the
lyzes the reality where theology is done. Here the social sci-
punishment was suspended a year later.
ences are used as tools to reflect theologically on the analyzed
reality. The hermeneutical mediation interprets the Bible
The term iglesia popular (church of the poor) was refut-
and tradition to reflect theologically on the analyzed reality.
ed in the document of the Episcopal Conference held in
The praxiological or pastoral practice seeks to make visible
Puebla (1979) because of the danger of seeing it as a parallel
the commitment to justice in favor of the poor. This method
church to the official church. In the 1980s a shift began with-
is common in the Christian base communities; it is expressed
in theology: reflection based on the deepening of the dialecti-
in a simple way with the terms: “see, judge, and act.” Later
cal relation between faith-politics and life-economy. Accord-
the term “celebrate” was added in the sense that within the
ing to Enrique Dussel, it is not the Christian demand to opt
communities, in the process of a contextual rereading of the
for the poor and to commit oneself in the process of libera-
Bible, God’s solidarity is celebrated as read in the Scriptures
tion, but rather “the hunger of the majorities is the impera-
and in life.
tive to modify unjust systems of production. It is the rela-
tionship bread-production and from there the centrality of
The utilization of some Marxist elements as instruments
the Eucharist as bread of life through justice” (1995,
for the analysis of reality generated controversy with the Vat-
p. 152). La idolatría del mercado by Hugo Assmann (1989)
ican and certain Protestant sectors. The Sacred Congregation
and Franz Hinkelammert; Hinkelammert’s A idolatría do
for Doctrine and Faith published Instruction on Various
mercado (1989); and the Costa Rican Ecumenical Depart-
Points of Liberation Theology (1984), questioning this aspect
ment of Research’s La Lucha de los dioses (1979) are reflec-
because of the risk of ideologizing faith. If indeed liberation
tions from the economy that mark Latin American theologi-
theology has adopted some elements of Marxism for class
cal thought. Within the movement of the theology of
analysis and social change, it has rejected its atheism.
liberation there are different emphases; some give more im-
The Christology of liberation theology is characterized
portance to political action, others to church ministries, and
by the insistence on following Jesus (Jon Sobrino), who
others to liberating spirituality.
preached not himself but the reign of God. The following
THE DIVERSIFICATION OF SPECIFIC PERSPECTIVES (FROM
of Jesus underlines the practical character of the demands of
1989). New contributions followed in the 1990s. Among
a liberating Jesus Christ, whose “passion is also the passion
those that stand out are reflections on the significance of
of the world,” in the words of Leonardo Boff (1987), which
evangelization in light of the five-hundred-year commemo-
suffers injustices. In the Christology of liberation, historic
ration of the Spanish and Portuguese conquest; human be-
liberations also form a part of the eschatological promise of
ings as subjects (agents); law and grace; and more contribu-
salvation in Christ, although it is not identified with salva-
tions to Christology. But what was new at this time were two
tion in Christ. Because of certain critiques, theologians are
facts: the participation of new subjects in the theological re-
careful to make clear that the reign of God is not limited to
flection and the biblical movement.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5440
LIBERATION THEOLOGY
Women, blacks, and indigenous peoples have always
Latin American Biblical Interpretation (RIBLA), founded in
participated in the movement of liberation theology. Since
1989, constitutes a permanent contribution to biblical her-
the 1980s women and black theologians have declared them-
meneutics of liberation. This movement is distinguished by
selves as specific subjects in writings and at congresses. Nev-
a solid group of women biblical scholars.
ertheless, since the 1990s, the recomposition of the world
In this time of theological formulation there were two
and the strengthening of the struggles for the emancipation
convergences with other theologies of liberation that were
of women, indigenous peoples, and blacks have multiplied
born simultaneously: German political theology and black
and given much more strength to these particular perspec-
theology within the United States. History registers dialogue
tives of liberation theology. New challenges appeared. Liber-
and tensions between these theologies: in Geneva in 1973
ation theology had included the aspirations of these sectors
with European theology and in Detroit in 1975 with black
in its preferential option for the poor. In fact, Gustavo Gu-
theology and feminist theology. The convergence with Euro-
tiérrez frequently made clear that the word poor was a broad
pean political theology is in the analysis of the relation of
term that included the races and ethnic groups depreciated
faith-world, but they differ in their theological discourse
by racism and women who are doubly exploited for being
given the great difference of the interlocutors. While Europe-
poor and being women. But that was not sufficient for these
an political theology reflects faith from an atheist, secular-
groups. On becoming agents of theological production and
ized, adult world, liberation theology is challenged to reflect
assuming the method of liberation theology, they prefer to
from the nonperson and the scandal of poverty. The conver-
speak of the “option for those excluded” because it is a more
gence with black theology is the search for liberation in a
ample category than the “option for the poor.” These groups
context of oppression, but black theology permanently cri-
are introducing new themes that challenge the discourse of
tiques the theology of liberation for not taking seriously the
liberation theology: racism, the spirituality of the non-
problem of racism in Latin American society.
Christian African and indigenous ancestors, and a nonpatr-
iarchal ecclesiology and epistemology. These perspectives
Apparently the theology of liberation that was launched
seek to transcend the limited use of economics and sociology
originally as a theology with a universal vocation became a
in analytic mediation and introduce new tools that take into
theology of the Third World after the foundation of the As-
account sexism, racism, and culture. Liberation theology has
sociation of Third World Theologians in Dar es Salaam in
also in this decade confronted problems that had not been
1976. During these last years it has been conceived more as
dealt with deeply, such as ecology, culture, and interreligious
a contextual theology of Latin America. Liberation theology
dialogue. These themes are now being taken up from the lib-
and Latin American theology have become synonymous.
eration perspective by some theologians. Nevertheless, be-
BLACK LIBERATION THEOLOGY. Black liberation theology
cause of the Latin American context and the presence of men
was born among African American clergy and theologians in
and women theologians in church institutions, theological
the United States out of the experience of humiliation and
reflection from the perspective of those discriminated against
suffering of blacks in the historical and contemporary system
because of their sexual orientation and reflections on repro-
of racism. Its task is to analyze that condition of oppression
ductive rights, especially for women, are still pending. Re-
in the light of the revelation of Jesus Christ with the goal of
cently there have appeared timid initiatives produced by the
creating a praxis of liberation from white domination and a
new generation.
new understanding of black dignity among black people
(James Cone). The praxis of liberation in a racist system and
The most developed current of the new theologies is
the affirmation of blackness are the privileged place of their
feminist theology. An analysis of the origins and develop-
theological task. To affirm God’s solidarity with the op-
ment of this theology appears in Pilar Aquino’s book, Clamor
pressed, black theology refers to God and Christ as black.
por la vida. Teologia latinoamericana desde la perspectiva de
la mujer (1992; in English, Our Cry for Life: Feminist Theolo-
The black slaves brought from Africa to the United
gy from Latin America, 1993). One of the pioneers and repre-
States appropriated the Bible and read it in a liberation key,
sentative theologians is the Brazilian nun Ivone Gebara. In
in spite of the fact that their white masters used the Bible as
recent years three currents can be distinguished: feminist the-
a tool of oppression. The book of Exodus was a source of in-
ology of liberation, ecofeminist theology, and black feminist
spiration for their own liberation. Before the beginnings of
theology of liberation.
the formulation of black theology, a black community had
already been founded by independent black churches, both
Another innovating fact in liberation theology is the
Baptist and Methodist, in the eighteenth and nineteenth
Bible movement that extends over the whole continent. In
centuries. This explains why the clergy had permanent par-
communities, workshops, and courses the Bible is being re-
ticipation in the declarations, their position in the face of rac-
read from the perspective of the excluded—the poor, blacks,
ism, and their place in the movements of black liberation.
indigenous peoples, and women. This reading, which em-
Also antecedent to black theology was the development of
ploys a liberating hermeneutic, is called a popular (commu-
liberation thought among activists against slavery (Nat Tur-
nitarian or pastoral) reading of the Bible. Among its founders
ner, 1800–1831); against racial segregation (Marcus Garvey,
are Carlos Mesters and Milton Schwantes. The Journal of
1887–1940), considered by many of his people “the apostle
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIBERATION THEOLOGY
5441
of black theology”; in the struggle for human rights (Martin
The new generation is working from three perspectives:
Luther King Jr., 1929–1968); and in the Black Power move-
womanist theology (Jacquelyn Grant, Katie Cannon, De-
ment (the Muslim Malcolm X, 1930–1965).
lores Williams, Emilie Towns), who do theology from the
experience of black women within a racist and patriarchal
Black liberation theology was born within the heat of
system; biblical hermeneutics, which questions Eurocentric
political and racial tumults of the 1960s and 1970s. It
scholarship and begins to discover the African presence with-
searched for a Christian answer to the black political move-
in the Bible as well as the racial problems that the Bible itself
ment. The first work of black theology as a formal discipline
presents. Another important perspective appears in the 1991
came out in 1969 with the title Black Theology and Black
collective work directed by Cain H. Felder, Stony the Road
Power, written by the most important figure in the formula-
We Trod: African American Biblical Interpretation, and the re-
tion of black theology, James Cone. A year later, Cone pub-
ligion of the black slaves (Dwight Hopkins, George Cum-
lished his well-known work Black Theology of Liberation, in
ming) that gathers the religious experience of the black slaves
which he presents the contents of that theology. The funda-
through stories, meditations, sermons, petitions and songs.
mental question behind this work is, “What does the gospel
of Jesus Christ have to do with the struggle of blacks for free-
Of these three perspectives, the most developed is wom-
dom in a society that denies African Americans as human
anist theology. Since the 1980s black women have protested
beings?”
their invisibility in black theology and in white feminist the-
ology. They feel that these theologies do not take into ac-
There are two important theological affirmations that
count the experiences of black women, who have to endure
distinguish black liberation theology: (1) The knowledge of
both racism and sexism in a context of poverty. The term
God that reveals God’s self as liberator. The God of Exodus,
“womanist” is from Alice Walker’s work In Search of Our
the prophets, and Jesus can only be known in the liberation
Mother’s Garden (1982). It comes from the black folk expres-
struggles of the oppressed. (2) The blackness of God and of
sion “You acting womanish,” meaning outrageous, auda-
Christ as a theological symbol that looks to articulate the
cious, courageous, and willful. Womanist theology takes into
concrete presence of Jesus Christ in the history, culture, and
account the daily situation of survival as well as the structures
experience of African Americans. Blacks are oppressed in the
that affect the lives of women.
United States; therefore, God is on the side of the oppressed
blacks and takes on the condition of the black. God is black,
MINJUNG THEOLOGY. Minjung theology is a Korean libera-
Christ is black; the blackness of God and Christ means that
tion theology. It emerged in the 1970s as a Christian re-
God and Christ have made the condition of the oppressed
sponse to the struggle of the minjung, meaning “the people.”
their own condition. For Cone, there is a distinction of col-
This term comes from the combination of two Chinese char-
ors. To say there is no difference means that God makes no
acters. Min signifies people and jung means mass. Minjung
differences between justice and injustice, between reason and
theology is the theology of people who are oppressed politi-
irrationality, between good and evil. God is in solidarity with
cally and economically. It is a political hermeneutic of the
the blacks. As for Christology, Cone refers to Jesus as the Op-
gospel and a political approach to the experiences of the Ko-
pressed par excellence and the Liberator par excellence. The
rean people. For this theology Jesus was a minjung, was in
black Christ is the norm, the hermeneutical principle that
solidarity with the minjung, and his life was an example of
integrates black theology, that is to say, the black experience,
liberation. Among its most important contributions is the
black history and black culture. This black experience, histo-
use of the term han (accumulated anger, just indignation),
ry, and culture are illuminated by the biblical testimony, but
introduced by Suh Nam Dong. The term is taken from a
above all by the norm, that is, the black Christ. For Cone,
poem “The Story of Sound” (1972) by the poet Kim Nam
sin is all that denies the liberating dimension of God revealed
Ha. The poem expresses the pain of a poor prisoner. This
in Jesus Christ. Salvation, therefore, is not reduced to a fu-
is better understood in the following words of the poet Kim:
ture without transforming the situation of this world. The
“This little peninsula is filled with the clamor of aggrieved
liberation of African Americans involves empowerment and
ghosts. It is filled with the mourning noise of the han of those
the right of self-definition and self-affirmation, in addition
who died from foreign invasions, wars, tyranny, rebellion,
to the transformation of social, political, economic, and reli-
malignant disease and starvation. I want my poems to be the
gious oppression.
womb or bearer of these sounds, to be the transmitter of the
han and to communicate a sharp awareness of our historical
The debate between black theologians has been fruitful.
tragedy” (Minjung Theology, p. 26). For minjung theologians
The historians Gayraud Wilmore (1972) and Cecil Cone
the term han refers to the sentiments of interiorized injustice
(1975) propose religious experience as the point of departure
of the oppressed; one of the tasks of minjung theology is to
for black theology and not the political struggle or black
help people to recognize these feelings. The most important
power. Deotis Roberts (1974) represents a more moderate
figures of this theology besides Suh Nam Dong are David
line by proposing the need for a liberating reconciliation in
Kwang Sun Suh, Ahn Byung Mu, Kim Yong Bock, and Hy-
black-white relations. Cornel West (1979) underlines the
unYoung Hak. Within this current has emerged the feminist
importance of the dialogue with Marxism.
Korean Chung Hyun Kyung.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5442
LIELE, GEORGE
After the founding of Ecumenical Association of Third
reality as the point of departure to speak of God, has spread
World Theologians, in which theologians from Latin Ameri-
throughout the world.
ca, Africa, and Asia and blacks from the United States began
their dialogue, theologies of liberation multiplied. These the-
SEE ALSO Feminist Theology; Political Theology.
ologies were not imports of the Latin American or black the-
ologies but critical theological reflections that arose from
BIBLIOGRAPHY
their own particular contexts. What unites the theologies of
Boff, Clodovis. Teología de lo político. Sus mediaciones. Salamanca,
liberation is the objective of the theological task: “liberation.”
1980. English version, Theology and Praxis: Epistemological
Foundations. New York, 1987.
All the theologies of liberation are ecumenical.
Boff, Leonardo. Iglesia, carisma y poder. Santander, 1981.
In Africa there are four strong currents: South African
Boff, Leonardo. Passion of the Christ, Passion of the World: The
black theology, inspired by black theology from the United
Facts, Their Interpretation, and Their Meaning, Yesterday and
States and the struggle against racism; African (Christian) in-
Today. Translated by Robert Barr. Maryknoll, N.Y., 1987.
culturation theology, which has culture as its point of refer-
Boff, Leonardo, and Clodovis Boff. Introducing Liberation Theolo-
ence; African liberation theology, which underlines socio-
gy. New York, 1987.
economic and political analysis along with religious and ec-
clesial analysis; and African women’s theology, with it
Commission on Theological Concerns of the Christian Confer-
theological focus against androcentrism and patriarchalism
ence of Asia, ed. Minjung Theology: People as the Subjects of
History. London and New York, 1983.
present in church structures and in African traditions.
Cone, James. Black Theology and Black Power. New York, 1969.
In Asia, along with minjung theology, the Filipino the-
Cone, James. A Black Theology of Liberation. New York, 1970.
ology of struggle and other contextual theologies of libera-
tion stand out. The theology of struggle of the Philippines
Dussel, Enrique. Teología de la liberación. Un panorama de su de-
is seen in its struggle of resistance. Asian theologies of libera-
sarrollo. México D.F., 1995.
tion differ from the rest of the liberation theologies because
Ellacuría, Ignacio, and Jon Sobrino. Mysterium Liberationis: Con-
of their predominant context of religious plurality. Chris-
ceptos fundamentales de la teología de la Liberación. San Salva-
tians are a minority among large non-Christian religions. In
dor, 1990. English version, Mysterium Liberationis: Funda-
order for a theology of liberation to have an impact in this
mental Concepts of Liberation Theology. New York, 1993.
context, Christians are challenged to dialogue with the other
Fabella, Virginia and R. S. Sugirtharaja, eds. Dictionary of Third
religions and to reconsider valuable elements of Hinduism,
World Theologies. New York, 2000.
Buddhism, or Shamanism that promote liberation and an
Gutiérrez, Gustavo. Teología de la liberación. Perspectivas. Sala-
enrichment of Christian theology. Among other theologies
manca, 1972. English version, A Liberation Theology. New
coming out of Asia are Indian dalit theology, which struggles
York, 1973.
against the caste system, and Burakumin liberation theology,
Hopkins, Dwight. Introducing Black Theology of Liberation. New
which focuses on persons marginalized by ritual impurity
York, 1999.
systems. In Asia, as in the theologies of Africa, Latin Ameri-
Loysius, Pieris. An Asian Theology of Liberation. New York, 1988.
ca, and minorities in the United States, women theologians
Martey, Emmanuel. African Theology: Inculturation and Libera-
have a strong voice. Their publications appear in the well-
tion. New York, 1993.
known theological journal In God’s Image founded by Asian
Musala, Itumeleng J., and Tlhagalr Buti. The Unquestionable
women theologians.
Right to Be Free: Black Theology from South Africa. New York,
Among the minorities of the United States new theolo-
1986.
gies have emerged: Latino theology reflects their racial mix-
Roberts, James Deotis. A Black Political Theology. Philadelphia,
ture, culture, and popular religion. It does theology in the
1974.
symbolic framework of “being” on the border. Within this
West, Cornel. Black Theology and Marxist Thought. Boston, 1979.
theology women’s voices have created the mujerista theology.
Wilmore, Gayraud, and James Cone. Black Theology, a Documen-
Native American theology does theology out of their experi-
tary History, 1966–1979. New York, 1979.
ence without forgetting their presence in America before the
arrival of Christians and Christian American colonialism.
ELSA TAMEZ (2005)
This theology rescues ancestral spiritual values. Asian-
American theologies present the particularities of the Japa-
nese-, Chinese-, and Korean-American experiences.
LIELE, GEORGE (1752–1825) was the first black Bap-
These theologies of liberation recognize that a good
tist in Georgia and perhaps the founder of the first black
number of Christians in their own countries do not share
church in North America. He was also the first black mis-
their point of view because of, above all, the political com-
sionary from the United States to Jamaica, West Indies, and
mitment inherent in liberation. Nevertheless, new contextual
the founder of the first black congregation there.
theologies of liberation continue to proliferate as this new
George Liele was born a slave in Virginia and manumit-
way of doing theology, in which subjects take their concrete
ted by his owner just prior to the War of Independence.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIFE
5443
Liele’s owner, Henry Sharp, was a Baptist deacon. Liele was
Holmes, Edward A. “George Liele: Negro Slavery’s Prophet of
converted to Christianity by Matthew Moore, a white minis-
Deliverance.” Foundations 9 (1966): 333–345.
ter, while on a trip with Sharp to Burke County, Georgia.
Pinn, Ann H., and Anthony B. Pinn. Black Church History. Min-
Liele quickly expressed a desire to preach and was encour-
neapolis, 2002.
aged by Sharp to do so. After Liele was licensed, around
1773, he began preaching to the local black population at
JAMES ANTHONY NOEL (2005)
Silver Bluff, South Carolina. David George (1742–1810)
was one of Liele’s early converts and became an exhorter at
the Silver Bluff congregation. The Silver Bluff congregation
LIFE. Across the centuries and the continents, human be-
may have been the first black congregation to be organized
ings have revealed, through myths, rituals, religious and cul-
in North America. The date of its founding has been various-
tural institutions, social histories, and various other modes
ly given between 1773 and 1775. The date on the church’s
of symbolic expression, a central and overriding preoccupa-
cornerstone is 1750, which identifies its founding as earlier
tion with the creation and prolongation of life. Most of the
than that of the black Baptist church organized on the Wil-
human cultures known to us today have one or more terms
liam Byrd plantation in Mecklenburg, Virginia in 1758.
to designate life, being, existence, or other cognate concepts,
After Sharp died in battle in 1778, his relatives tried to
which have occupied a core position in the intellectual life
re-enslave Liele but were prevented from doing so by the
of each tradition. The Chinese language, for instance, which
British troops who had occupied Savannah, Georgia, where
does not possess an exact equivalent of the term life, does
Liele was then residing. He continued to preach in Savannah
contain a number of other words to describe the seat of life
to a congregation of slave as well as free black Baptists. In
or basis of the life process (such as yu, “being,” and its coun-
1782 Liele baptized one of his gifted converts, Andrew Bryan
terpart, wu, “nonbeing”). So, too, Hebrew has nefesh/ruah,
(1737–1812). This was the same year he departed Savannah
Greek psyche/pneuma, Latin spiritus, Sanskrit a¯tman / j¯ıva /
with the British for Jamaica. In 1788 Bryan was officially or-
pra¯n:a / purus:a, Arabic Eumr Eishah, and Nuer yiegh.
dained and the church was certified. The church was reorga-
The identity of the human faculty or function that is
nized as the First Baptist Church of Savannah in 1800.
regarded as an undeniable indication of the presence of life
When Liele accompanied the British troops when they
in an animated organism varies from one culture to another.
left Savannah in 1782 and relocated to Jamaica, it was as an
By and large, however, the seal of life has been identified
indentured servant to Colonel Kirkland. In 1783 Kirkland
with the tangible signs of the presence of breath, with con-
transferred Liele’s indenture to the governor of Jamaica,
sciousness or mental functioning, and with physical move-
General Campbell. By 1784 Liele had worked off his inden-
ment or—in the modern scientific fields of physiology and
ture, and he thus had nothing to encumber the exercise of
neurology—pulsebeat and measurable brain-wave activity.
his preaching gifts except the objections of some Anglican
In many cultures, it is perhaps breath, more than any
clergymen. His congregation in Kingston soon boasted 350
other single human function, that has been designated as the
members, mostly former slaves. The construction of their
most dependable sign of life. This designation is confirmed
first sanctuary was completed in 1793. Liele was incarcerated
by the fact that in many languages, both ancient and mod-
in 1801 on the charge of preaching sedition, but he was re-
ern, the words for “life” and “breath” are one and the same.
leased for lack of evidence. He was jailed a second time be-
A particularly intriguing illustration of this phenomenon ap-
cause the payments on the church building had fallen into
pears in one of the most ancient Hindu texts, the Brhada-
arrears. Liele’s ministry continued in spite of these hardships,
ranyaka Upanis:ad (composed around the sixth century BCE),
and in spite of the fact that a law was passed on the island
where a debate as to which of the human faculties is indis-
in 1805 that made preaching to slaves illegal. Liele referred
pensable to the maintenance of life is resolved in favor of
to his members as “Ethiopian Baptist” and the importance
breath (pra¯n:a).
of such a term and what “Ethiopianism” later signified for
the Garvey and Rastafarian movements in the twentieth cen-
Many religious traditions have attributed the existence
tury has led some scholars to view him as their intellectual
of the world and its entire population of living inhabitants
father.
to the creative act of a god or gods at the beginning of time.
According to various cosmologies, from both oral and writ-
SEE ALSO African American Religions, overview article and
ten traditions, the divine creator fashioned the universe as we
article on History of Study; Baptist Churches.
know it either out of nothing or from some type of preexis-
tent materia prima (such as water, earth, fire, mind, or sub-
BIBLIOGRAPHY
stances like tears or semen, emitted by the creator). Such tra-
Davis, John W. “George Liele and Andrew Bryan, Pioneer Negro
ditions believe that the cosmos is therefore suffused with and
Baptist Preachers.” Journal of Negro History 2 (1918):
supported by the sacred energies of the creator deity, and
119–127.
human life is linked physically and spiritually with the life
Gayle, Clement. George Liele: Pioneer Missionary to Jamaica.
of the cosmos as a whole. That is, the human realm is estab-
Kingston, Jamaica, 1982.
lished within and directed by a cosmic, celestial, or divine
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5444
LIFE
dimension of reality, of either a personal or a transpersonal
riod.” It was during this timeless, mythical epoch that the
nature. As a consequence, human existence is believed to
life-world as we know it was established. To explore a further
possess, both a human and a divine, a temporal and an atem-
example: in Murngin society of Northeastern Australia, the
poral dimension, with the latter being both logically and
sacred well, or water hole, contains the essence of all life. The
metaphysically prior to the former.
soul (warro) returns to this water hole to be renewed by con-
tact with the ancestors—both those long dead, who are most
In addition, many religions and philosophies make a
pure, and those recently dead, who are still in contact with
qualitative distinction between two contrasting and mutually
the living. Animals sacred to the Murngin are also part of this
exclusive modes or styles of life. The two categories of exis-
life-giving cycle of returning to the water to be purified and
tence have been characterized variously as profane and sa-
renewed.
cred, impure and pure, fallen and redeemed, ignorant and
enlightened, bound and liberated, alienated and authentic.
NATIVE AMERICANS. Like the vast array of the Australian in-
In cultures having experienced colonization by Western
digenous peoples, the equally vast array of Native American
countries, such a dichotomy can also take on the more politi-
practices is united by a deep respect for the natural world.
cized valence of indigenous/Western imperialist styles of life;
The power of life inheres in the powers of nature. Natural
or pre-colonial and postcolonial ways of being.
objects are imbued with sacred meaning, and in their cere-
monial use they become supernaturally as well as naturally
The first category pertains to life in a state of separation
powerful. Native American groups tend not to make any dis-
from or in opposition to the will of a god or gods in theistic
tinction between ritual and theology, and therefore a success-
systems or in opposition to the natural law or the principle
ful life is something to be ritually enacted as well as imagined
of ultimate reality within non-theistic systems (such as dhar-
in a more abstract way. Many of these ceremonies include
ma in Hinduism and Buddhism, moira or logos in ancient
the insurance of a successful hunt, as well as contemporary
Greece, and dao in China and Japan). Life in this state is de-
hopes for life on the reservation. The Lakota, for instance,
picted as a realm of sin and ignorance, suffering and misery,
understand life to be comprised of seven rituals: The Sweat
and death (linked, in certain cases, with rebirth).
Lodge, The Vision Quest, Ghost Keeping, The Sun Dance,
Achievement of the second, more salutary state of exis-
Making Relatives, Puberty Ceremony, and Throwing the
tence (conceived as one of wholeness, physical and spiritual
Ball. One new ceremony, the Yuwipi, specifically incorpo-
integration, redemption, or liberation), is realized by living
rates the post-colonial life of the Lakota. The Apache believe
in compliance with the cosmic law or the will of God. For
that life endures through successful negotiation with the larg-
many cultures, human existence is viewed as real and mean-
er power that informs the universe, as well as with one’s indi-
ingful only insofar as it is experienced as organically rooted
vidual power, attained during visionary experiences—
in a divine realm of existence. This divine realm is conceived
sometimes alone and sometimes with the mediation of a holy
to be a celestial abode of God or the gods or the shadowy
person. The number four is central to the performance of
domain of the cultural ancestors. It is the function of the net-
these rituals and considered a basis for wholeness and healing
work of myths and symbols, cultic rituals, and cultural cus-
in life. So, too, the Navaho’s understanding of a prosperous
toms to preserve and strengthen the connection between the
life involves harmonious relations with the Holy People.
human and divine realms and, thereby, to guarantee to
Their rituals, especially the complex practice of chanting
human beings the sense of reality and value that makes life
called the Blessingway, remember the creation of their own
not only bearable but fulfilling.
life on earth: their Emergence from the Underworld, as well
as their travails and challenges after the Emergence.
Clearly it is impossible to cover all the beliefs about life
held by all the peoples of the world. The present article will
INDONESIA. According to the people of West Ceram in the
merely select one or two salient examples from a few geo-
Sulawesi Islands, human beings emerged from bananas that
graphical or religious traditions, in hope that readers will be
grew at the base of a sacred mountain. Living beings of all
inspired to find out more on their own. Due to space limita-
sorts, together with various foodstuffs and diverse sources of
tions, moreover, coverage of the religious traditions them-
wealth, resulted from the sacrifice (literally, the “murder”)
selves will focus only on their formative and classical periods.
of a coconut maiden, Hainuwele, and the implantation of
the several parts of her body in the surrounding landscape.
AUSTRALIA. The indigenous inhabitants of Arnhem Land in
By this means, her bodily parts became sources of sustenance
Australia believe that the world existed from the beginning;
for all living creatures. But this primal murder was also the
only human beings were lacking. Human life originated with
occasion for the advent of death. Hence, death is understood
the peregrinations of a primal ancestor and his two sisters.
to be a necessary precondition for the creation and mainte-
They wandered about the landscape, paused from time to
nance of life.
time, engaged in sexual intercourse, and thereby produced
human offspring and various totemic emblems known as
This kind of complementarity is also reflected in the be-
Dreamings (that is, the world as it now is). The peoples who
liefs other traditional Indonesian peoples, where sacred geog-
inhabit this territory trace the origin of all entities that con-
raphy involves the upstream and downstream flow of rivers
stitute the world in which they live back to a “Dreaming pe-
and other bodies of water, an upper world and a nether-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIFE
5445
world, inside and outside, and other opposites. For the Sum-
processes; to the earth he is a husband standing behind her
banese, the major deity is a dual entity of Amawolo/
creative forces.
Amarawi; for the Toraja, the marriage of heaven and earth
JUDAISM. In the Book of Genesis, the world is created by di-
gives rise to the universe. Such an idea of the life-giving bal-
vine fiat. In accordance with most of the Hebrew tradition,
ance between opposites has even influenced the religious tra-
biblical thought identifies the basis of human life as the
ditions of peoples who later came and settled in Indonesia,
blood (Lv. 17:14).
such as Hinduism, Buddhism, Christianity, and Islam, and
The writers of the various books in the Hebrew scrip-
is shown in current cultural forms such as the wayang, or
tures are in general agreement that the relative length of life
shadow theater.
is determined by human virtues and vices, as exemplified by
AFRICA (SOUTH OF THE SAHARA). In the words of Richard
the travails of the first man and woman, Adam and Eve, in
Nyombi, for African peoples, “religion is literally life and life
the Garden of Eden. God is the lord of life and death by vir-
is religion.” Doctrine and creed as such are less central to var-
tue of his sovereign rulership over the book of life.
ious African traditions than the force of sacred place and the
In biblical thought, therefore, life reveals its presence
power of sacred objects, especially as they are used in dance
through breath (ruah) and blood. Hence, God is the proto-
and art forms, as well as in festivals, ceremonies, and rituals.
typical living being whose life is eternal, whereas the exis-
Each individual comes into being through social rites of pas-
tence of all created beings and entities is fragile and perish-
sage, and gains, through these rites, the capacity to become
able, “like the grass of the field” (Ps. 103:15, Is. 40:6). God’s
an ancestor after his or her death. Each ritual preserves the
life is manifested through action and creativity. He is the cre-
web of relationships that give life and protects against those
ator and therefore the lord of life (Jb. 43:14f.). Hence, to live
forces that would destroy it. J. S. Mbiti calls this African view
in rebellion against his will is equivalent to experiencing
of the world a “relational metaphysics”: “I am because we are
death in the midst of life (Jb. 3:11–26, Jon. 4:9). Such an
and because we are therefore I am” (Mbiti, 1990).
existence will be filled, inwardly, with misfortune and mis-
For example, according to the Nuer, a tribe of cattle
ery, however favorable the external circumstances may be.
keepers in the southern Egyptian Sudan, life is bestowed
The realization that death is the fate of all living beings
upon the universe and all its inhabitants by the cosmic spirit
brings into question the ultimate value of life and its various
(Kwoth), invoked variously as “spirit of the sky,” “grandfa-
aspects (Eccl. 1:1–11), but in the final analysis the judgment
ther of the universe,” or “spirit who created the ancestors.”
is rendered that those who live in submission to God’s will
This omnipresent spirit of the sky is credited with creating
can expect to enjoy a long and happy life and, in the end,
the world and its offspring and determining the course of its
be gathered to the fathers (Gn. 15:15, Jb. 42:17). All persons,
operations. From his lofty perch, he rewards and punishes
therefore, face a choice between the way of life and the way
human actions and upholds the moral order of the universe,
of death (Prv. 5:6, 14:12).
by which all life is governed.
In the biblical period, the life of Israel was believed to
In addition, for the Nuer there are smaller and more lo-
be maintained and revitalized through sacrifice. The com-
calized spirits (kuth) of the sky, atmosphere, and earth,
munity of Israel as a whole appropriates the divine power res-
through whose mediating powers the life energies of Kwoth
ident within the sacrificial oblation and shares in the sanctity
are transmitted to animals and human beings. Specifically,
created by the sacrifice. Likewise, by offering the sacrifice to
this transmission of power is effectuated by the killing and
God, the sacrificer also strengthens both God’s nature and,
partaking of the flesh and blood of the ox, the totemic ances-
through his revitalization, that of the world and its inhabi-
tor of the Nuer. Even as birth necessitates a temporary sepa-
tants. The covenant between God and Israel is expressed and
ration from the primordial spirit, death is the return of the
strengthened though a system of sacrifice.
individual soul to the great spirit and its near-complete isola-
In rabbinic Judaism as it developed after the destruction
tion from the realm of the living. The deceased are transmut-
of the Second Temple in 70 CE, prayer and study of the
ed into ghosts at the moment of death but retain the capacity
Torah replaced sacrifice as the form of service to God. Rab-
to return to the living in dreams, visions, and various types
binic Judaism, whose central tenets are expressed in the
of misfortune.
Mishnah and the Talmud, posits the parallel existence of the
Kwoth is only one example of such an idea of a Supreme
written Torah and the Oral Torah. (The Oral Torah was
Being, and kuth only one example of the mediating deities
written down between the third and sixth centuries CE).
who maintain life. The Supreme Being is known by several
These two written documents, as interpreted by the Sages,
names in other African traditions (and there are arguments
are the sources of halakhah (the “way” or “path”), often
to this day as to whether there is one African tradition or
called Jewish law. Life should be lived by following this path,
many): To the Ibo, the Supreme being is Chukwu; to the
according to the prescriptions of halakhah, a term that in-
Akan in Ghana he is Nyame, to the Yoruba he is O:ló:run,
cludes religious rituals as well as rules that govern the con-
and in Central Africa he is Jok, to name a few. In most Afri-
duct of everyday life.
can traditions, he is a life-preserver who is a parent figure to
CHRISTIANITY. The New Testament concept of life rests
the other gods, and charges them with maintaining cosmic
upon the distinction between mere existence, or natural life
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5446
LIFE
(bios, as the ancient Greeks used the term), and true or au-
dent to humans, whose life is conditioned by the vicissitudes
thentic life in Christ. In the first instance, human life is fi-
of change and death, there is the eternal, unchanging, abso-
nite, fragile, and mortal. As in the Hebrew Bible, to be alive
lute existent, God, “who is wisdom itself.”
is to possess the capacity to perform one’s intended function
Augustine, like other Christian writers who followed
and act efficaciously (Acts 7:38) and to do so in a state of
him, understood God to be living in a highly exceptional,
health (Mk. 5:23). While animal life is sustained by nourish-
and indeed, absolute sense. He possesses the capacity to give
ment, human life is dependent upon the continued presence
life to the multitude of creatures that inhabit the world. He
of the soul (psyche), or life breath (pneuma), which is a gift
is the boundless and inexhaustible reservoir of power from
of God. Since God is the only being who possesses life inher-
which all other living beings derive their existence. He is, in
ently (Jn. 5:26) and, hence, alone lives eternally, it follows
short, the alpha and omega, the source and final resting place
that all living creatures derive their existence from him. In
for all living beings.
recognition of the fact that life is a divine dispensation, the
believer does not live for himself, nor primarily for his fellow
ISLAM. In the QurDa¯n, God (Alla¯h) creates humans from a
creatures, but for his creator and redeemer (Rv. 14:7f., Gal.
“blood clot.” (Su¯rah 96.2: “Read: ‘In the name of the Lord
2:19). He who lives for his own selfish pleasure will come,
who creates humanity from a clot.’”) God controls and su-
in the end, to sin and death (2 Cor. 5).
pervises all of life, and is frequently envisioned in a magisteri-
al and yet caring and compassionate capacity. God deter-
While the life of redemption is available in the present
mines the span and quality of human life in accordance with
as a consequence of the establishment of the new regime of
the behavior of each individual. Humans are also judged at
faith through Christ’s resurrection as the second Adam (1
two moments: first, at their own time of death, and second,
Cor. 15:20–22), its complete realization must await the end
“at the hour”—the day of judgment for all humanity.
of time, when Christ is to deliver the kingdom of God and,
thereby, put “all enemies under his feet.” Since life in its tru-
The rules and standards by which the lives of Muslims
est and most efficacious form lies in the future, beyond the
will be judged are expressed in the shar¯ı Eah (“path”) or sys-
grave, then all present conduct is but a preparation for that
tem of Islamic law. The sources of shar¯ı Eah are the QurDa¯n
eventuality. But, in the final analysis, this indestructible form
and the h:ad¯ıth—the tradition of the actions and utterances
of life is the result of divine grace (Jn. 3:16, Rom. 8:1–11),
of the prophet Muh:ammad (d. 632 CE), both as told by the
extended to those who repent past sins and accept the prom-
Prophet himself and as included in narratives and regulations
ise of salvation (Lk. 13:3, Acts 2:38, Rom. 2:4). The doctrine
about him recorded after his death.
of the immortality of the soul is entirely foreign to the New
A life well-lived is best judged by the capacity to which
Testament.
men and women might engage in the service and worship
of God. As expressed in the rules of shar¯ı Eah, such service
Building upon certain key concepts in the Hebrew
and worship are often organized as the Five Pillars of Islam.
Bible, the New Testament writers declare that authentic life
They are: the profession of the faith (shaha¯dah); prayer five
is based not upon God’s nature in general, but rather upon
times a day (s:ala¯t); fasting during the month of Ramad:a¯n
God’s expression of his love and compassion for the suffer-
(s:awm); charity to the needy (zaka¯t); and pilgrimage to
ings of humanity and his readiness to forgive and redeem all
Mecca (h:a¯jj). Later Muslim tradition saw this ideal life as
those who seek his forgiveness through the life, death, and
being contained in the early history of Islam. For example,
resurrection of his only son, Jesus, the Christ (Jn. 3:16, 1 Pt.
the Life of Muh:ammad by the Muslim philosopher Ibn
1:18–19). According to Paul, the consummate realization of
Ishaq describes much of the setting for the establishment of
the benefits of the “life in Christ” will occur only after the
these regular practices in Muh:ammad’s own example; thus,
Day of Resurrection. Hence, true life can be appropriated in
Muh:ammad’s life becomes the model life par excellence.
the present time only in the form of hope (Rom. 5:1–11, 1
Cor. 15). Whereas the letter of the law kills (i.e., destroys the
Many Muslim thinkers have argued that following this
freedom of life in the spirit), the spirit gives life (2 Cor. 3:6).
Five-Pillar structure is the most life-giving practice, infusing
Where the spirit is present there is life, eternal and indestruc-
the world with a sense of God. The rich S:u¯f¯ı mystical tradi-
tible (2 Cor. 3:17f.). This life is embodied in and offered
tion frequently emphasized the recollection of the Name of
through the preached word (kerygma), the “power of God for
God as a particularly enlivening custom, in which God’s
salvation to all those who have faith” (Rom. 1:16).
merciful light could be shown on the faces of those engaged
in prayer. All of the nature of creaturely existence can be
According to Augustine, the wide panorama of living
known only when one fully surrenders to God—thus the Ar-
beings is distinguished by the divine creator according to a
abic word slm, or surrender, from which we derive the words
hierarchical order of existence. At the lowest level are the
“Muslim” and “Islam,” also implies knowledge of the nature
merely nutritive life forms such as plants, devoid of sensibili-
of life itself.
ty or consciousness. Then come sentient forms of life, devoid
of mind or soul, such as cattle, birds, and fishes. Third, there
The more orthodox Sunn¯ı and Sh¯ıEah traditions also
is the human being, the crown of God’s created order by vir-
taught that ritual prayer and ritual acts in general give one
tue of his possession of mind and will. Ultimately, transcen-
a deeper sense of this life and of the life to come. The great
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIFE
5447
twelfth-century lawyer and theologian al-Ghaza¯l¯ı writes that,
(sam:sa¯ra), results from the confusion of the finite and evanes-
during the ritual preparation for prayer, each person should
cent self (a¯tman) with the absolute, unchanging self of the
say, “Oh God, I am purposing to read Your Book and to
universe (also called a¯tman, but also brahman). This phe-
have Your name many times on my lips; through the stead-
nomenal self or human personality is composed of five
fast word make me steadfast in this life and the world to
sheaths or layers of faculties, which account for a person’s
come.” (The Beginning of Guidance, 8).
conscious existence and which, if identified egoistically as the
ultimate basis of reality, serve as the causal basis of rebirth
The value of human life is emphasized in the QurDanic
(sam:sa¯ra). The cyclical recurrence of rebirth can be terminat-
dictum that “If anyone slew a person it would be as if he slew
ed, and permanent liberation achieved, only after the person
the whole of humankind, and if anyone saved a life it would
has come to a transformative knowledge (prajña¯) of the quin-
be as if he saved the life of all of humankind.” (S´u¯ra 5.32)
tessential identity of the human self (a¯tman) and the self of
In addition, the QurDa¯n often mentions the physical resurrec-
the universe (a¯tman /brahman).
tion of the dead at the end of time. “Does man think that
we cannot assemble his bones? Nay we are able to put togeth-
The Bhagavadg¯ıta¯ attempts a synthesis of Vedic and
er, in perfect order, the very tips of his fingers.” (S´u¯ra
Upanis:adic conceptions of the world and creaturely exis-
75.1–2) Thus, the creation of life and resurrection are imagi-
tence. The G¯ıta¯ embraces the view that the life of the cosmos
natively linked.
and all its inhabitants is the result of the formative activities
H
of God, who appears here in the form of Kr:s:n:a. Kr:s:n:a is both
INDUISM. The Vedas (c. 1500–900 BCE), the earliest strata
of Hindu texts, attribute the creation of the life-world to a
the womb of the universe and its final resting place
variety of divine agents or cosmogonic entities, with no ap-
(Bhagavadg¯ıta¯ 7.6). He is the primal spirit (purus:a), the
parent compulsion toward consistency among the many the-
source of all beings (10.8), the seed of all creatures (7.10,
ories of creation. The cosmos was believed to have originated
10.39), and the universal father who plants the seeds from
from the primordial sacrifice of a cosmic superman (purus:a)
which all living entities arise. The world, in turn, is God’s
and the distribution of the parts of his body throughout the
body (11.7). All beings abide in him (9.6). Hence, all states
universe to form the sun, moon, stars, sky, earth, and so forth
of existence arise from God alone (10.5). Abiding within the
(R:gveda 10.90). Alternatively, the universe arose from the
hearts of all beings and by means of his celestial power of cre-
mysterious breathing, windlessly, of “That One” (tad ekam)
ation (ma¯ya¯), he causes them to revolve (sam:sa¯ra) around the
within the realm where “there was neither existence nor non-
circuit of rebirth as though they were mounted on a machine
existence” (R:gveda 10.129), or it resulted from the fragmen-
(18.61).
tation of a primordial “Golden Germ” (hiranyagarbha) float-
When the life process is viewed sub specie aeternitatis,
ing upon the cosmic ocean (R:gveda 10.121). At least one sage
God projects creatures into being, time after time, by means
expressed skepticism that the origins of the world can be
of his material nature (prakr:ti) through the instrumentality
known even to the highest deity (R:gveda 10.129.7).
of his magical power (ma¯ya¯). He implants spirit (purus:a)
The Brahmanas (c. 800
within the physical organism as the basis for the experience
BCE), liturgical manuals em-
ployed by Brahmanic priests, attribute the creation of the
of pleasure and pain. The human being, in turn, appropriates
universe and its multitudinous inhabitants to a god ad-
the material nature of God by identifying with the three
dressed as Praja¯pati (“lord of creatures”). The later traditions
strands (gunas) of creaturely existence (passion, lethargy, and
recorded in the Hindu epics and Pura¯n:as explain the creation
mental clarity), rather than with the a¯tman, which is the spir-
of the universe as the work of other deities, each regarded
itual essence of the divine nature.
as supreme among a pantheon of other gods. Chief among
Human beings, then, are bound to the factors of materi-
these are Vis:n:u, S´iva, and Dev¯ı (the Goddess), each wor-
al nature. Their emotional and appetitive attachment to
shiped under many different names and in many different
these factors provokes them to perform egoistical actions
forms. The actual task of making the world, however, is still
(karma), which bind them to self-deluding ignorance and,
often assigned to the god Praja¯pati, usually under his later
thereby, to the round of death and rebirth. They are bound
name, Brahma¯, now regarded as a minor god under the di-
by their own past actions and also, paradoxically, by the will
rection of one of the supreme gods.
of God, who controls the ultimate course of events through-
out the universe.
In the Upanis:ads, the basis of Veda¯nta, the focus shifts
from cosmology to spiritual psychology, from accounts of
Once the embodied soul transcends the three strands
the origin and operations of the universe to the birth, death,
that arise from physical existence, it is freed from bondage
and rebirth of the human soul (a¯tman). It is also here that
to death and rebirth and, in the end, it achieves immortality
the Hindu doctrines of karma and rebirth burst into full
in God. Those persons who renounce the fruits of their ac-
flower. From the Veda¯ntic perspective, creaturely existence
tions and submit themselves completely to the divine will
(including that of the gods) is the direct result of action
pass beyond the sphere of sorrow and death and arrive at the
(karma) performed in past lives in a state of metaphysical ig-
final termination of the cyclical life process to enjoy eternal
norance (avidya). This ignorance, which pervades the exis-
bliss (a¯nanda) in perfect union with the godhead. This tradi-
tence of all creatures and is the cause of transmigration
tion, in which union with God through passionate commit-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5448
LIFE
ment is the aim of life, is frequently referred to as bhakti, or
backdrop of the one, unchanging reality (called nirva¯n:a,
devotion.
“cessation,” or ´su¯nyata¯, “emptiness”), the aggregates or com-
BUDDHISM. The Buddha himself declared that the search for
ponents of life are discovered to be an ever-fluctuating
answers to all metaphysical questions concerning life (Was
(hence, unreal) succession of psychosomatic events.
the universe created by God or is it eternal? Is the source of
But the Buddha’s teaching concerning the nature of
birth and death traceable to a divine agent? Does the human
creaturely existence becomes fully comprehensible only
soul survive the death of the body?) is detrimental to the
when interpreted within the context of the doctrine of cau-
human quest for lasting peace and contentment. The sole
sality or the universal law of karma. The Buddhist view of
raison d’être of the whole of his life and teachings was the
causation, succinctly stated, is as follows: “When this is pres-
identification of the human cause of human misery and the
ent, that comes to be; from the arising of this, that arises;
means to its permanent eradication. In one sense, therefore,
when this is absent, that does not come to be; on the cessa-
it could be said that the Buddha was one of the first propo-
tion of this, that ceases” (Samyutta Nika¯ya 2.28).
nents of a philosophy of life.
The law of causation, which governs the coming to be
The Buddha declared that creaturely existence is charac-
and passing away of all forms of life, is depicted through the
terized by three distinguishing marks or factors: imperma-
image of the wheel of life and death (sam:sa¯ra - man:d:ala). The
nence (anitya, Pali anicca), suffering or unsatisfactoriness
wheel is composed of two causally interlocking aspects or
(duh:kha / dukkha), and no-selfhood (an a¯tman / anatta¯).
links in a chain of causes and effects. Each of the pairs of links
With this teaching, the Buddha undercut, by a single stroke,
in the chain is dependent, causally, upon the one or ones pre-
the Hindu Veda¯ntic conviction that the life-world (nama-
ceding it, and each, in turn, is a precondition for the link or
ru¯pa), with its myriad of arising and perishing creatures, is
links that follow it. In this way, the two aspects of existence
established upon a single, universal, eternal, and unchanging
form a closed circle.
reality (a¯tman-brahman).
Again, properly understood, the doctrine of causation
While the Buddha embraced the twin Hindu beliefs in
(or dependent co-origination) is to be viewed not as a set of
dharma/dhamma (the universal law that governs the opera-
abstract metaphysical principles but as the theoretical basis
tions of the entire life-world) and karma (the principle that
of a therapeutic system by means of which the infirmities of
all past actions condition all current life situations), he radi-
sentient existence can be diagnosed and an antidote adminis-
cally redefined both concepts by rejecting the notion of an
tered. By demonstrating that the miseries of existence (death
eternally enduring and unchanging soul or self. In place of
followed by rebirth) arise out of a series of finite conditions
the Veda¯ntic notion of soul, or a¯tman, he declared that the
governed by a state of ignorance (avidya), the teaching of
human personality is constituted of five aggregates (skand-
causation defines the various points at which the succession
has) or clusters of physical and psychological factors that
of causally related symptoms can be broken and a cure
form the core of human consciousness and behavior. The
achieved. Such a view of conquering ignorance proved to be
five groups of factors are:
compatible with other indigenous views of life where Bud-
1. The body (ru¯pa), or physical context of sentient exis-
dhism traveled, such as the idea of kami, or life force in
tence.
Japan, or the Bon practice of life-giving visualization in
2. The feelings (vedana), or physical and psychological
Tibet.
sensibilities.
According to the teachings of Buddhism, therefore, the
3. The perceptual group (samjña), from which arise the
ultimate objective of human existence is to become conscious
perceptions of physical objects.
of and transcend all thoughtless desires, obliterate the causes
of ignorance, suffering, and rebirth, and thereby to terminate
4. The mental factors (sam:ska¯ra¯s), or tendencies of mind
the ever-recurrent cycle of death and rebirth in the bliss of
and will in combination.
nirva¯n:a.
5. The consciousness proper (vijña¯na), the property of
CONCLUSIONS. Human beings realize the aims of their exis-
awareness in the fullest personal sense of the term and
tence through the medium of self-consciousness. Their pos-
the factor that binds together the other elements to form
session of the faculty of self-consciousness enables them to
a unified personality.
exercise the capacity to transcend the sheer flux and flow of
It is these five collections of psychosomatic factors, therefore,
sensual experience and to reflect upon the nature of their ex-
that constitute the functional apparatus of all human beings,
istence, its origins, and the direction they wish it to take.
the operations of which account for the birth, existence,
Hence, they can imagine other ideal states of existence that
death, and rebirth of each person. Nor are these factors to
are preferable to the one in which they find themselves at any
be thought of as real and permanent entities. They are physi-
given moment. They can, then, exercise their will in choos-
cal and mental components of life that condition the multi-
ing among preferred states in hope of bringing those states
tude of situations under which a person exists within each
closer to realization. For many people, mere physical survival
moment of consciousness. Ultimately, viewed against the
is not an adequate legitimation of human life. They find
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIFE
5449
human existence acceptable only when it can be experienced
effects of the slave trade. “Life” in these religious contexts
within the framework of a meaningful and purposeful order.
must also be viewed politically and historically.
For many religious people, a meaningful life is predicat-
Many religious traditions also distinguish between an
ed upon the confidence that the world and all the creatures
imperfect and ultimately unsatisfactory state in which
who inhabit it are the handiwork of divine creative forces or
human existence is set, and a more satisfying, long-lasting,
beings, who also, in some cases, are believed to provide a cos-
and fulfilling state beyond the grave (variously referred to as
mic milieu that is hospitable to the growth of plant, animal,
Heaven, Paradise, the Pure Land, the Land of the Blessed,
and human species. Such people look to a transhuman order
the state of enlightenment, or nirva¯n:a), toward which
of being for the revelation of the basic structure of the uni-
human life, in response to its loftiest aspirations, is striving.
verse and of the moral and spiritual laws that govern its vari-
Among the world’s religions, certain traditions within Juda-
ous operations. For them, even the performance of such
ism, Christianity, Islam, Hinduism, and Maha¯ya¯na Bud-
commonplace activities as eating and dying, working and
dhism teach that access to this loftier, purer, and more en-
sleeping, marriage and reproduction is patterned after celes-
during postmortem existence comes in the form of a gift, or
tial or transtemporal models. Other traditions have taught
an act of grace on the part of God, or some other celestial
that life and death are inextricably interconnected aspects of
bearer of salvation.
a single reality and that all beings exist under the inexorable
How can we define life in the religious context? The
law of mortality. Most religious and cultural institutions that
very act of posing the question produces an initial sense of
compose the fabric of the social life of a people (from temple
bafflement and perplexity. Augustine’s statement that he
or church to family and educational system, from fertility
knows the meaning of the term love until asked to define it
and puberty rites to funeral and ancestral ceremonies) have
could be echoed in this context. Yet the vast array of seman-
been established in response to the recognition that finitude
tic values that have been attributed to the word for “life” in
and death are inescapable realities. Such religious communi-
the various languages of humankind might lead us to con-
ties sanction these and all other institutions in the belief that
clude that a precise, distinct, and universally acceptable con-
the élan vital that undergirds and nourishes all living beings
cept need not accompany the use of the term. Instead, merely
can be augmented and either the event of death can be post-
asking the question brings in its wake a sense that life is a
poned or the remaining period of life can be enriched by
realm of endlessly self-perpetuating novelties, in which the
means of these performative rites.
solution to any given problem gives rise to a plethora of other
In addition, many religious traditions embrace social
questions. These questions force us to seek further for addi-
history, or their own version of such history, as a crucial ele-
tional answers or, at least, to search out more intellectually
ment that gives meaning to life. For example, during the
refined, morally elevating, and spiritually salutary ways of
Passover Seder, Jews recite the life of the Israelites wandering
pursuing the quest.
in the desert as if they, too, were present. Historical reality
SEE ALSO Afterlife; Archetypes; Breath and Breathing;
becomes meaningful religious reality. Many Native Ameri-
Nirva¯n:a; Sacrifice; Soul, article on Christian Concepts; Sub-
can groups now tell their mythical histories in such a way
altern Studies.
that they end with recent social history, especially the ways
in which colonial practices have stolen powers of life inherent
BIBLIOGRAPHY
in the earth and the world of nature.
Creation
Colonial and postcolonial realities, too, play a role in
Eliade, Mircea. Birth and Rebirth. New York, 1958.
contemporary religious traditions’ views of what is and is not
Gleiser, Marcello. The Dancing Universe: From Creation Myths to
life-giving. For some, the work of Christian missionaries has
the Big Bang. New York, 1997.
created a permanent shift in worldview in postcolonial times;
Harvey, Graham. Indigenous Religions: A Companion. New York,
previously colonized peoples must choose which god is more
2000.
life-giving than another. The African thinker Bolagi Idowu
Leeming, David Adams. A Dictionary of Creation Myths. New
writes of African converts “with two Gods in their hands,”
York, 1995.
who are therefore “peoples of ambivalent spiritual lives.”
Ideas of life and human flourishing look very different in
Lincoln, Bruce. Myth, Cosmos and Society: Indo-European Themes
of Creation and Destruction. Cambridge, Mass., 1986.
countries that have been colonized, where dominant/colonial
and indigenous traditions have been engaged in ultimate
Long, Charles H. Alpha: The Myths of Creation (1963). Reprint,
struggles and negotiations for power, detente, or even simple
Chico, Calif., 1983.
coexistence. Christian traditions of resurrection may take on
Olupona, Jacob K. Beyond Primitivism: Indigenous Religious Tradi-
aspects of indigenous ideas about life-giving ancestors; so,
tions and Modernity. New York, 2004.
too, indigenous practices may take on healing and life-giving
Sproul, Barbara C. Primal Myths: Creating the World. San Francis-
powers of Christian saints. The practice of Santeria, in both
co, 1979.
America and the Caribbean, is one example of such a merg-
Von Ditfurth, Hoimar. The Origins of Life: Evolution as Creation.
ing of traditions in the wake of the colonial and postcolonial
San Francisco, 1982.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5450
LIGHT AND DARKNESS
Native Americas
O’Flaherty, Wendy Doniger, with Daniel Gold, David Haber-
Hultkrantz, Ake. Native Religions of North America. San Francisco,
man, and David Shulman, eds. and trans. Textual Sources for
1987.
the Study of Hinduism. Chicago, 1990.
Jones, David M., and Brian L. Molyneaux. The Mythology of the
Buddhism
Americas: An Illustrated Encyclopedia of Gods, Spirits, and Sa-
Harvey, Peter. An Introduction to Buddhism: Teachings, History,
cred Places in North America, MesoAmerica, and South Ameri-
and Practices. Cambridge, U.K., 1990.
ca. New York, 2001.
Kalupahana, David J. A History of Buddhist Philosophy: Continui-
Sullivan, Lawrence E. ed., Native Religions and Cultures of North
ties and Discontinuities. Honolulu, 1992.
America: Anthpology of the Sacred. New York, 2000.
Lamotte, Etienne. History of Indian Buddhism: From the Origins
Versluis, Arthur. Native American Traditions. Shaftesbury, U.K.,
to the Saka Era. Translated from the French by Sara Webb-
1994.
Boin, under the supervision of Jean Dantinne. Louvain-la-
Australia and Indonesia
Neuve, France, 1988.
Charlesworth, Max. Religious Business: Essays on Australian Aborig-
J. BRUCE LONG (1987)
inal Spirituality. Cambridge, U.K., 1998.
LAURIE LOUISE PATTON (2005)
Geertz, Hildred.The Life of a Balinese Temple: Artistry, Imagina-
tion, and History in a Peasant Village. Honolulu, 2004.
Kipp, Rita Smith. Indonesian Religions in Transition. Tuscon,
LIGHT AND DARKNESS
Ariz., 1987.
are basic natural phe-
nomena as well as symbolic or metaphorical meanings that
Pattel-Gray, Anne. Aboriginal Spirituality: Past Present and Future.
are often equated with the pairs of Being and Non-Being,
Blackburn-Victoria, Australia, 1996.
primordial chaos and world order. According to the most an-
Africa
cient conceptions from the early civilizations of the Middle
Blakely, T.D., Walter E. A. van Beek, and Denis L. Thomson,
East, light and darkness are experienced in rhythmical alter-
eds. Religion in Africa: Experience and Expression. London,
nation and hence as being contingent on each other. Dark-
1994.
ness is the mysterious, impenetrable ground and source of
Evans-Pritchard, E. E. Nuer Religion. Oxford, 1956.
light; and light becomes associated with creation. It grants
Gyekye K. African Cultural Values: An Introduction. Accra,
and is therefore a symbol for the primal conditions of life:
Ghana, 1996.
warmth, sensuality, and intellectual and spiritual enlighten-
Mbiti, John S. African Religions and Philosophy, 2d ed. Oxford,
ment. In the course of the history of ideas, however, another
1990.
concept was developed, in which darkness is an outcome of
Olupona, J.K., ed. African Traditional Religion in Contemporary
failure within the creational process.
Society. New York, 1990.
If light and darkness are interpreted as alternate stages
Islam
relieving one another, they are viewed as complementary
Martin, Richard, Editor. Encyclopedia of Islam and the Muslim
rather than oppositional. Stipulating one another’s occur-
World. New York, 2004.
rence, both are necessary phases of the life cycle that is alto-
Rahman, Fazlur. Islam. Chicago, 1979.
gether perceived as a harmonious totality. While the passage
Ruthven, Malise. Islam in the World. New York, 2000.
from light to darkness is performed without further prob-
lems, the reemergence of light out of darkness is precarious.
Judaism
Therefore, the vanishing of light into darkness has always
DeLange, Nicholas. An Introduction to Judaism. Cambridge, U.K.,
caused anxieties and given rise to special rites and precau-
2000.
tions. However, even with such implications, this conceptu-
Epstein, Isadore. Judaism: A Historical Presentation. London,
alization of light and darkness needs to be distinguished from
1966.
the other, later one, in which the predominance of light no
Neusner, Jacob, ed. The Blackwell Companion to Judaism. Lon-
longer means its ever-new salvation through but its final sal-
don, 2000.
vation from darkness. Ideas about the possibility of a total,
Christianity
eternal victory over and abolition of darkness come along
Nystrom, Bradley Paul, and David Paul Nystrom. The History of
with a worldview that has detected a fundamental corruption
Christianity: An Introduction. Boston, 2004.
of and within creation. Its flaws result from the mixture of
Tillich, Paul. A History of Christian Thought. New York, 1968.
light and darkness, which happened accidentally and against
Weaver, Mary Jo, with David Bernhard Brakke and Jason Bivins.
the original plan. Such a concept—it may be called binary
Introduction to Christianity. Belmont, Calif, 1998.
or dualistic as opposed to the original complementary con-
cept—does not interpret light and darkness in a mutual con-
Hinduism
Flood, Gavin, ed. The Blackwell Companion to Hinduism. Malden,
ditionality and, accordingly, in their relativity, but as only
Mass., 2003.
self-identical, irreconcilable entities rather than states.
King, Richard. Indian Philosophy: An Introduction to Hindu and
This considerable change in conceptualizing light and
Buddhist Thought. Washington, D.C., 1999.
darkness as well as other comparable polarities (male-female,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIGHT AND DARKNESS
5451
right-left, heaven-earth, day-night, sacred-profane, exoga-
Egypt. After the reinstallation of Egyptian polytheism in the
mous-endogamous, truth-falsehood, and so on) is observable
Ramessid era, theologians developed a new, monistic con-
from about the sixth century BCE and may be explained by
cept, according to which sun and Sun-God were only expres-
the emergence of transcendental, logical thought, which
sions of the visible side of reality, whereas the source of exis-
characterizes the “Axial Age,” according to Karl Jaspers and
tence was the secret divinity shrouded in darkness. Later, the
adherents of his cultural theory (Benjamin Schwartz, Shmuel
same idea became prominent in Hermeticism, the various
Eisenstadt, and others).
mysticisms of the Western world (including Islam), and in
Esotericism. Sun worship and symbolism also figured in
While complementary notions of light and darkness,
Mesopotamian religion and established themselves—
which can be studied, for example, in ancient Egyptian reli-
probably because of Asian influences—in later Roman reli-
gion, always stick to imageries resulting from close observa-
gion, with the great Roman festival of Sol Invictus
tion of natural processes, the dualistic concept is largely inde-
(“invincible sun”) subsequently becoming the date of the
pendent from the appearances of light and darkness in the
Christian celebration of the Nativity.
cosmos, as will be shown in the discussion of Iranian, Gnos-
tic, and Manichaean ideas below.
The complementarity of light and darkness was most
HISTORY OF RELIGIONS. Many cosmologies begin their ac-
radically formulated and transferred into ritual life in the an-
counts of the creation with the emergence of light (or the sun
cient religions of Mesoamerica. According to Mayan and
or an equivalent light principle) out of a primeval darkness,
Aztec belief, the continuation of the sun, light, and world
and conversely many mythologies describe the end of the
order could even for a limited time only be guaranteed by
world as a twilight or darkness of the gods, that is, the disap-
sacrifice of godheads and humans. Ages of creational order,
pearance of light in a final darkness that engulfs all. There
which were cyclically replaced by periods of chaos and dark-
is an obvious connection between light and the sun as the
ness, were initiated through an archetypal act of self-sacrifice.
source of light, though not all gods of light are always and
After its sacrificial death, a mythical figure appeared in the
necessarily solar deities. Nevertheless, perhaps because of the
east as the sun and established itself as the ruler of the world.
conspicuous presence of sun, moon, and stars, these celestial
In order to persist, it needed the sacrificial blood of humans.
bodies often appear as manifestations of the gods. There
Finally, however, the sun would not be able to resist the at-
seems to be a correlation between light and the “ouranic”
tacks of enemy gods and the whole cosmos would perish in
gods of the heavens, on the one hand, and between darkness
an apocalyptic cataclysm.
and the “chthonic” gods of the earth and the underworld,
In ancient Iranian religion, the empirical, natural polari-
on the other. Originally, there appears to have been no ethi-
ty of light and darkness is of surprisingly little importance.
cal valuation of the opposition between light and darkness,
Attributes of light are ascribed to Ahura Mazda¯, the Lord
but since the sun above is also all-seeing, he (that is, the god
Wisdom and highest god of the sky; to Asha, the implicit
connected with the sun) becomes guardian of the law, of the
order of the world; and to paradise and afterlife. Yet, the
faithful keeping of treaties, of justice, and ultimately also of
devas, evil spirits and enemies to Ahura Mazda¯, are also of
the ethically good.
shining quality. In Zoroastrian literature it is explicitly stated
Generally speaking, light serves as a symbol of life, hap-
that Ahura Mazda¯ figures as creator of both light and dark-
piness, prosperity, and, in a wider sense, of perfect being. As
ness. Thus, despite the blatantly dualistic structure of Iranian
a symbol of life, light can also serve as a symbol of immortali-
religion, a light-and-darkness dichotomy was not obtrusive
ty. Darkness, on the other hand, is associated with chaos,
in it. This might be explained by the high degree of abstrac-
death, and the underworld. However, even if this polarity ap-
tion characterizing the Zoroastrian faith in the morally good.
pears to the modern mind as an opposition with one positive
Compared to Egyptian and even to Greek thought, Zoroas-
and one negative side, it must not be forgotten that in non-
trianism made little use of natural imagery in its concept of
logical, complementary thinking the two are not exclusive to
Being as it is represented by Ahura Mazda¯ and of Non-Being,
each other. At a cosmic as well as at a social and individual
which is the domain of the latter’s enemy, Angra Mainyu.
level, darkness guarantees the continual existence of light by
Light is an attribute of many divinities. As regards the
its regular renewal.
religious history of the West, the eastern Mediterranean area
When light is personified and worshiped, it tends to be-
(Egypt, Syria, Mesopotamia) seems to have been the cradle
come associated either with the sun or with hearth fire, or
of many gods of light who gained considerable importance
both. Solar worship was central to ancient Egyptian religion.
in the Hellenistic period and played a major role in the mys-
Thus, the ancient Egyptian god Amun became identified, in
tery cults of the period, although here too it is difficult to
due course, with the sun god Ra as Amun-Ra (whose pre-
distinguish clearly between light and solar deities. Most mys-
decessor may have been Ra-Atum). As the sun god, Amun-
tery rites performed their function of mediating salvation by
Ra was threatened every day to be swallowed by Apophis, the
having the sun/light deity bring the “initiate” (must¯es) “from
serpent monster of darkness (the night). Amenhotep IV
darkness unto light.” Divine manifestations are usually de-
(Akhenaton; fourteenth century BCE) even attempted—
scribed as epiphanies of light. In the Magical Papyri, the gods
unsuccessfully—to impose a quasi-monotheistic sun cult on
frequently are endowed with light attributes, and in the col-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5452
LIGHT AND DARKNESS
lection of writings known as the Hermetic Corpus, spirit and
illumination (photismos)—a concept that came to play an in-
light are practically identical. In fact, as man rises to greater
creasingly important role in mysticism. The main connecting
spiritual heights “he is turned into light” (Corpus Herme-
link between philosophy and mysticism in the Hellenistic
ticum 13). Similar motifs are frequently mentioned in the In-
world, especially regarding the terminology and symbolism
dian Upanis:ads. Here too, Absolute Being (brahman) as well
of light, was Neoplatonism. The Neoplatonic system sup-
the mind through which spiritual knowledge is acquired, is
poses a downward movement of light in the course of the
identified as light. Accordingly, the central experience of the
creation process. This concept entails that the lower hemi-
inner self as identical with brahman is depicted as a light ex-
sphere, which is Earth, is heavier and darker than the upper
perience.
one; matter is thus considered light in a degraded condition.
Accordingly, the relationship between light and darkness is
Light symbolism in Western religions (including Islam)
was decisively influenced by Greek philosophy, which gave
here not construed as one of necessarily alternating states and
to light a simultaneously intellectual and ethical connota-
or as one of binary oppositions completely exclusive of each
tion. Here again it is difficult to distinguish sharply between
other; light and darkness are rather construed as different
light and sun symbolism or to evaluate the precise extent of
grades of the same substance.
the influence of Syrian and Egyptian sun cults. Greek philos-
Light symbolism spilled over from the mystery cults and
ophy seems to have shifted the meaning of light as a primal
the philosophical traditions to influence magic, Hermeti-
symbol of life to one of consciousness. For Minoan religion
cism, and Gnosticism. Some expressions of Hermeticism
it is still obvious that a sun cult was connected to tombs and
have inherited the Greek dichotomy of light and darkness,
the belief in an afterlife. For Greek philosophers, however,
even though the Hermetic tradition is genuinely rooted in
the sun as the “light of the world” represents mainly cosmic
the ancient Egyptian worldview, which is free of any depreci-
reason. Light also represents Wisdom since it is through her
ation of the material cosmos. The devaluation of matter had
that things are apparent. A particular feature, which then had
a more important impact on Gnosticism. Gnostic dualism
a great impact on the Western history of ideas, was the con-
equates the opposition of light and darkness with that of spir-
nection of the light and darkness theme with a presumed op-
it and matter, and hence tends to develop a hostile attitude
position between the physical and the spiritual.
to “this world,” which is the creation of an inferior or even
Some of the pre-Socratic philosophers took the light
evil power. Salvation consists in leaving behind this lower
and darkness dichotomy as a starting point for their meta-
world of darkness and rejoining the principle of light. Often,
physical speculations. While Anaximander (c. 610–550 BCE)
salvation is brought about by the supernal light principle (or
stated that becoming and decaying of all things were con-
a part of it) descending from above in order to redeem the
nected and Heraclitus (c. 500 BCE) still viewed change as the
particles of light (for example, souls) from the realm of dark-
only reliable norm of the world, Parmenides of Elea (sixth–
ness into which they have fallen and in which they are im-
fifth century BCE) attempted to trace one stable principle be-
prisoned. The idea of an inferior nature of the material,
hind or within the phenomenal oppositions like the one of
which had made its first appearance in Orphism and proba-
light and darkness. The method of pursuing this aim was,
bly from here entered the Platonic tradition, was intensified
however, not a mental reunification of empirical antago-
by the mythic imagery of a fall that had not been foreseen
nisms but, on the contrary, the confirmation of their hetero-
in the original plan of the creation. This dramatization of the
geneity and their separateness. Therefore, the ultimate reality
subsequent downward movement of the light rays or parti-
of Being, an opposite of which, according to Parmenides,
cles, which became impure only because of the distance from
does not exist, was to be sought beyond the visible world.
their source, led to an approximation of the Greek conceptu-
As a mediating and encompassing principle between light
alization of the light-darkness polarity to the Iranian type of
and night, Parmenides set up anank¯e (fate), who could still
glaring dualism in Gnosticism. Thus, the monism of the
be represented mythically by the goddess Aphrodite.
light, which was philosophically perceived as one substance
of different qualities, could very easily turn into a dualism
Pre-Socratic philosophy (for example, Parmenides, Py-
of two irreconcilable substances in Gnostic mythology. (It
thagoras) already associated light and darkness with the light
must be stressed here that this kind of light-darkness dualism
and heavy elements, respectively, and hence ultimately with
is not genuinely Iranian. It resulted from a fusion of Greek
spirit (soul) and matter (body). According to Plato (Republic
speculations about light and darkness and the Zoroastrian
506d), the idea of the Good (which illuminates the soul) in
overall dualism as the structure of the cosmos.) Gnostic texts
the supersensual world corresponds with Helios (the sun) as
present a wide range of interpretations of the light and dark-
the light of the physical world. The opposition of light and
ness theme. Some of the myths are heavily dualistic, while
darkness is thus not so much an ethical one as a distinction
other Gnostic treatises in a more philosophical style stress the
of degrees of purity between the higher world of ideas and
homogeneity of light and darkness.
its copy, the lower world. According to some thinkers, it was
the fire of the heavenly bodies that begot human souls. The
In Mandaeism and Manichaeism, a fundamentally du-
ascent from a low, material, “dark” existence to a higher,
alistic structure in conceptualizing the world was prevalent,
spiritual, and divine level of being is expressed in terms of
but this does not mean that light and darkness were conse-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIGHT AND DARKNESS
5453
quently subsumed under it. According to Mandaean myths,
“Let us walk in the light of the Lord” (Isa. 2:5); sun and
the sun, the moon, and the seven planets are evil beings, yet
moon will no longer be the sources of light, for “the lord shall
the splendid appearance of the King of Light is compared to
be unto thee an everlasting light” (Isa. 60:19). The associa-
the sun. In Manichaeism, too, light symbolism was strongly
tion of light and sun is preserved in many other biblical pas-
emphasized, but there were also lights of the cosmos that be-
sages, especially Malachi 4:20: “The sun of righteousness
longed to the reign of darkness. While the sun and the moon
shall arise.”
were very important light beings and played a considerable
Early Christianity inherited both the biblical and the
part in the salvational processes, the stars were considered
contemporaneous Hellenistic (philosophical as well as reli-
evil. This shows that the opposition between good and evil
gious) light symbolism. Christ was the sol iustitiae (see Mal.
in Mandaean and Manichaean religion was expressed by the
4:20), and hence there was nothing incongruous about cele-
light-darkness dichotomy, but good as light and evil as dark-
brating the Nativity on the date of the pagan Roman festival
ness could be attributed to different phenomena. Particularly
of the “invincible sun.” According to the Gospel of John
in Manichaeism, light and darkness became abstract qualities
(8:12), Jesus said of himself, “I am the light of the world,”
rather than appearances in the natural world. Similarly, there
and his followers would possess the “light of life.” Easter is
is no indication that the “King of the Darkness,” who at-
therefore celebrated with fire and light rituals. In the Roman
tacked the “Hemisphere of Light” and thereby initiated the
Catholic rite, the paschal candle is carried into a pitch-dark
Manichaean cosmogonic drama, represents the material
church with the thrice-repeated exclamation “Lumen Chris-
world or any particular realm of the universe; rather, he
ti.” In fact, the equation of God with the Absolute and the
seems to be opposed to any imaginable mode of existence.
pure light essence finds expression also in the creed where
The “Father of Greatness,” on the contrary, is the lord of the
the Son (Christ) is defined as “God of God, Light of Light,
world as it is known and experienced by human beings, even
very God of very God.” The Logos is also described as light
though it is infiltrated with particles of darkness in a meta-
in the prologue to the Gospel of John. Paul’s experience on
phorical sense. This observation confirms that the
the road to Damascus was a typical light experience.
Manichaean kind of symbolism does not generally correlate
to the appearances of light and darkness in the cosmos. Para-
The Jewish Qumran community had already divided Is-
doxically, Manichaeism turned the strictest kind of dualism
rael into “children of light” (to be ultimately saved) and
and light-darkness dichotomy ever developed in the history
“children of darkness” (doomed to eternal damnation)—a
of religions into a positive attitude toward nature and the
distinction that was subsequently taken over by Christianity.
cosmos. It is notable in this context that the same elements,
The Prince of Evil and Darkness, Satan, was originally an
namely fire, water, and wind, occur under the reign of light
angel of light, and hence one of his names is Lucifer (Gr.,
as well as under the one of darkness, while only air under
Phosphoros), literally “bearer of light.” The imagery is derived
darkness is corrupted as smoke.
from Isaiah 14:12, where the king of Babylon, who in his
overweening pride fell from glory to destruction, is called the
Of all the gnostic-type religions, Manichaeism empha-
morning star who fell from heaven. But the same term
sizes the light symbolism most. Since Manichaeism also pen-
(pho¯sphoros, “morning star”) is also applied to Christ in the
etrated Central Asia and even farther east, as far as China,
Second Letter of Peter. The expectation of the advent of
it is not impossible that certain forms of Buddhist light sym-
Christ was like “a light that shineth in a dark place until . . .
bolism were influenced by it. This must be particularly taken
the daystar arose” (2 Pet. 1:19).
into consideration with certain light- and sun-related repre-
sentations of the Buddha: the cosmic Buddha (Maha¯-
Practically all religions give symbolic expression—in
vairocana) in Vajrayana Buddhism, who is equated to the
mythology, worship, and iconography—of their valuation of
sun, and Amida (or Amita¯bha), the Buddha of Eternal Light
light as a symbol of blessing. Even when light and darkness
in Pure Land Buddhism.
are not diametrically opposed as two hostile principles but
are conceived as complementary cosmic modes and creative
Certain aspects of Manichaeism have analogies in Chris-
agents (the Chinese yin and yang), there is a marked prefer-
tianity, but the exact nature of these analogies and of the rela-
ence for light. Thus, yang is light, heaven, active, construc-
tionship between Christianity and gnosticism in general are
tive, masculine, while yin is the opposite. Chinese religious
still a matter of scholarly controversy. Surprising analogies
history, too, has its goddesses of light as well as its sects and
with the gnostic systems can also be found in the medieval
religious movements (including secret societies) in which
Jewish Qabbalah, especially in the form that it assumed in
light symbols play a role. There even was a women’s sect—
the sixteenth century.
officially classified as a “heterodox sect”—called the Light of
the Red Lamp, which gained some notoriety through its con-
The Hebrew Bible begins with an account of the cre-
nections with the Boxer Rebellion around 1900.
ation of light, followed by the creation of the sun and the
celestial bodies, but it has no original light or solar mytholo-
The significance of light is also illustrated by the ritual
gy. In due course, however, light became a symbol of divine
use of lamps or candles in temples, on altars, in or near
presence and salvation: “The Lord is my light and my salva-
tombs, near holy images, or in processions, and by the light-
tion” (Ps. 27:1); “In thy light we shall see light” (Ps. 36:10);
ing of fires on special occasions. Christmas has become a fes-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5454
LIGHT AND DARKNESS
tival of light; so is the Jewish H:anukkah, the Hindu D¯ıva¯l¯ı,
calls for a detailed account—Buddhist meditation systems
and many other rituals, festivals, and customs in both the an-
also lead through innumerable light spheres and worlds—
cient (compare, for example, the ancient Greek torch race
there is one noteworthy and highly paradoxical exception.
known as Lampadedromia or Lampadephoria) and the mod-
That is the doctrine of mystical darkness, variants of which
ern world.
can be found in many religious traditions. A comparable
concept becomes already apparent as the concealment of god
Light symbolism is also conspicuous in religious iconog-
raphy: saints or divine figures have a halo surrounding their
in the Ramessid theology during the New Kingdom of an-
head or their whole body or a flame above their head. This
cient Egypt (thirteenth century BCE). The idea can be inter-
is particularly conspicuous in Buddhist iconography, espe-
preted as a mystical translation of the mythical night. It can
cially in its Maha¯ya¯na forms (for example, in many
also be equated to qabbalistic Ayin (Nothingness), and Indi-
man:d:alas). Amida is easily identifiable by the halo of “infi-
an, Chinese, and Japanese concepts of Shunyata (Empti-
nite” rays emanating from his head. Similarly, the Buddha
ness). The Christian doctrine of mystical darkness appears
Maha¯vairocana (in Japan, Dainichi-nyorai), the “Great Illu-
first in the New Testament as Kenosis. Kenosis is mentioned
minator,” who radiates the most intense light, appears in
in Philippians 2:6 and presumably goes back to a pre-Pauline
many Tibetan man:d:alas as the radiant center. For many
source. It designates Christ’s negation of divine power in
Buddhist sects, such as the Japanese Shingon, he is the su-
order to take up the sufferings of humans and the whole
preme reality. In Japanese Buddhist-Shinto¯ syncretism, he
world in his own person. The concept of mystical darkness
was also identified with Amaterasu, the sun goddess (and
was then taken up and elaborated in the writings of Diony-
chief goddess) of the Shinto¯ pantheon. The holy city of Ba-
sius the Areopagite (probably c. 500 CE), a pseudonymous
naras in north India is also called Ka¯´s¯ı, “city of light.” From
writer whose mysticism combined Neoplatonic and Chris-
the seven-armed candelabrum in the Temple in Jerusalem to
tian elements. His influence, mediated to the medieval West
the secularized ritual of a permanently burning flame at the
by John Scotus Eriugena (c. 810–after 877 CE), was strongly
Tomb of the Unknown Soldier, the symbolism of light has
felt in the later Middle Ages. Philo Judaeus (c. 20 BCE–after
shown a power and persistence unparalleled by most other
42 CE) had already declared that the divine splendor was so
symbols.
radiant as to be blinding. For Dionysius, God is so utterly
unknowable, and his essence so utterly beyond our reach,
The QurDa¯n, too, has its famous “light verses.” In due
that all our knowledge of him is perforce “negative.” The ex-
course, a prophetic and ultimately metaphysical doctrine of
perience that he expounds in his Mystical Theology is essen-
light developed. With the assimilation of Neoplatonic phi-
tially an “unknowing.” It is beyond human thought. It is not
losophy into Islam after the ninth century, light began to be
light but, from the point of view of human understanding,
identified with the divine light principle (that is, the intellect,
utter darkness. (This doctrine reappears in the famous four-
according to some philosophical thinkers) emanating into
teenth-century English mystical treatise The Cloud of Un-
this world, a process corresponding to the elevation of the
knowing.) The sixteenth-century Spanish mystic John of the
human soul to the divine light. The ultimate goal of the mys-
Cross similarly describes the path of the soul to total union
tic is to behold the pure light and beauty of God. Light spec-
with God as the ascent through two “dark nights”: that of
ulations can be found among orthodox Muslim theologians,
mystics, and gnostics (including those that were suspected of
the senses (that is, loss of all discursive thought, feeling, and
gnosticizing heresies).
images) and that of the spirit. In other words, mysticism is
not the enjoyment of charismatic graces, illuminations, or
MYSTICISM AND ESOTERICISM. Enough has now been said
supernaturally infused higher knowledge. Using an Old Tes-
to indicate the special role of ideas and experiences of light
tament image, it is not the Pillar of Fire that went before the
(illumination, photismos) in mystical systems. It seems that
camp of the Children of Israel at night, but rather the Cloud
mysticism almost automatically resorts to a terminology of
of Darkness. In this tradition, we do not, however, deal with
light. Greek Orthodox mystical theology emphasizes the
an option of darkness as opposed to light in the ordinary
doctrine of the divine, “uncreated light” through which the
sense but rather with a dialectically paradoxical response to
mystic achieves union with God. The New Testament ac-
the traditional and commonplace “mysticism of light,”
count of the transfiguration of Christ (Luke 9) supplied the
which is here represented as totally inadequate to describe
basis for this mystical theology, and hence Mount Tabor is
the nature of the mystical union with the utterly unknowable
one of its central symbols. This doctrine, rejected as heretical
absolute divine transcendence. Even more thoroughly, the
by the Roman Catholic Church, exhibits some interesting
Persian Suf¯ı Muhammad G¯ılan¯ı La¯h¯ıj¯ı (died c. 1506 CE)
analogies with the qabbalistic doctrine of the sefirot. Sufism,
explained the experience of divine oneness by use of a para-
especially its Persian branch in the fourteenth century CE,
doxical merging of light and darkness in terms like “Black
unfolded an original way of speculation about mystical sig-
Light” (nur-e siya¯h) or “Bright Night” (shab-e rowshan).
nificances of light and darkness in their relation to the Sufic
doctrine of the oneness of existence (wahdat al-wujúd).
SEE ALSO Dualism; Manichaeism, overview article; Moon;
While mysticism of light and illumination (cf. the tech-
Mystical Union; Nimbus; Sol Invictus; Stars; Sun; Via
nical term via illuminativa) is a commonplace that hardly
Negativa.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
L¯ILA¯
5455
BIBLIOGRAPHY
or are necessitated by the retributive impetus of the actor’s
Apart from the entries “Light and Darkness” by J. A. MacCulloch
previous deeds (karman) or by the requirements of duty. Be-
et al. in the Encyclopaedia of Religion and Ethics, edited by
cause God forever possesses all, he has no wants and no de-
James Hastings, vol. 8 (Edinburgh, 1915), Gustav Mensch-
sires. His ever-desireless acts entail no retribution. He is not
ing’s, “Die Lichtsymbolik in der Religionsgeschichte,” in
the instrument of duty but duty’s creator. The spontaneity
Studium Generale 10 (1957): 422–432, and “Licht und Fins-
and autonomy of his actions are absolute.
ternis” by K.-W. Tröger, Bernd Janowski, and Kurt Erle-
mann in Die Religion in Geschichte und Gegenwart, 4th ed.,
The word l¯ıla¯, used in this theological sense, began to
vol. 5 (Tübingen, 2002), there are only specialized works
appear in Hindu religious literature in about the third or
that deal with the topic, and mostly only with light symbol-
fourth century CE. Partial sources of the concept are found
ism, in a certain religious tradition or even only in a certain
in earlier writings that mention, even in the Vedic age, the
text. Volume 18 (1965) of the German journal Studium
frolicsome nature of the gods and the ease and freedom of
Generale provides a number of separate articles on light and
their acts. The attribution of joyous freedom to the one su-
darkness in ancient Egyptian religion, ancient Iranian tradi-
tions, Greek poetry, and alchemy.
preme being made its appearance in the Upanis:ads in reports
of experiences of unity with the Divine that were expansive
Further single treatments are listed below:
states of blissful release from care. It was not in the monistic
Aalen, Sverre. Die Begriffe Licht und Finsterniss im Alten Testament
systems, however, but in the great Hindu monotheisms that
im Spätjudentum and im Rabbinismus. Oslo, 1951.
the notion of divine sportiveness became a major concept.
Bultmann, Rudolf. “Zur Geschichte der Lichtsymbolik im Alter-
Even the worshipers of S´iva—a violent and dangerous deity
tum.” Philologus 97 (1948): 1–36.
not easily credited with playfulness—explained the universe
Cumont, Franz. Lux perpetua (1949). New York, 1985.
as formed in the gyrations of a cosmic dance in which, as
Nat:a¯raja, or Lord of Dancers, S´iva ecstatically creates and
Filoramo, Giovanni. Luce e gnosi. Rome, 1980.
sustains and destroys. The elaboration of the idea of l¯ıla¯ into
Fröbe-Kapteyn, Olga. Alte Sonnenkulte und die Lichtsymbolik in
a studied doctrine has been primarily the work of the
der Gnosis und im frühen Christentum. Zurich, 1943.
Vais:n:ava tradition; in particular, the cult of Kr:s:n:a as Gopa¯la,
Goodenough, Erwin R. By Light, Light: The Mystic Gospel of Helle-
the young cowherd, carried the teaching of l¯ıla¯ to its most
nistic Judaism. New Haven, 1935.
advanced development. This later Kr:s:n:aism was shaped deci-
Izutsu, Toshihiko. “The Paradox of Light and Darkness in the
sively by the idea of l¯ıla¯ in almost every aspect of its religious
Garden Mysteries of Shabastar¯ı.” In Creation and the Time-
system—in its theology, its mythology, its mysticism, and its
less Order of Things. Essays in Islamic Mystical Philosophy,
conception of salvation.
pp. 38–65. Ashland, Ore., 1994.
THE THEOLOGY OF L¯ILA¯. The first appearance of l¯ıla¯ as a
Turner, Denys. The Darkness of God. Negativity in Christian Mys-
theological term is apparently a use of the word in the
ticism. Cambridge, 1995.
Veda¯nta Su¯tra of Ba¯dara¯yan:a (third century CE?). In 2.1.33
Wetter, G. P. Phos. Uppsala, 1915.
of that work the author defends belief in a personal Creator
Woschitz, Karl Matthäus, Manfred Hutter, and Karl Prenner. Das
against an objection that the God of monotheistic belief who
Manichäische Urdrama des Lichtes. Studien zu koptischen, mit-
is all and has all cannot be credited with creation, because
teliranischen und arabischen Texten. Wien, 1989.
persons create only in order to come into possession of some-
thing that they do not already have. The author replies that,
R. J. ZWI WERBLOWSKY (1987)
even in the ordinary world, some people carry out creative
JULIA IWERSEN (2005)
acts not for the satisfaction of any wants, but merely sportive-
ly, for the sheer joy of the activity itself. Faith in a personal
Creator is thus reasonable and possible.
L¯ILA¯ is a Sanskrit noun meaning “sport” or “play.” It has
The theological literature on l¯ıla¯ consists primarily of
been the central term in the Hindu elaboration of the idea
the commentarial writings on this passage that have been
that God in his creating and governing of the world is moved
written by the founders and other recognized scholars of the
not by need or necessity but by a free and joyous creativity
various Vais:n:ava sects. In the twelfth century, for example,
that is integral to his own nature. He acts in a state of rapt
Ra¯ma¯nuja illustrates the meaning of l¯ıla¯ by the example of
absorption comparable to that of an artist possessed by his
a great monarch who, though he has no unsatisfied desire,
creative vision or to that of a child caught up in the delight
sports enthusiastically on the playing field just for the amuse-
of a game played for its own sake. The latter comparison is
ment of the game. The Caitanyaite commentator Baladeva
the basis for speaking of God’s acts as l¯ıla¯, or sport. Although
compares the Creator’s activity to that of a healthy man just
the translation is the best available, the English word sport
awakened in the morning from deep sleep, who breaks into
is a rough rendering that suggests a frivolity not necessarily
a dance simply to express his own exuberance.
implied by the word l¯ıla¯. In the Hindu thought world in
which this term arose, the description of God’s acts as sport
Because all schools of Veda¯nta accept the Veda¯nta Su¯tra,
was intended to negate any notion that they are motivated,
in some fashion they must accept also its teaching on divine
like the acts of human beings, by acquisitive desire (ka¯ma)
sportiveness. The adherents of the illusionist school of Ad-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
L¯ILA¯
5456
vaita Veda¯nta have been obliged, of course, to understand
lighthearted havoc in his cowherd village, disposed of de-
the sports of God to have only such reality as belongs to the
mons with jocular nonchalance, and flirted with the cowher-
personal God himself. For them, the absolute being is not
desses with a daring naughtiness. About a century later these
in truth a person, nor in reality has any world been created,
whimsical stories were retold in the fifth book of the Vis:n:u
nor have any sports been performed. The teaching of l¯ıla¯ is
Pura¯n:a, where Kr:s:n:a’s antics are called l¯ıla¯s and the whole
provisional only, expressing how unenlightened persons
of his earthly career is described as his manus:yal¯ıla¯, or human
must understand the course of the apparent world so long
sport (5.7.38). About the ninth century CE these pranks were
as they remain under the influence of the deluding cosmic
fully elaborated in the tenth book of the Bha¯gavata Pura¯n:a,
ignorance (ma¯ya¯) that creates the appearance of a world that
a text that remains the foremost scripture of the family of
is false. Over against this illusionist cosmology those who
Vais:n:ava sects that worship Kr:s:n:a in the form of Gopa¯la.
fully embraced the l¯ıla¯ teaching were able to maintain that
The stories contained in the Bha¯gavata Pura¯n:a have been re-
the creative process is real and that the creation is not an ob-
told endlessly in dependent literature in the regional lan-
scuration but a manifestation of the nature of God. Indeed,
guages of India. The major poets of Hindi, of whom Su¯rda¯s
some Hindus have been able to use the l¯ıla¯ doctrine to sup-
was the greatest, have created in the Braj dialect an especially
port appreciation of the world in a spirit of religious wonder
honored literature on the sport of the child Kr:s:n:a. The at-
and to sustain a joy in living. But the general world-weariness
tractiveness of these myths has made the worship of Gopa¯la
of medieval India did not encourage such positive applica-
Kr:s:n:a one of the most prominent forms of Hinduism
tions. It was more common to use the idea of divine sportive-
throughout the past thousand years.
ness to domesticate the tragedies of life by reflecting that
In the Gopa¯la cult’s portrayal of Kr:s:n:a’s childhood be-
wealth and poverty, health and sickness, and even death itself
havior, the flouting of Hindu moral codes was a prominent
are apportioned to creatures by God in his mysterious play.
element already in the Vis:n:u Pura¯n:a, and the antinomian
The reasons for such fateful interventions are beyond human
tendency increased steadily thereafter. The stories of the
comprehension, but devotees who understand their fortunes
god’s infancy have remained relatively innocent in spirit, but
to be the sport of God will know that it is not blind fate that
the tales of his childhood and youth soon focused particular-
controls their lot, and hence they will accept their condition
ly upon his lying, stealing, violation of sexual taboos, and
as providential.
other mischievous tricks. His nocturnal flirtations in the ra¯sa
Some tension exists between the conception of God’s
dance with the gop¯ıs, or cowherdesses, and in particular with
sportiveness and the older picture presented in the
a gop¯ı named Ra¯dha¯, became more and more explicitly sexu-
Bhagavadg¯ıta¯ (3.21–25, 4.5–14) of God as acting in order
al. In recent centuries a major stream of Bengal Vais:n:avism
to assist devotees, to maintain righteousness, and to preserve
has insisted that Kr:s:n:a’s amours must be construed as adul-
the integrity of the world. Thinkers of the school of Caitanya
terous. At the same time the story of Kr:s:n:a’s dance with the
(1486–1533) have gone so far as to insist that God acts solely
gop¯ıs has become ever more important, a central and revela-
for his own sport and without thought of benefiting his crea-
tory mystery of the faith. The lesson that Kr:s:n:a worshipers
tures; creatures are in fact benefited by God’s sportive acts,
have drawn from this myth has been purely devotional, how-
but only because those acts are the pleasure of a supreme
ever: The ideal devotee must surrender the self to God with
being whose nature includes compassion. In other Vais:n:ava
a passion as total as that of the straying Hindu wife who,
circles it has been more common to see no difference be-
love-mad, sacrifices reputation and home and security in her
tween the two explanations of the divine motivation: God’s
ruinous devotion to a paramour.
sportive acts and his supportive acts are one because both are
L¯ILA¯ IN MEDITATION. The myths of Kr:s:n:a’s l¯ıla¯s provide the
done without calculation of any selfish gain that might be
mental material for most of the religious observances of the
made through them. Both are therefore desireless (nis:ka¯ma)
Gopa¯la cults. The purpose of their characteristic practices is
in terms of the ethical ideal of the Bhagavadg¯ıta¯, and between
to preoccupy the consciousness with visionary perception of
God’s l¯ıla¯ and his grace there is no inconsistency.
the l¯ıla¯s of Kr:s:n:a. Simple conditioning begins with partici-
L¯ILA¯ MYTHOLOGY. Although such Vais:n:ava reasonings
pation in assemblies where the stories are presented in dance,
could reconcile the old and new views of the divine motiva-
drama, the singing of narrative poetry, or the chanting of sa-
tion to each other at the level of theological doctrine, a lavish
cred texts. Brahman actors called ra¯sdha¯r¯ıs enact the sports
new mythology was arising in the same period that could not
of Kr:s:n:a in a Hindi drama called the ra¯sa-l¯ıla¯. Professional
be reconciled so easily with the narratives of earlier forms of
declaimers called kathakas, pura¯n:ikas, or katha¯va¯cakas read
Kr:s:n:a worship. The theological development of the l¯ıla¯ idea
out the scriptural tales and explain them publicly. Devotees
was overshadowed in mass and influence by a profuse litera-
move toward a more inward absorption in the l¯ıla¯s by quiet
ture that expressed the new conception of the deity in myth.
and reflective reading of mythological books. Aspiration to
A diversion of attention away from the earnest Kr:s:n:a of the
yet deeper Kr:s:n:a consciousness leads some further into elab-
Bhagavadg¯ıta¯ is evident in the Harivam:´sa Pura¯n:a, composed
orate meditational practices analogous to yoga, carried out
about 300 CE. Chapters 47 to 77 of that work relate for the
under the spiritual direction of a sectarian teacher. Because
first time a famous set of tales about how Kr:s:n:a as a child
yogic instruction has traditionally been confidential, and
disobeyed his parents, played tricks on his elders, spread
particularly because meditation in this tradition focuses
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
L¯ILA¯
5457
upon matter that is shockingly erotic by usual Hindu stan-
ecstatic state do not care whether they shall be taken into
dards, the pattern of these disciplines has remained secret to
transcendency on death or shall be reborn forever into the
an exceptional degree. A little can be learned from manu-
world. The usual anticipation, however, is mythological in
script works of early scholastic writers of the Bengal school,
its imagery. According to the Brahmavaivarta Pura¯n:a
however.
(4.4.78ff.), the sainted visionary will rise not merely to
Vaikun:t:ha, the paradise of Vis:n:u, but to its highest level,
One plan of meditation requires the devotee to follow
Goloka, the paradise of Kr:s:n:a. There the liberated become
in imagination the erotic interplay between Ra¯dha¯ and Kr:s:n:a
cowherdesses belonging to the sportive entourage of Kr:s:n:a.
through all the eight periods of the traditional Hindu day,
As delighted observers and helpers, they attend forever upon
from their arising in the morning to their retiring at night.
the love sports of Ra¯dha¯ and Kr:s:n:a, expressing through their
Another requires long focus of the inner imagination upon
joyful service their love for Kr:s:n:a as the center of all
one or another mythical meeting of the divine lovers in the
bowers, the meditator assuming the role of one of the female
existence.
attendants (sakh¯ıs) whose names are mentioned in late
Hindu critics of the notion of l¯ıla¯ have felt that it trivial-
Vais:n:ava legends. The hope of the meditator is to perceive
izes God’s motives and obscures his active benevolence as
his chosen l¯ıla¯ no longer merely in his imagination but in
savior. Ra¯ma¯nuja avoids the use of the word when not
its ongoing celestial reality. By meditating on the manifested
obliged to explain it in his role as a commentator on a sacred
(prakat:a) l¯ıla¯s that are known to all because Kr:s:n:a performed
text, and never mentions the mythology of the Bha¯gavata
them in the light of history when he descended to earth as
Pura¯n:a, which was already widely known in his day. The
an avata¯ra, it is possible to develop a spiritual eye and to at-
S´aiva theologian Uma¯pati in section 19 of his S´ivap
tain vision (dar´sana) of the same sports as they are being
Piraka¯cam declares that all five classes of divine activities rec-
played eternally in Kr:s:n:a’s transcendent paradise in unmani-
ognized in the system of S´aiva Siddha¯nta must be understood
fested (aprakat:a) form. It helps one’s meditation to take up
to spring from God’s gracious concern for the deliverance of
residence in the holy region of Mathura¯ because that earthly
souls, and that it is not permissible to say that S´iva’s acts of
city stands directly beneath the celestial city of that name
creation, preservation, destruction, and so forth, are his
where Kr:s:n:a sports unceasingly, and is its shadow and a
sports. Nor have the chief spokesmen of modern Hinduism
point of special contact between the two. Such contempla-
been attracted generally by the conception of l¯ıla¯ or by its
tions focus upon divine acts that have the form of human
myths. Swami Dayananda in his Satya¯rthapraka¯´sa denounces
sexual activities, and success in meditation involves the delib-
the sportive Kr:s:n:a and his supposed acts as immoral human
erate arousal and sublimation and use of the meditator’s own
fabrications. Moved by their social and civic concerns and
erotic sensibility. However, the divine love sports that medi-
influenced by the ethical stress in Christian theology, most
tators sometimes see are not understood to be acts of lust
modern Hindu leaders have preferred the morally earnest
(ka¯ma), but acts of spiritual love (pr¯ıti). It is believed that
Kr:s:n:a of the Bhagavadg¯ıta¯ to the pleasure-seeking Gopa¯la.
they will remain forever invisible to those who cannot rise
Yet a few have responded to the world-affirming implications
above longings that are carnal.
of l¯ıla¯ as a cosmological idea and have used it in interpreting
The religious experience that is idealized by this tradi-
the natural and human realms. In his book The Life Divine,
tion is exemplified in Nars¯ı Mehta¯, a Kr:s:n:a devotee of six-
Aurobindo teaches that the Lord as a free artist creates real
teenth-century Gujarat. His career as a major poet sprang
worlds and real beings, and sports with souls and in souls in
from a vision in which he found himself in a celestial region
order to lead his creatures to ever-higher levels of conscious-
at night, an attendant holding a blazing torch in his hand
ness. Rabindranath Tagore uses the language of traditional
and privileged to see the heavenly sports of Ra¯dha¯, Kr:s:n:a,
l¯ıla¯ teaching in testifying to his intuitions that a joyful, ever-
and the gop¯ıs. So fascinated did he become as he witnessed
creative God is continually revealing himself in the play of
their eternal dance that his torch burned down through his
natural forces and in the interactions of human beings (see
hand, he said, without his having taken any notice. In visions
his Gitanjali, poems 56, 59, 63, 80, and 95).
such as this, intense devotion to Kr:s:n:a is produced and
Appraisals of the l¯ıla¯ doctrine have usually recognized
devotees receive assurance of divine assistance and of final
its contribution to theology in providing a solution to an im-
liberation.
portant question in cosmology and in supporting a positive
L¯ILA¯ IN SALVATION. The idea of Kr:s:n:a’s eternal sport domi-
appreciation of the world and of life. On the other hand, the
nates the Gopa¯la worshipers’ understanding of the nature of
l¯ıla¯ idea has been condemned widely as a negative develop-
ultimate blessedness also. They do not expect a merging with
ment in Hindu ethics. The judgment assumes that thinking
the deity but participation forevermore in his celestial sports.
about God arises necessarily out of moral concern and must
It is a state of liberation that can be achieved by attaining
be applied immediately to the governing of the moral life.
on earth a state of total mental absorption in the l¯ıla¯s. The
The l¯ıla¯ literature is entirely separate, however, from the
schools of Vallabha and of Caitanya hold that such raptness
dharma literature that is the repository of moral guidance for
of attention is not a mere means of liberation but is the state
Hindus. The worshipers of the young Kr:s:n:a have never un-
of liberation itself, and say that those who truly attain this
derstood the sports of the god to be models for 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
5458
LILITH
actions. Indeed, the Bha¯gavata Pura¯n:a itself in 10.33.32f.
New Sources
admonishes ordinary mortals never to behave as Kr:s:n:a does,
The Gods at Play: Lila in South Asia. Edited by Williams S. Sax.
not even in their minds. The Kr:s:n:a cults have been orthodox
New York, 1995.
in their submission to the social patterns prescribed in the
NORVIN HEIN (1987)
Dharma´sa¯stras and the folk codes. Their sportiveness has
Revised Bibliography
manifested itself in cultic matters that are marginal to social
ethics: in the exuberance of their religious assemblies, in the
easy emotionality of their pathway of salvation through de-
LILITH. In postbiblical Judaism, Lilith is a female demon
votion, in the madcap behavior that they tolerate in their
who seduces men and kills unsuspecting children. Lilith (He-
saints, and in the spirit of abandon that pervades their fairs
brew, Lilit) became identified as Adam’s first wife, created
and pilgrimages and a few saturnalian festivals such as the li-
from dust to be her husband’s equal. As the name of a
centious Hol¯ı. The great problem with which this religion
demon, Lilit is etymologically related to the Sumerian lil
deals is not a chaotic world’s struggle for order, but the strug-
(“wind”) and not, as some once supposed, to the Hebrew
gle for emotional freedom in a world already firmly and try-
laylah (“night”). Yet like the Sumerian wind demon and her
ingly regulated. There is a clear correlation between the reli-
later Babylonian counterpart, lilitu, a succuba who seduces
gion of sportiveness and the closed world of caste, as
men in their sleep, Lilith is active at night, seizing men and
confirmed by the contemporaneity of their historical origins.
forcing them to copulate with her. In ancient Babylonian re-
Fascination with Kr:s:n:a’s l¯ıla¯s became strong in the
ligion, the lilitu has a male counterpart, the ardat lili, who
fourth century CE, when the writing of mature Dhar-
seduced women in their sleep. Both were once human, iden-
ma´sa¯stras had become a full tide and the rules of caste were
tified as women and men who died young and who after
being systematically enforced for the first time by brahmani-
death sought the husbands and wives they had never enjoyed
cal dynasties after centuries of foreign rule. Thereafter Hin-
in life. The figure of the Babylonian demon Lamashtu,
dus found little meaning in the Bhagavadg¯ıta¯’s call to save
known as a child slayer, eventually converged with that of
an anarchic world from disintegration; instead, they sought
the lilitu demon to form the image of Lilith.
release from bondage, and found it in new tales about Kr:s:n:a
as an irresponsible and irrepressible child. Seeking in the su-
In the Hebrew Scriptures, there is only one clear refer-
pernatural what was most desperately lacking in their lives,
ence to Lilith. Isaiah 34:14, describing the devastation of
what they now cherished most in Kr:s:n:a was the spirit of
Edom, maintains that Lilith shall be at rest in the desert,
sport. For many centuries, imaginative participation in the
among wild animals, screech owls, and satyrs. This reference
frolics of a boy-god helped them to endure the restrictions
to Lilith as demon is more fully developed in postbiblical
of the life of caste.
Jewish literature, where Lilith is one of the lilin, a class of
demons that includes both females and males. In the Babylo-
SEE ALSO Drama, article on Indian Dance and Dance
nian Talmud Lilith is portrayed as having a woman’s face,
Drama; Kr:s:n:a; Kr:s:n:aism; Ra¯dha¯; Vais:n:avism, article on
long hair (’Eruv. 100b), and wings (Nid. 24b). Her identity
Bha¯gavatas.
as demon is underscored in Bava’ Batra’ 73a, referring to the
demon Hormiz or Ormuzd as Lilith’s son, and in Shabbat
BIBLIOGRAPHY
151b, where men are warned against sleeping alone lest they
Banerjea, Akshay Kumar. “The Philosophy of Divine Leela.” Pra-
be seized by Lilith.
buddha Bharata 49 (1944): 275–281, 311–316.
Banerjea, Akshay Kumar. “The Conception of the Sportive Abso-
Pesahim 112b, warning men not to go out alone on
lute.” Prabuddha Bharata 56 (1951): 170–173, 216–218,
Wednesday and Sabbath evenings because of the presence of
258–261, 290–296. Banerjea’s articles provide the beginner
“Agrat, the daughter of Mahalat,” has been taken by some
with a useful philosophical introduction to the concept of
commentators as a further reference to Lilith. However, as
l¯ıla¯.
Gershom Scholem maintains in his essay on Lilith in the En-
Bäumer, Bettina. “Schöpfung als Spiel: Der Begriff L¯ıla¯ im
cyclopaedia Judaica (1971), the identification of Lilith with
Hinduismus, seine philosophische und theologische Deu-
Agrat, although both are night demons, seems to have no real
tung.” Ph.D. diss., Ludwig-Maximilians-Universität, Mu-
foundation. In a midrashic commentary on the Bible (Nm.
nich, 1969. This work is the sole monograph on the theolog-
Rab. 16.25), Lilith is portrayed as a child killer, slaying her
ical conception of l¯ıla¯. In her conclusion, the author provides
own children when no others are available to her.
a comparison with Christian cosmogonies.
The liliths, as a class of demons, appear many times on
Coomaraswamy, Ananda K. “L¯ıla¯.” Journal of the American Orien-
tal Society 61 (1941): 98–101. An inconclusive etymological
the Aramaic incantation bowls from Babylonia (Montgom-
study of the word l¯ıla¯ and the associated verbal root kr¯ıd:-
ery). These are earthenware bowls (400–800 CE) inscribed
or kr¯ıl:-, “play.”
with incantations to expel demons from the house or exorcise
Kinsley, David R. The Divine Player: A Study of Kr:s:n:al¯ıla¯. Delhi,
them from the body of the clients named on the bowls. The
1979. A loose survey of the concept of l¯ıla¯ and of some of
drawing of a fettered lilith with wings and wild, spiky hair
the Hindu narratives in which it finds expression. Includes
often appears in the center of the bowl. The liliths appear
notes on related extra-Indian materials.
in lists of evil spirits that refer to both the “male and female
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LILITH
5459
liliths,” and one text denounces the liliths “who appear to
Lilith attempts to seduce men and use their seed to create
human beings, to men in the likeness of women and to
bodies for her demonic children. The Zohar even recom-
women in the likeness of men.”
mends a special ritual to be performed before sexual inter-
course between husband and wife in order to prevent Lilith
It is in the Alphabet of Ben Sira, an often misogynist sa-
from stealing the man’s semen.
tirical Hebrew work from between the seventh and tenth
centuries CE, that Lilith appears as a fully rounded individual
Other suggestions found in the Zohar are further devel-
character for the first time. Here, we find earlier descriptions
oped in later qabbalistic texts. These include the view that
of her as night demon and child killer combined with a num-
Lilith, along with the demon Na’amah or Agrat, was one of
ber of rabbinic midrashim. According to the Alphabet of Ben
two harlots who stood in judgment before Solomon and that
Sira, when God created Adam, he realized that it was not
the Queen of Sheba was actually Lilith, a claim first made
good for man to be alone, so he created a woman out of the
in the Targum to Job 1:15. Belief in Lilith as child killer per-
earth, just as he had created Adam, and he called this woman
sisted in traditional European and Middle Eastern Jewish
Lilith. Immediately, Lilith and Adam began to quarrel. In-
communities at least through the early twentieth century.
sisting that they were equals, Lilith refused to lie beneath
According to Scholem (1971), protective amulets would be
Adam, while he argued that it was proper for him, as a man,
placed either above the bed of a woman about to give birth
to lie on top. Uttering God’s ineffable name, Lilith flew
or on all four walls of the room in which she lay. As men-
away. In response to Adam’s complaints, God sent three an-
tioned before, it is still possible to purchase amulets against
gels—Sanvi, Sansanvi, and Semangelaf—to bring Lilith
Lilith to protect the mother and her newborn child.
back, telling them that if she refused, one hundred of her
The image of Lilith as it developed from antiquity
demon children would die each day. The angels found Lilith
through the early twentieth century represents an antitype
at the Red Sea and implored her to return. She refused to
of desired human sexuality and family life, a wild and un-
do so. When informed of her impending punishment, she
kempt woman whom Jewish society could not control. This
vowed to inflict harm on male infants up until the eighth day
image was demonic because Lilith represented everything
after birth, presumably until their circumcision, and on fe-
that traditional Jews, both women and men, feared could go
males up until the twelfth day. Lilith made one additional
wrong in the arena of sexuality and childbearing: extramari-
vow: if she saw an amulet bearing the name of the three an-
tal attractions and sexual intercourse, and the premature
gels, she would not harm the infant in any way.
death of children.
Illustrations of such amulets can be found in the Sefer
Lilith’s freedom from traditional constraints on Jewish
Razi’el, first printed in 1701 but largely based on the writings
women’s lives has served, since the mid-1970s, as a model
of El’azar of Worms, a mystic of the late twelfth and early
of female strength and independence for American Jewish
thirteenth centuries. Describing certain mysteries supposedly
women. A Jewish feminist magazine named Lilith has been
revealed to Adam by the angel Razi’el, this work includes an
published since 1976, and a number of Jewish feminist theo-
incantation against Lilith that identifies her as Havvah
logians, reexamining the accounts of creation in Genesis 1:27
ri’shonah (the “first Eve”), the one who seeks to harm newly
ff., have worked to create midrashim of their own. In one
born infants and women in childbirth. The iconography of
such midrash, Judith Plaskow (in Koltun, 1976) restores Lil-
the angels in Sefer Razi’el and the wording of the incantation
ith’s independence and belief in her equality with Adam, as
against Lilith are still found in contemporary amulets printed
portrayed in the Alphabet of Ben Sira, and replaces the myth
to this day in Israel. In other medieval mystical works, Lilith
of Lilith’s supercession by Eve with an optimistic vision of
becomes a figure of cosmic evil. In the thirteenth-century
the two first rejecting, then returning to, the garden of Eden
qabbalistic work by Rabbi Yitshaq ha-Cohen, Treatise on the
to rebuild it together. Since the mid-1970s interest in Lilith
Left Emanation, she appears for the first time as the female
has only grown among Jewish feminists, neopagans, musi-
consort of the demon Sama’el, the chief of all the demons.
cians (the Lilith Fair), poets, and other writers. Whose Lilith?
This work speaks of two Liliths: Lilith the Elder, the wife of
(1998) collects many articles and poems on Lilith, with a
Sama’el, and Lilith the Younger, the wife of Asmodeus (Ash-
focus on her importance for Jewish women. These reclama-
med’ai), another demon king.
tions of Lilith can be seen as a part of a more general awaken-
ing of interest in female images and symbols within Jewish
According to the late thirteen-century qabbalistic work
tradition.
the Zohar, Lilith and Sama’el emanated together from one
of the divine powers, the sefirah of Gevurah (Strength). On
SEE ALSO Folk Religion, article on Folk Judaism; Women’s
the side of evil (the “other side”) they correspond to the holy
Studies in Religion.
divine male and female. “Just as on the side of holiness so
on ‘the other side’ there are male and female, included one
BIBLIOGRAPHY
with the other” (Tishby, 1989, II: 461). In the Zohar, Lil-
A good, brief account of Lilith in the Hebrew Bible and cognate
ith’s demonic sexuality comes to the fore. She is the seductive
ancient Near East literature can be found in M. Hutter, “Lil-
harlot who leads men astray, but when they turn to her, she
ith,” in Dictionary of Deities and Demons in the Bible, edited
transforms into the angel of death (Sama’el) and kills them.
by Karel van der Toorn, Bob Becking, and Pieter W. van der
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5460
LIMINALITY
Horst (Leiden, 1995). Lilith in the Aramaic incantation
often entering the new ritual life over a threshold or
bowls is evidenced in James Montgomery, Aramaic Incanta-
entryway.
tion Texts from Nippur (Philadelphia, 1913); Joseph Naveh
and Shaul Shaked, Amulets and Magic Bowls: Aramaic Incan-
During the forty years following the publication of van
tations of Late Antiquity, 2d ed. (Jerusalem, 1987); and Jo-
Gennep’s book the special stage of mid-transition was rarely
seph Naveh and Shaul Shaked, Magic Spells and Formulae
examined by researchers, except in Henri Junod’s exemplary
(Jerusalem, 1993). Lilith’s role in the incantation bowls and
study of the circumcision rituals of the Thonga of Mozam-
rabbinic texts is discussed in Rebecca Lesses, “Exe(o)rcising
bique (1912–1913). From 1951 to 1954, during anthropo-
Power: Women as Sorceresses, Exorcists, and Demonesses in
logical studies of ritual, Victor Turner and Edith Turner par-
Babylonian Jewish Society in Late Antiquity,” Journal of the
ticipated in the rites of passage of the Lunda-Ndembu of
American Academy of Religion 69 (2001): 343–375. The story
Zambia. In 1964 Victor Turner, using his understanding of
of Lilith in the Alphabet of Ben Sira can be found in Eli Yas-
sif, Tales of Ben Sira in the Middle Ages (Jerusalem, 1984).
the betwixt-and-between milieu of the boys in the Ndembu
There is a good English translation in David Stern and Mark
circumcision lodge and of the girls in their initiation seclu-
J. Mirsky, eds., Rabbinic Fantasies (Philadelphia, 1990). Ger-
sion, wrote a general article, “Betwixt and Between: The Li-
shom Scholem published the Treatise on the Left Emanation
minal Period in Rites of Passage,” newly establishing the
in “The Kabbalah of R. Jacob and R. Isaac, the sons of R.
word liminality as the description of the midphase of the rites
Jacob ha-Kohen” (Hebrew; Madda’ei ha-Yahadut 2 [1927]:
and employing for his examples the liminal phases from the
244–264), and discusses the development of Lilith extensive-
rites of a number of different societies. His further work
ly in his 1971 article in the Encyclopedia Judaica. The Wisdom
(Victor Turner 1969, 1974, 1982, 1986) opened up a broad
of the Zohar by Isaiah Tishby, translated by David Goldstein
view of liminality worldwide, existing in hitherto unrecog-
(Oxford, 1989) publishes translations of many of the Zo-
nized forms; subsequently the concept was recognized in an-
haric passages dealing with Lilith and Sama’el. Joshua Trach-
thropology, theology, performance studies, literature, psy-
tenberg’s Jewish Magic and Superstition (1939; reprint, New
York, 1982) discusses the appearance of Lilith in medieval
chiatry, psychology, and education.
incantations. Voices within the Ark, edited by Howard
The liminal phase is ambiguous because it is a threshold
Schwartz and Anthony Rudolph (New York, 1980), is an ex-
between more or less stable phases of the social process. It
ample of the resurgence of interest in Lilith, under various
guises, in Jewish poetry and fiction. Judith Plaskow’s mid-
has frequently been likened to death; to being in the womb;
rash about Lilith and Eve is found in her essay “The Jewish
to invisibility, darkness, bisexuality, and the wilderness. The
Feminist: Conflict in Identities,” in The Jewish Woman, ed-
initiates are stripped of their status, removed from a social
ited by Elizabeth Koltun (New York, 1976). Enid Dame,
structure maintained and sanctioned by power and—
Lilly Rivlin, and Henny Wenkart edited Which Lilith? Femi-
ultimately—force, and leveled to a homogeneous social state
nist Writers Re-create the World’s First Woman (Northvale,
through ordeal. However, in seclusion their secular power-
N.J., 1998).
lessness is compensated for by a sacred power, in this place
that is not normal to life at all, a “no-place,” at a time taken
REBECCA M. LESSES (2005)
right out of normal life, a “no-time”—a realm of pure possi-
bility that resists classification. The sacred power is the power
of the weak, derived from the resurgence of nature when
LIMINALITY.
structural power is removed and from the experience of spiri-
Liminality, “being on a threshold,” is the
tual beings and things, inseparable from the power of nature.
condition that prevails during the inner phase of rites of pas-
Much of what has been bound up by social structure is liber-
sage, those rituals performed in many societies to transfer a
ated, notably the sense of comradeship—communitas—even
person from one stage of life to another. Liminality is the ex-
communion, the oneness between person and person, where-
perience of being betwixt and between. In his book The Rites
as sooner or later the subjects begin to experience more fully
of Passage (1909), the folklorist Arnold van Gennep first iso-
the wisdom traditions of their society in a visionary, unified
lated and named the rites of passage that accompany changes
way—traditions that are able to achieve great conjunctive
of place, state, social position, religious calling, and age in
power. Turner demonstrated in anthropology that this limi-
a culture. His study mainly focused on the life crisis rituals
nal period is an essential component of human experience,
of birth, puberty, marriage, and death. Van Gennep found
one that has been obscured by an erroneous equation of the
that as a general rule there were three stages in the rites: sepa-
“social” with the “social-structural.” Liminality, then, in its
ration, margin or limen, and reaggregation. The first phase
manifestation is not identifiable as a social construction of
detaches the ritual subjects from their old places in society;
reality.
in the second, the liminal phase, the subjects pass into a cul-
tural and spiritual realm that has few of the attributes of ei-
THE PREINDUSTRIAL RITES OF LIMINALITY. The actual rites
ther the past or coming state; the last phase installs them, in-
may vary greatly, but it is instructive to learn the main pat-
wardly transformed and outwardly changed, in a new place
terns recurring in the liminal phase of the numerous well-
in society. Van Gennep used the word limen—the Latin for
documented puberty rites of preindustrial peoples (for exam-
“threshold”—for the middle stage, because his researches
ple, Bateson, 1958; Farrer, 1991; Junod, 1912–1913; Rich-
showed much door symbolism in the rites, the participants
ards, 1956; Turner, 1967; and Walens, 1981). The 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
LIMINALITY
5461
term liminality refers not only to the middle phase of the rite
having to do with ancestral beings and their present power,
of passage but also to the period from the beginning of the
radiate this power and show the neophyte what all have dis-
separation phase through the marginal or seclusion period
covered—that they too, the neophytes, belong with such an
and until the person is back in normal life. The whole is a
array of beings and will eventually become ancestors them-
period of liminality.
selves.
In the first phase, separation, the novices are physically
It is this sense that also explains the important class of
separated from the other members of the community and
liminality that has to do with the coming of a vocation—a
take the entryway into the seclusion area. In the liminal
spiritual call—bringing the gift of healing and other gifts and
phase the elders may strip off the novices’ clothing, leaving
arts of humanity. The same pattern holds, except that in the
them just as simple human beings. The helpers then wash
life pattern of the one who is called, the initiative commonly
them in order to purify them from evil influences and
comes from a spiritual source and is not prompted by natural
dress them in special clothing. Then the initiates pass
bodily changes. (For an example of liminal trance and the
through an ordeal to test their spiritual or physical stamina.
inception of the shamanic healing gift, see Friedson, 1996.)
They may only eat certain foods and have no name, just
LIMINALITY IN THE CONTEMPORARY WORLD. Liminality is
“novice.” In this period the novices are the babies of the cul-
even further extended in the developed and modern world.
ture, belonging to the future, or they become as animals in
Here it refers to broad areas of life within the mainstream,
the wilderness, or they may be spiritually invisible or spiritu-
on its margins, and below it. In the mainstream, the rites of
ally in trance and “dead.” Indeed the main theme of most
passage of contemporary religions still exist. However, as
initiations is the death and rebirth of the novices, dying to
most religions only claim optional memberships, the rites are
their old life in order to move to a new life. At this time the
not universal. Their life-crisis rites may be circumcisions,
novices and those in the lodge enjoy the spirit of communitas,
christenings, shaving as a Hindu or Buddhist, bar mitzvahs,
a sense of fellowship.
marriages, funerals, and so forth. The time of child education
The initiates live for some time in their seclusion lodge,
is liminal in the sense of being betwixt and between infancy
a nonordinary place in nonordinary time. In the heart of the
and adulthood, but schools have so structured education that
liminal period occur some of the greatest rites of the culture.
only the playground scene and street corners after school
Music and song draw the spirits near, giving an immediate
have the character of true liminality (McLaren, 1985).
sense of the unity of people and spirits. Certain objects and
Examples of those in marginal liminality are pilgrims,
images help to bring the spirit to the place, or the elders make
monks and nuns, critics of the structure, members of the
special objects that are the spirit itself. These are rites of reve-
counterculture, revolutionaries, writers, poets, philosophers,
lation that the novices actually experience. The initiates may
and novelists—a group that shades into the world of theater,
share in the sacred objects and become deeply aware of spirit
film, television, music, sports, and at the folk level, clowning,
presence. The spirits, through the elders, give the novices
charivari, celebration, and carnival. In the twenty-first centu-
new names or mark their bodies in some way, making them
ry one may include vegetarians, alternative healers, and
full members of the community.
members of a great number of new religions; even the new
Masked figures may appear. They are the spirits of an-
world of the internet has a strongly liminal character. Victor
cient times or beings half-human and half-animal; they can
Turner identified most of the marginal genres as those prac-
appear with both fearsome and comic aspects. These figures
ticed in leisure time in industrial societies and not within the
constitute “symbolic types,” sometimes humorously in the
necessary structures of earning one’s living. The term he used
form of clowns or dirty old men or women. Finally, the nov-
for them was liminoid genres, that is, genres broken off, as
ices share in a communion feast, which unifies the partici-
it were, from the former curious features of the inner rites
pants in a group and with the spirit beings from beyond the
of passage and migrating to the margins of society, the center
mortal sphere.
of which is now ruled by business, industry, and law; the
marginal genres then developed independently (Turner,
At the end, during the reaggregation phase, the initiates
1982, pp. 32–55). However, in the twenty-first century the
go through rites of rebirth and return to the community as
term liminoid is rarely employed. The anthropologist Ga-
initiated members. Celebration marks the end of the ritual.
nanath Obeyesekere opposes the use of the term: “The re-
Such is the power of these rituals that the physical and inner
striction of the liminal to special localized arenas in complex
aspects working together can bring about changes of the per-
societies makes for too artificial a distinction between pre-
son’s consciousness and identity.
literate and industrial cultures” (Obeyesekere, 1986,
p. 821). The problem of terminology is not yet solved.
Thus the biological change of a person, whether at the
exact moment of bodily change or not, becomes the occasion
The freedom from set social structures enjoyed by mar-
for a plunge into the fount of all change, which is a mys-
ginal genres has liberated them to develop and ramify still
tery—especially to the subject. This is very different from an
further: they are more liminal than the rites of passage
ordinary change, such as changing one’s supermarket when
genres. They are above all creative; they are plural and tend
moving to a new area. The sacred objects of initiation, often
to be fragmentary, experimental, idiosyncratic, quirky, 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
5462
LIMINALITY
versive, and utopian. They are produced by identifiable indi-
be the visit of a divine spirit bringing healing and salvific
viduals, sometimes using what is akin to the shamanistic gift
gifts, such as at Knock in Ireland; the coming of a prophet,
and thus extending the faculties of the human being. Those
such as Moses leading the Hebrews to the promised land; the
in the genre tend to follow a calling; they may suffer from
spontaneous communitas that arises in disasters, for instance,
their marginality and are hard to categorize. They are often
the Dunkirk spirit; the stimulation of the mainstream that
practitioners and performers, but even their more passive fol-
produces activists and revolutionaries, such as Mahatma
lowers, such as the readers of their books, spectators of per-
Gandhi and Nelson Mandela; movements, such as Method-
formances, students, or church congregations, also belong to
ism in its day and liberation theology; and for the individual,
a varying extent in the liminal, liberated, non-workaday
conversion, as in the case of Thomas Merton, or the experi-
category.
ence of Alcoholics Anonymous, or the near-death experience.
In conclusion, liminality is the “time out” from the everyday
As for the liminality of the lowly, it is seen in subjugated
that has become available for humans to reflect, reevaluate,
native peoples in the early twenty-first century. They have
comment, critique, challange, and possibly change routines
no chance of a level playing field while the whole of modern
and structures. They are still free to “drop out, turn on, and
technology is stacked against them. People of color and
tune in.” Liminality is pure possibility, creativity, a venue or
strangers of different race are in this category as well as the
means for personal, social, and cultural change, growth, and
poor, outcasts, and anyone physically or mentally impaired.
healing.
The most telling group is women, who are physically smaller
than men and even now often are subjugated by law and cus-
SEE ALSO Gennep, Arnold van; Rites of Passage; Turner,
tom to the other sex because structural power tends to be on
Victor.
the men’s side. The battle of the feminists still rages. Never-
theless, a rich culture of inclusiveness has grown around
BIBLIOGRAPHY
those low in the structure, and they often have been assigned
Daly, Robert. “Liminality and Fiction in Cooper, Hawthorne,
the symbolic function of representing humanity without sta-
Cather, and Fitzgerald.” In Victor Turner and the Construc-
tus qualifications or characteristics (Turner, 1974, p. 234).
tion of Cultural Criticism, edited by Kathleen Ashley,
pp. 70–85. Bloomington, Ind., 1990. Liminality in U.S. so-
This sense is that of the powers of the weak. The Universal
ciety as seen through the eyes of novelists.
Declaration of Human Rights showed the same ethic in
Friedson, Steven. Dancing Prophets: Musical Experiences in African
2004, and the idea of democracy is founded on the value of
Healing. Chicago, 1996. The liminal spirit world of Tum-
the simple human being seen as undifferentiated, beyond so-
buka healers, with a detailed discussion of ritual music.
cial structures and human-made distinctions.
Holmes, Urban T. “Liminality and Liturgy.” Worship 47, no. 5
In the last decades of the twentieth century another class
(1973): 386–397. An Episcopal scholar and pastoral leader
of the liminal has risen to the fore out of the class of the
claims liminality for Christianity.
lowly, that of bad liminality or permanent negative liminali-
MacAloon, John, ed. Rite, Drama, Festival, Spectacle. Philadel-
ty. This is the state of people who fall through the cracks—
phia, 1984. The liminality of charivari, clowns, diviners,
the suicides and the hopeless. The group is represented by
demon exorcism, carnival, and the Olympic Games.
those who suffer nervous breakdowns or depression; the sub-
McLaren, Peter. “Classroom Symbols and the Ritual Dimensions
jects of violence; those with post-traumatic stress disorder;
of Schooling.” Anthropologica, n.s., 27, nos. 1–2 (1985):
161–189. Liminality among school students.
those suffering from cancer, HIV, psychiatric disorders, alco-
Nichols, J. Randall. “Worship as Anti-Structure: The Contribu-
holism, and self-abuse; those who are alienated, such as the
tion of Victor Turner.” Theology Today 41, no. 4 (1985):
Dostoevskian figure of Raskolnikov; the socially invisible;
401–409. A Presbyterian theologian examines worship in the
the “disappeareds,” immigrants, those with no identity or
light of liminality.
qualifications, homeless, and without health insurance, and
Obeyesekere, Gananath. “Stages of the Social Drama” (review of
thus often with physical impairments and therefore unem-
On the Edge of the Bush by Victor Turner). Times Literary
ployable, constituting an unrecognized “lower caste,” even
Supplement (July 25, 1986): 821. Contains a critique of the
in U.S. society. Then there are those in conditions of misfor-
liminoid.
tune, or devastating wars, or disasters such as the nineteenth-
Prosise, Theodore O. “Prejudiced, Historical Witness, and Re-
century Irish famine. Finally, people of very great age exist,
sponsible: Collective Memory and Liminality in the Beit
enduring circumscribed lives in assisted-living facilities, per-
Hashoah Museum of Tolerance.” Communication Quarterly
haps on permanent dialysis, or in hospice, facing a lonely
51, no. 1 (Summer 2003): 351 (16). The Holocaust museum
death.
at Los Angeles planned as a liminal experience.
Turnbull, Colin. “Liminality: A Synthesis of Subjective and Ob-
The spectacle of their suffering continually hangs before
jective Experience.” In By Means of Performance: Intercultural
one’s eyes and one does not know what to do about the prob-
Studies of Theatre and Ritual, edited by Richard Schechner
lem. Some of those who have helped the sufferers have been
and Willa Appel, pp. 50–81. Cambridge, U.K., 1990. Limi-
beatified, such as Mother Theresa of Calcutta. The liminality
nality as the sacred itself among the Mbuti hunters of Congo.
of the negative group seems to be in other hands. Phenome-
Turner, Victor. “Betwixt and Between: The Liminal Period in
na that have the power to tip the scale on these states may
Rites of Passage.” In The Proceedings of the American Ethno-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LINJI
5463
logical Society for 1964, pp. 4–20. Seattle, 1964. Also pub-
LIN
˙ GA¯YATS SEE S´AIVISM, ARTICLE ON
lished in The Forest of Symbols, by Victor Turner,
VIRAS´AIVAS
pp. 93–111. Ithaca, N.Y., 1967. Turner’s original statement
on liminality.
Turner, Victor. The Ritual Process: Structure and Anti-Structure.
LINGUISTIC ANALYSIS SEE ANALYTIC
Ithaca, N.Y., 1969. A full-scale exposition of liminality, its
PHILOSOPHY
place in society, and its variations. Examples are taken from
African peoples; from the Hindu Caitanya movement, Bauls,
and Hol¯ı festival; from the Buddha, Gandhi, and Tolstoy;
LINGUISTIC THEORY S
from Saint Francis and the Benedictine order; from Melane-
EE MÜLLER, F. MAX
sian millenarianism; and from hippies and gang life.
Turner, Victor. “Passages, Margins, and Poverty: Religious Sym-
LINJI
bols of Communitas.” In Dramas, Fields, and Metaphors:
(d. 867 CE), known also by his initiatory name Yi-
Symbolic Action in Human Society, by Victor Turner,
xuan; Chinese Buddhist monk of the Chan school. Linji
pp. 231–271. Ithaca, N.Y., 1974. An essay on genres of limi-
(Jpn., Rinzai) is considered the eponymous “ancestor”
nality, including rock music.
(founder) of the Linji sect, one of five major Chan schools.
In Japan, Linji’s Chan was transmitted though the Rinzai
Turner, Victor. “Liminal to Liminoid, in Play, Flow, and Ritual.”
lineage, one of the principal Zen schools there.
In From Ritual to Theatre: The Human Seriousness of Play, by
Victor Turner, pp. 20–60. New York, 1982. An explanation
Like most Chan monks, Linji studied the canonical
of the liminal and its continuation in the liminoid genres.
teachings of Buddhism while still in his youth and eventually
Turner, Victor. “Rokujo’s Jealousy: Liminality and the Performa-
progressed from doctrinal to practical studies. An early
tive Genres.” In The Anthropology of Performance, by Victor
source of Chan history, the Zu tang ji, suggests that he took
Turner, pp. 99–122. New York, 1986. The liminality of Jap-
particular interest in the doctrines of the Weishi (Skt.,
anese Noh theater and Lady Murasaki’s Genji.
Vijña¯ptima¯trata¯, or Representation Only) school. Some of
Van Gennep, Arnold. The Rites of Passage (1909). Chicago, 1960.
the emphases in his own teaching, his concern to expose the
The discovery of rites of passage.
mental nature of the actualities underlying Buddhist doc-
trines and the artificiality of their formulations, are reminis-
Ethnographies illustrating the liminal phase of puberty
cent of Weishi Buddhism. In Linji’s teaching, the notion of
initiations among indigenous peoples
nonattachment as a means of freedom is extended to include
Bateson, Gregory. Naven: The Culture of the Iatmul People of New
intellectual and spiritual matters as well as emotional and
Guinea as Revealed through a Study of the “Naven” Ceremoni-
material concerns. In common with many Chan teachers, he
al. Stanford, Calif., 1958. Boys’ and girls’ initiation.
pointed out that striving for higher attainments may be no
Farrer. Claire. Living Life’s Circle: Mescalero Apache Cosmovision.
more than a disguised form of greed, a kind of agitation that
Albuquerque, N.M., 1991. Girls’ initiation.
in fact inhibits realization of enlightenment. Linji recom-
Junod, Henri A. The Life of a South African Tribe (1912–1913),
mended nonseeking, in the sense of noncontrivance, con-
vol. 1: Social Life, pp. 71–99. New York, 1962. The circum-
tending that the spiritual noble is the one who is free from
cision rites of the Thonga of Mozambique.
obsessions, not the theoretician or the devotee of transic exer-
Richards, Audrey I. Chisungu. London, 1956. Girls’ initiation
cises. In Linji’s terms, the task of Chan is to be free, to be
among the Bemba of Zambia.
immune to psychological coercion by practices or ideas, peo-
ple or circumstances; the fundamental experience he called
Turner, Victor. “Mukanda: The Rite of Circumcision.” In The
for is what he referred to as “the true human being without
Forest of Symbols, by Victor Turner, pp. 151–279. Ithaca,
status,” the original, “ordinary” human being, of which all
N.Y., 1967. Boys’ initiation among the Ndembu of Zambia.
states, mundane or spiritual, are merely, in Linji’s terms,
Walens, Stanley. Feasting with Cannibals: An Essay on Kwakiutl
“clothing.” To this end he repeatedly called attention to what
Cosmology. Princeton, N.J., 1981. Young men’s initiation
he called the formless light of the mind, the giver of names
among the Kwakiutl of the northwest coast of Canada.
and definitions, which itself cannot be defined or grasped but
EDITH TURNER (2005)
only experienced through itself.
Linji’s recorded sayings include descriptions of the
teacher-student interaction, an important part of Chan activ-
ity, which outline the perceptive capacity needed in a genu-
LIN-CHI SEE LINJI
ine teacher, various didactic strategies, and typical barriers to
understanding. This aspect of Linji’s work provides valuable
material for understanding processes of Chan Buddhist
LINGAM S
teaching as relational or situational rather than dogmatic.
EE ICONOGRAPHY, ARTICLE ON
HINDU ICONOGRAPHY; PHALLUS AND VAGINA;
In his own teaching, Linji was famed for his shout,
S´IVA
which he described as a technique that might be used in 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
5464
LIONS
number of ways, such as to interrupt a train of thought, dis-
animal through their imputed possession of certain heroic
lodge fixed attention, test a student by observing the reac-
qualities. Sekhmet, Gilgamesh, Herakles, Samson, David,
tion, draw a student into an interchange, or express the non-
Daniel, Aeneas, and Aphrodite all share some of the “lion-
conceptuality of being in itself. Such was the impact of this
like” qualities of ferocity, strength, valor, dignity, and nobili-
method that it was extensively imitated, to the point that cer-
ty.
tain of Linji’s heirs expressly denounced such mimetic behav-
In astrology, such connotations of royalty were taken a
ior as void of true understanding. Nonetheless, “Linji’s
step further: The lion was equated with the solar principle,
shout” became a stock expression in Chan lore, and contin-
which is often identified as the illumination of conscious-
ued to be employed ever after.
ness. The constellation of Leo was assigned the sun as its
Linji’s sayings contain elaborations of themes and struc-
ruler, and the zodiacal sign of Leo appearing during the hot-
tures used by his predecessors; several of these became stan-
test time of the year (July–August). This relationship be-
dard items of later Chan teaching material. Among the most
tween the sun and Leo is central to an understanding of the
famous of Linji’s formulations is his “four views,” in which
major role played by the solar principle in this complex sym-
he sums up basic processes of Chan in terms of (1) effacing
bolism.
the environment while leaving the person, (2) effacing the
person while leaving the environment, (3) effacing both per-
In early Western mythology, sun/lion attributes were
son and environment, and (4) effacing neither person nor en-
identified as powerful cosmic forces, eventually replacing the
vironment. Like other Chan devices, these views allude to ac-
moon/bull themes that had dominated earlier myths. In
tual experiences to be undergone by the practitioner in
Sumer and Crete, the lion was associated with the blazing
accordance with need.
sun, which slays the moon and parches vegetation. In Egyp-
tian art and mythology, representations of lions were fre-
Although most of Linji’s twenty-odd spiritual successors
quently stationed at the end of tunnels and placed at palace
are obscure and his lineage did not flourish until more than
doors and tombs to protect against evil spirits. Sekhmet ap-
half a century after his death, he became one of the outstand-
pears as a lion-headed woman holding a sun disk. She was
ing figures of tradition. The record of his sayings, Linji lu
known as a war goddess and became associated with the
(T.D. no. 1958), is one of the great classics of Chan Bud-
Temple of Mut during the reign of Amunhotep II (1450–
dhism. Excerpts from this collection appear in numerous
1425 BCE). In his study The Great Mother (New York, 1963),
Chan books of later times, used as illustrative stories or
Erich Neumann sees Sekhmet as a symbol of fire—the de-
points for meditation. Less-well-known materials of a some-
vouring, negative aspect of the solar eye that burns and
what different tradition also appear in the tenth-century Zu
judges.
tang ji and Zong jing lu.
In the Hebrew scriptures (Old Testament), the lion ap-
SEE ALSO Chan.
pears as a symbol of strength and power and an object of fear
intended as a catalyst in humanity’s relationship to God. The
BIBLIOGRAPHY
allusion in Judges 14:18—“What is stronger than a lion?”—
Linji’s recorded sayings, the Linji lu, have been edited by
and the story in Daniel 6 of the prophet who was sent into
Takahashi Shinkichi as the Rinzairoku (Tokyo, 1970). Paul
the lion’s den as a test of his faith in God exemplify the awe-
Demiéville’s translation of Linji’s sayings, Entretiens de Lin-
inspired associations of the lion with God’s power to judge
tsi (Paris, 1972), is informed by the translator’s own superb
humankind.
Sinological and Buddhological skills and contains much
valuable commentarial material. Readers of English will want
In Christian iconography Mark the evangelist is depict-
to consult Ruth Fuller Sasaki’s The Recorded Sayings of Ch’an
ed as a winged lion, perhaps because the first chapter of the
Master Lin-chi Hui-chao of Chen Prefecture (Kyoto, 1975).
Gospel of Mark refers to “the voice of one crying in the wil-
THOMAS CLEARY (1987)
derness” (Mk. 1:3), a voice that reputedly resembled a lion’s
roar. The lion is also symbolic of Christ’s royal dignity. The
Book of Revelation contains a reference to the lion as symbolic
LIONS.
of Christ, particularly his ability to conquer evil and over-
Largest of the cat family and feared by most wild
come darkness: “Weep not, the Lion of Judah, the Root of
animals, the lion is almost universally known as the “king of
David, has conquered” (Rv. 5:5). The lion also came to sym-
beasts.” Its physical appearance, size, strength, dignified
bolize resurrection. According to popular legend, lion cubs,
movements, and fierceness in killing other animals have,
when born in litters of three, were stillborn; they were
since early times, left a deep imprint on the human psyche.
brought back to life by their father, who after mourning for
Associations with the concept of royalty (i.e., power, majesty,
three days, revived them with his breath. Similarly, Jesus,
control of others) have elevated the status of the lion as sym-
three days after his death, was resurrected by God the Father.
bol; such figures as Richard the Lion-Hearted; various Cath-
olic popes who have taken the name of Leo; the Buddha,
Royal and superhuman qualities are also reflected in the
who was known as the “Lion of the S´a¯kya Race”; and Christ,
portrayal of the Hindu Great Mother goddess, S´akti, who
called the “Lion of Judah,” have all been identified with this
rides upon a lion. In one of Vis:n:u’s many incarnations, 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
LI SHAOJUN
5465
manifests himself in the form of Narasimha, the “man-lion,”
LI SHAO-CHÜN SEE LI SHAOJUN
to defeat the demon Hiran:yaka´sipu. Numerous references in
the Bhagavadg¯ıta¯ demonstrate the importance of the lion as
a symbol. In battle scenes, Bharata, chief of warriors, is com-
LI SHAOJUN (second century BCE), magician and alche-
pared to Indra and described as an “invincible lion of a man.”
mist at the court of the Chinese emperor Han Wudi (140–87
Well-known representations of the lion in Indian Bud-
BCE). According to a contemporary history, the Shi ji, Li, like
dhist art include the A´soka pillar, capped by a four-faced
many earlier magicians, first gained prominence in the
lion, and the Sarna¯th pillar, crowned by a lion upholding a
northeastern coastal area of China, present-day Shandong.
great wheel or disk indicative of the solar principle. In Tan-
There he won a reputation among the nobility for his magi-
tric Buddhist art, the bodhisattvas Avalokite´svara and
cal remedies and especially for warding off old age. Though
Mañjusr¯ı are seated on lions, and the fierce goddess
he never explicitly claimed to be more than seventy himself,
Sim:hamukha is depicted as having the head of a lioness. The
he let it be known that he had witnessed events decades or
stylized posture called the Buddha Entering Nirva¯n:a is also
even centuries earlier than would have been possible for a
known as the Lion Posture and forms part of the ritual for
septuagenarian. In 133 BCE Li attracted the attention of the
disciples being initiated into certain ceremonies.
emperor himself. He recommended that Wudi should wor-
In addition to its function as a representation of the
ship the God of the Stove (Zaojun) as a preliminary to trans-
solar principle, the lion symbol has also been variously used
forming cinnabar into gold; this gold was then to be used
to depict contemplation and the solitary life. These qualities
to make eating utensils that would confer on the food served
are best illustrated in the lives of certain Christian saints, es-
from them longevity-producing powers. Eating these foods
pecially Euphemia, Ignatius, Jerome, Paul the Hermit, and
was in turn a precondition for sighting the immortal beings
Mary of Egypt.
of the magic isle of Penglai, off the Shandong coast. Only
then would Wudi’s performance of the imperial feng and
Rebirth motifs have also focused on the lion. In the
shan sacrifices on the sacred Mount Tai win immortality for
Mithraic cult, the lion-headed god Aion (Deus Leonto-
himself as well. Li claimed that he had already visited Penglai
cephalus) is associated with time and the shedding of light
and there had met the immortal Master Anqi.
so that rebirth may ensue. C. G. Jung regarded the lion, as
discussed in alchemical literature, as a “synonym for mercuri-
Although Li’s career at court was cut short by his death
us . . . or a stage in transformation.” “The fiery lion,” he
before the emperor had succeeded in encountering immor-
concludes, “is intended to express passionate emotionality
tals himself, Wudi continued to send out expeditions in
that precedes recognition of unconscious contents.”
search of Master Anqi, on the assumption that Li had in fact
According to Heinrich Zimmer, the insatiable qualities
not died but had himself been transformed into an immortal.
of the lion as devourer are demonstrated in S´iva’s creation
A legend (attested in the fourth century CE) claims that be-
of a lion-headed monster. The Book of Job (4:10) also notes
fore Li’s death, the emperor dreamed that an emissary riding
the destructive, fear-inspiring characteristics of the lion in
on a dragon flew down and announced that Li had been
epitomizing its roar as the “voice of the fierce.”
summoned by the god Taiyi. Some time after Li’s death,
Wudi had his coffin opened and found in it only his gown
B
and hat. According to another account, Li came to court only
IBLIOGRAPHY
Bleek, W. H. I., and L. C. Lloyd, eds. Specimens of Bushman Folk-
in order to acquire for his own use the ingredients for an elix-
lore (1911). Reprint, Cape Town, 1968.
ir of immortality too expensive for an impoverished private
Goodenough, Erwin R. “The Lion and Other Felines.” In his Jew-
citizen. The emperor’s well-attested concern with the super-
ish Symbols in the Greco-Roman Period, vol. 7, Pagan Symbols
natural inspired further legends during the period of dis-
in Judaism, pp. 29–86. New York, 1958.
union that followed the fall of the Han in 220 CE. These
Gray, Louis H., et al., eds. The Mythology of All Races. 13 vols. Bos-
elaborated on Li’s career in yet greater detail. In some he is
ton, 1916–1932. Consult the index, s.v. Lions.
confused with the necromancer Shaoweng, a later thauma-
Gubernatis, Angelo de. “The Lion, the Tiger, the Leopard, the
turge at Wudi’s court.
Panther, and the Chameleon.” In his Zoological Mythology,
To modern scholars Li remains a significant figure as the
or The Legends of Animals, vol. 2, pp. 153–161. London,
first recorded alchemist in Chinese history, the first devotee
1872.
of the pursuit of immortality who was said to have feigned
Thompson, Stith. Motif-Index of Folk Literature. 2d ed., rev. &
death, and the first of many known to have worshiped the
enl. 6 vols. Bloomington, Ind., 1955–1958. Consult the
God of the Stove. The Shi ji account also states that Li prac-
index, s.v. Lions.
ticed the avoidance of cereal foods, a discipline that would
New Sources
figure prominently in later ages as a means of achieving lon-
Stith, D. Matthew. “Whose Lion Is It, Anyway: The Identity
gevity or even immortality. Later hagiography is probably
of the Lion in Amos 3-12.” Koinonia 11 (Spring 1999):
correct, however, in depicting him as but one among many
103–118.
magicians of his day with similar preoccupations.
KATHRYN HUTTON (1987)
Revised Bibliography
SEE ALSO Alchemy, article on Chinese Alchemy.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5466
LITERATURE: LITERATURE AND RELIGION
BIBLIOGRAPHY
THE TESTIMONY OF LITERATURE. Scholars have frequently
The Shi ji account of Li Shaojun’s activities is translated in volume
suggested that certain genres of literature, notably poetry and
2 of Burton Watson’s Records of the Grand Historian of China
drama, may have arisen directly from religious rituals. While
(New York, 1963), pp. 38–39. For a translation of some
such a view may not be applicable to all forms of literature,
early legends, see James R. Ware’s Alchemy, Medicine, and
the Romanian-born American religious scholar Mircea
Religion in the China of A.D. 320: The Nei P’ien of Ko Hung
Eliade determined that the origin of some types of epic is
(Cambridge, Mass., 1967), p. 47. A modern assessment of
Li Shaojun is Holmes Welch’s Taoism: The Parting of the
traceable to the practice of shamanism. One of the most im-
Way, rev. ed. (Boston, 1965), pp. 99–102.
portant and conspicuous features of literature’s relation to re-
ligion is thus that of affirmation, in the sense that litera-
New Sources
ture—both oral and written—functions to preserve and
Strickmann, Michel. Chinese Magical Medicine. Edited by Bernard
Faure. Stanford, Calif., 2002.
transmit religious ideas and actions. Witness the detailed de-
scription of Sibylline prophecy in the Roman poet Virgil’s
T. H. BARRETT (1987)
Aeneid (6.77–102) or haruspicy (foretelling the future) in the
Revised Bibliography
Roman dramatist Seneca’s Oedipus (303ff.). Sometimes in a
particular culture, as in the case of ancient India, literature
may be the principal record of a religious tradition.
LITERATURE
This entry consists of the following articles:
German scholar Albin Lesky noted in A History of Greek
Literature (1966) that the “relation between gods and men
LITERATURE AND RELIGION
RELIGIOUS DIMENSIONS OF MODERN WESTERN
is central in the world of Homer” to an even greater extent,
LITERATURE [FIRST EDITION]
Lesky’s observation would describe a vast amount of ancient
RELIGIOUS DIMENSIONS OF MODERN WESTERN
Near Eastern and Indian literature. Dubbed “une initiation
LITERATURE [FURTHER CONSIDERATIONS]
CRITICAL THEORY AND RELIGIOUS STUDIES
manquée” by Eliade in Histoire des croyances et des idées reli-
gieuses (1976), the Epic of Gilgamesh, in its Sumerian and Old
Babylonian versions, is a classic example of religious materi-
LITERATURE: LITERATURE AND RELIGION
als commingling with entertainment and adventure, the ac-
The most apparent and apposite justification for including
cepted hallmark of secular literature. Although its action is
literary materials in the study of religion is the historical one.
concerned with the ostensibly human quest for knowledge
What is most obvious, however, is often overlooked. In vir-
and escape from mortality, and though there is no firm evi-
tually every high-cultural system, be it the Indic, the Islamic,
dence that the poem was ever recited as part of religious ritual
the Sino-Japanese, or the Judeo-Christian, the literary tradi-
(as was Enuma elish, the Babylonian poem of creation), Gil-
tion has, though in vastly different forms and guises, devel-
gamesh itself nonetheless provides its readers with a full and
oped in intimate—indeed, often intertwining—relation to
intricate view of Mesopotamian cosmology and theogony. As
religious thought, practice, institution, and symbolism.
the story of Gilgamesh and Enkidu unfolds through its sever-
Without paying due heed to Greek myth and thought, to
al extant episodes—the siege of a city, a forest journey, the
Hebrew saga and wisdom, and to Christian symbolism and
routing of a fickle goddess, the lamented death of a tutelary
piety, the twenty-five-hundred-year “drama of European lit-
companion—the epic simultaneously describes the character
erature,” as German scholar Erich Auerbach calls it, simply
and activity of a host of deities. The vast pantheon and the
cannot be understood. Conversely, our knowledge of these
important role these deities play in the poem reveal impor-
three religious traditions, of their self-expression and cultural
tant conceptions of the divine in this ancient civilization.
impact, would be grossly truncated without specific consid-
Moreover, the story of the Deluge and vivid accounts of the
eration of their literary legacy in both canonical and extraca-
underworld have, understandably, elicited illuminating com-
nonical writings. In a similar way, Daoist rituals, Buddhist
parison with Hebraic notions of creation and eschatology.
dogmas, and Confucian ethics joined, in imperial China, to
shape and sustain the classic forms of Chinese lyric poetry,
To students of the Indian tradition, it is entirely appro-
drama, and prose fiction. The itinerant Buddhist priest and
priate, indeed even commonplace, to assert that religion pro-
his exorcistic exploits in medieval Japan have provided nu-
vides both form and substance for virtually all of its classical
merous plots for No¯ drama, while subtle debates on the bud-
literary culture. So indivisible are the two phenomena that
dhahood of trees and plants (somoku jobutsu) underlie many
in The Literatures of India: An Introduction Edward Dimock
of the exquisite waka of Saigyo, the twelfth-century poet. In
and his colleagues write that “until relatively modern times
Hinduism, Judaism, Christianity, and several major divi-
in India—meaning by India the Indo-Pakistan subconti-
sions of Buddhism, sacred and secular hermeneutics have de-
nent—it is sometimes difficult to distinguish literature from
veloped, at various periods, in a parallel or mutually influen-
religious documentation. This is not because there has been
tial manner. To ignore this interrelatedness of holy and
an imposition of a system of religious values on the society;
profane texts and the interdependence of their interpretive
it is rather because religion in India is so interwoven with
sciences is to distort large segments of the world’s literary and
every facet of life, including many forms of literature, that
religious history.
it becomes indistinguishable” (1974). The truth of such 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
LITERATURE: LITERATURE AND RELIGION
5467
sweeping declaration is to be found first and foremost in the
and sayings that document the thoughts, the religious atti-
exalted doctrine of the spoken word in Indian antiquity, in
tudes, and the perceptions of self and world of the Indian
every sense a potent equal to the Hebraic davar or the Johan-
peoples” (Dimock). The first century CE, which saw the
nine logos. This view holds that literary speech, not that of
Ra¯ma¯yan:a’s composition, also witnessed the birth of the
home or court but a way of speaking that is deliberately culti-
kavya style of writing, the poetic expressions of which in-
vated, is virtually identical with divinity, “the Goddess her-
clude both the longer narrative form (the mahakavya) and
self, the first utterance of Prajapati, Lord of Creation, and
the short lyric (the subhasita).
herself coterminous with creation” (Dimock). Literary
Sanskrit is just one of the major linguistic and literary
speech is the language enshrined in the Vedas, four collec-
currents in the history of India. Other significant tributaries
tions of hymns with origins dating to the second millennium
which must be mentioned include the Dravidian literatures,
BCE. Although these hymns are themselves magnificent and
of which the four primary languages are Tamil, Telugu, Kan-
majestic ruminations on humankind’s place in the cosmos
and our relation to our fellow creatures, and on the great
nada, and Malayalam, each having its own forms and con-
questions of life and death, it is the language itself that was
ventions and its own epic, lyric, and narrative works. There
supremely revered long before the texts were transcribed. It
are also rich and varied specimens of Hindi and Bengali reli-
is as if the serene sublimity of the text, called sruti
gious lyric, and for students of Buddhism, Pali and Prakrit
(“revelation” or “that which one has sacramentally heard”),
literatures constitute the indispensable vehicle for both ca-
demands of its earthly celebrants a method of transmission
nonical and extracanonical writings. Though the scholar of
that would defy the corrosive power of time. To the long line
Indian religions, like all scholars of religions, must also study
of priests entrusted with this awesome responsibility, this
art and architecture, rites and institutions, icons and cults,
concept means the obsessive concern for letter- and accent-
social structures and cultural patterns, the length and breadth
perfect recitation of these sacred hymns and sacrificial incan-
of that nation’s literary history offers a magnificent panoply
tations. This profound respect for the word not unexpectedly
of virtually all the salient themes of religion: cosmology and
gave rise also to a science of linguistic analysis, in which de-
eschatology, theogony and theomachy, dharma and karma,
tailed etymological investigation complements the exhaus-
sin and redemption, pollution and purification, fertility and
tive, minute dissections of words and their linguistic compo-
immortality, initiation and apotheosis, austerity and piety,
nents. The Sanskrit grammar of Pa¯n:ini (fl. around 400
and the thousand faces of the divine. In From Myth to Fic-
BCE),
comparable in effect to the minister Li Si’s codification of
tion: The Saga of Hadingus (1973), the French scholar
the Chinese radical system (c. 213
Georges Dumézil demonstrates in his studies the inextricable
BCE) and Xushen’s compi-
lation of the first great dictionary, Shuowen Jiezi
link between the gods and heroes in an epic like the
(c. 121), exemplified this science and standardized Sanskrit
Maha¯bha¯rata. The five Pandava heroes, as well as countless
as a national literary language.
others, are bonded to the mythic by divine parentage. These
heroes replicate on earth the tripartite function of their par-
That language, of course, is also the mother tongue of
ents: sovereignty, force, and fecundity. Moreover, whole
many of India’s major literary monuments. As the texts of
mythological scenarios have been “transposed,” according to
the Vedas have led to the development of philosophical spec-
Dumézil, onto the human level to undergird the characters
ulations later embodied in the Aranyakas and the Upanis:ads,
and their actions in the epic. The eschatological conflict at
so the literature in Sanskrit, as defined according to Pa¯n:ini’s
the end of the world becomes the great battle of the
grammar, encompasses the two monumental epics, the
Maha¯bha¯rata and numerous other Indo-European epics.
Maha¯bha¯rata (compiled between 500 BCE and 400 CE) and
The ancient opposition between the Sun and the Storm God
the Ra¯ma¯yan:a, authored by the poet Valmiki in the first cen-
in the Vedas is transplanted in the famous duel between
tury. The length of the former is unique in world literature;
Karna (son of the Sun) and Arjuna (son of Indra). To under-
it is a one-hundred-thousand-line poem about the protracted
stand this aspect of the epic characters and their exploits is
conflict between two rival brothers, Dhrtarastra and Pandu,
therefore to recognize “an entire archaic mythology,” dis-
and their descendents, the Kauravas and the Pandavas.
placed but nonetheless intact. For this reason also, Dumézil
Sometimes called “the fifth Veda,” it is also a massive com-
can claim that what we know of the formation of such epics
pendium of mythologies, folk tales, discourses, and dogmas
is equivalent “to the same thing in many societies, the forma-
(the Bhagavadg¯ıta¯ is an insertion in the sixth book of the
tion of ‘the history of origins’” (Du mythe aux roman, 1970).
poem) that epitomizes what scholar Northrop Frye has
termed “the encyclopedic form.”
India is not the only culture wherein a developed body
of literary texts serves as a fundamental datum for the scholar
Unlike its companion, the Ra¯ma¯yan:a is a shorter work
of religion. In a well-known passage, the Greek historian
with a more unified perspective, a romantic tale in which the
Herodotos has observed that “Homer and Hesiod are the
hero, Ra¯ma, assisted by a host of magical monkeys led by
poets who composed our theogonies and described the gods
Hanuman, their simian leader, routs the god Ravana, abduc-
for us, giving them all their appropriate titles, offices, and
tor of Ra¯ma’s wife. Similar to the compendious nature of the
powers” (Histories 2.15). This claim is not in dispute, though
two epics are the Pura¯n:as, a repository of “stories and tales
the picture drawn by these two poets must be supplemented
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5468
LITERATURE: LITERATURE AND RELIGION
by the Homeric Hymns and the works of Stesichorus, Pindar,
Nagy in The Best of the Acheans (1979). On the other hand,
and the tragedians.
it is not the near-divinity of the Greek heroes—their cultic
background, their fully or semidivine parentage, or their elic-
Theogony, a work attributed to Hesiod and composed
itation of subsequent speculation on how virtuous humans
soon after 700 BCE, contains meticulous descriptions of the
can become gods—that makes them impressive. It is, rather,
underworld. This feature indicates the Greeks’ deep interest
says author Paolo Vivante in The Homeric Imagination
in the condition and physical locale of the departed; more-
(1970), the “disconcerting ambiguity” of their humanity—
over, the thematic resonance of the subject would, through
“to be born of gods, and yet to be human”—that sets apart
Book Eleven of the Odyssey, spread beyond Hellenic culture
figures like Achilles and Prometheus (in Greek dramatist
to touch such subsequent Western poets as Vergil and
Aeschylus’s trilogy) and endows them with problematic mag-
Dante. As befits its name, however, Theogony is centrally
nitude.
concerned with the processes of divine emergence, differenti-
ation, and hierarchy. Since it purports to trace the successive
The Homeric poems are famous for their portrayals of
stages by which Zeus (a sky and storm god of unambiguously
the deities in the image of human virtues and vices, of precip-
Indo-European origin) attained his unchallenged supremacy,
itous actions and petulant emotions. These anthropomor-
the poem devotes greater attention to those immediately re-
phic features, however, cannot obscure the one profound
lated to this deity and his dynastic struggles (Kronos, Hekate,
feeling pervading all classical Greek literatures: that between
Prometheus, and a motley crew of monsters and giants) than
gods and men a great gulf exists. Whereas the blessed Olym-
to other prominent members of the Olympian circle of
pians are immortal, humans are miserable, short-lived crea-
Twelve Gods. While the earlier portion of the work focuses
tures who may, in the words of Apollo, “glow like leaves with
on cosmogonic development in which Ouranos and Gaia,
life as they eat the fruits of the earth and then waste away
sky and earth, were first enveloped and then separated by
into nothing” (Iliad 21.463).
Chaos, the latter part chronicles among other events the se-
ries of Zeus’s marriages—to Metis, Themis, Eurynome,
Only against this background of life’s brevity and
Mnemosyne, and Hera. The significance of these multiple
human insignificance can the strivings of heroic virtue be
unions and erotic adventures is discernibly both religious
seen in their greatest intensity and special poignancy. Only
(hierogamy) and political. Eliade notes, “By taking to himself
in the light of the constant injunction against excess and aspi-
the local, pre-Hellenic goddesses, worshiped since time im-
ration to divinity, that one should not forget one’s mortality,
memorial, Zeus replaces them and, in so doing, begins the
can the heroic epithet “godlike” attain its fullest ironic im-
process of symbiosis and unification which gives to Greek re-
pact. In Homer and in the tragedians, the gods are free to
ligion its specific character” (Histoire, vol. 1, 1976). This
uphold or to dispose, to confirm or to deceive, to enable or
portrait of Zeus’s growth and triumph has its literary coun-
to destroy. They may even be tied to particular individuals
terpart in the depiction of the central heroes of the Iliad and
(Apollo and Hector, Athena and Odysseus) by means of an
Odyssey, who are also transformed from local cultic figures
affinity that is both natural and ideal; yet at no point in this
to the Panhellenic heroes of immortal songs.
divine-human encounter are the gods to be trusted. “The
gods have made us suffer,” declares Penelope to her husband
The Homeric poems offer possibly the earliest and cer-
Odysseus at their long-awaited reunion, “for they are jealous
tainly the fullest account of the gods after they have achieved
to think that we two, always together, should enjoy our
their permanent stations and functions. Throughout the two
youth and arrive at the threshold of old age” (Odyssey 23.210-
epics, the presence is felt not only of Zeus but also of martial
212). The pathos of this utterance notwithstanding, the
and tutelary deities like Athena, Hera, Apollo, and Poseidon
mood of this epic is not one of bitter regret for what fulfill-
and of gods with particular functions like Hermes and He-
ment life might have brought had the divine powers been
phaestus. The critical roles such deities assume, as well as
more benign. The Odyssey is, rather, a celebration of the exer-
their unpredictable behavior, confer on the relation between
cise of human intelligence, resourcefulness, courage, and loy-
gods and men its characteristic antinomies: distance and
alty in the presence of overwhelming odds, as is the Iliad also,
nearness, kindness and cruelty, justice and self-will.
specifically when depicting Hector’s farewell and departure
for battle, or Priam’s solitary confrontation of Achilles. In
Of the heroes of Greece, Herodotos has said that they
After Babel (1975), George Steiner writes, “The totality of
“have no place in the religion of Egypt,” implying that the
Homer, the capacity of the Iliad and Odyssey to serve as rep-
worship of noteworthy dead men and women, real or imagi-
ertoire for most of the principal postures of Western con-
nary, is peculiar to Hellenic culture. In fact, however, be-
sciousness—we are petulant as Achilles and old as Nestor,
cause these sorts of individuals do populate other Indo-
our homecomings are those of Odysseus.”
European literatures, their presence in Homer sheds an odd,
distinguishing light on these poems as both literary master-
To speak of the gods’ jealousy and self-will is to con-
pieces and religious documents. The fact that they are local
front the character of their morality, already a problem dis-
cultic figures celebrated by a Panhellenic epic tradition
turbingly felt in the Homeric poems but reserved for the
means that the central heroes “cannot have an overtly reli-
keenest scrutiny by the tragic dramatists. The fundamental
gious dimension in the narrative,” according to Gregory
issue is whether human suffering is an affair of crime 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
LITERATURE: LITERATURE AND RELIGION
5469
punishment, as when Paris in his sin brought down divine
powerful, the cause of all, and the bearer of justice. Against
wrath (nemesis) upon his city (Iliad 13.623), or whether suf-
such a high view of the godhead, nonetheless, there is at the
fering is the result of capricious interference by the gods
same time the discordant and jarring emphasis, notably in
(often referred to as at¯e).
Prometheus Bound, on Zeus as a cruel and truculent despot,
one who is hardhearted (160) and is not open to reason or
Tragedy’s enduring bequest to Western civilization, and
entreaty (184–185). The string of testimonies on divine ma-
its first paradox, is the arresting but troubling spectacle of the
levolence extends even further in the plays of Sophocles and
failure of an extraordinary individual. Men and women like
Euripides. Perhaps the extreme expression of the god who
Ajax, Philoctetes, Oedipus, Antigone, and Medea, because
blinds and dooms is to be found in the latter’s Heracles when
of their exalted station in life and nobility of character,
Lyssa, at Hera’s command, appears in palpable form to mad-
should in all likelihood enjoy success. Tragedy, however, dis-
abuses us of that expectation by showing us that, as the classi-
den the pious hero, who kills his wife and children, mistak-
cist James Redfield puts it in Nature and Culture in the
ing them for the sons of Eurystheus.
“Iliad” (1975), “virtue is insufficient to happiness.” Its sec-
Even in the dramas which make no use of such sensa-
ond paradox stems from the realization that such a spectacle
tional devices as the deus ex machina, in Hamartia: Tragic
can be intensely pleasing. Aristotle’s Poetics, attempting to
Error in the “Poetics” of Aristotle and in Greek Tragedy (1969),
explain both these phenomena, concentrates on the ideal
Jan Bremmer notes that there is a constant depiction of “an
properties of tragedy’s internal structure and its designed ef-
arbitrary and malicious interference of the gods with human
fect on the audience. Many modern interpreters believe that
action, causing infatuation in man and resulting in disaster.”
catharsis, whatever its precise meaning, represents the key to
In the language of the dramatists, at¯e has consequently been
the Aristotelian understanding of tragic pleasure. The aes-
interpreted by contemporary scholars as the counterbalance
thetic appeal of tragedy lies in its capacity to neutralize or
to Aristotle’s concept of hamartia. Though it neither excul-
purge the tragic emotions of pity and fear aroused by the in-
pates the guilty nor exempts the person from accountability,
cidents in the plot, much as the mimetic medium itself de-
at¯e helps the reader think the unthinkable. The momentous
lights the audience by working to remove the repugnance
error leading to disaster cannot be “explained” fully by
caused by certain natural objects (Poetics 1448b). The realiza-
human irrationality, excess of passion, or finitude of knowl-
tion of tragedy’s aesthetic power, however, hinges on the
edge alone. “When adverse circumstance seems to give evi-
proper resolution of the first paradox. Hence Aristotle high-
dence of a hidden pattern hostile to man,” as Redfield notes,
lights the concept of hamartia: an good but not perfect per-
the dramatists invariably invoke the deed of the god who
son fails, not out of his or her own vice or crime, but through
strikes for producing the ironic perversion of purposive ac-
error or ignorance.
tion (including Oedipus’s desperate moves to save his city
Such a formulation clearly reflects the philosopher’s per-
and Phaedra’s tactics under the influence of Aphrodite). This
ception of the necessarily unequal balance between culpabili-
aspect of tragedy is what shocks Plato, for its explicit formu-
ty and consequence. The protagonist must not be wholly in-
lation, as the French philosopher Paul Ricoeur succinctly
nocent or wholly wicked, for his suffering should neither
points out in Symbolism of Evil (1967), “would mean self-
revolt nor exhilarate. Only undeserved suffering or the kind
destruction for the religious consciousness.” Therefore, the
that is disproportionate to one’s offense can arouse the requi-
notion of evil’s divine origin cannot be suggested or made
site tragic emotion of pity (cf. Aristotle, Rhetoric 1386b). The
explicit in reflective wisdom, cultic worship, or the reasoned
audience’s cognitive and emotive response thus depends on
discourse of formal theology. It can come into thought only
its accurate assessment of the hero’s situation, which in turn
through the concrete, albeit circuitous, medium of art. The
depends on how a drama unravels the causes of faulty knowl-
figure of the wicked god is not, however, an isolated cultural
edge or ignorance of circumstance that can initiate a disas-
aberration of ancient Greece; the historian of religion Wendy
trous sequence of action. Although Aristotle’s explanation
Doniger O’Flaherty notes in The Origins of Evil in Hindu
stresses human motivation and action, the literary texts
Mythology (1976) that the Indian tradition also embodies
themselves are more ambiguous, for they frequently point to
many paths of theodicy and antitheodicy. The literary data
the complementary image of divine interference as the ulti-
that enshrine tragic theology, scandalous though its implica-
mate cause of evil in human existence.
tions may be, will therefore always be pertinent to the study
of certain types of religious phenomena—from primitive sac-
Whereas at¯e in Homeric religion invariably implies the
rifices to the modern anomaly of a Jonestown massacre.
awful delusion instigated by capricious deities, writers such
as Hesiod, Solon, Theognis, and Pindar tend to see it also
If Greek religion has had lasting impact on major genres
as a form of punishment for human arrogance and violence.
of classical literature, the effect of the Christian religion on
Both strands of emphasis converge in the theology of the
Western literary tradition is even more pronounced and far-
dramatists. In Aeschylus’s The Persians, for example, Xerxes
reaching. In the incisive observation by author E. R. Curtius
is both victimized by a demon, which exacerbates his actions,
in European Literature and the Latin Middle Ages (1953), “It
and guilty of hubris, for which he is further afflicted by delu-
was through Christianity that the book received its highest
sion. In the Oresteia, Zeus is extolled as all-seeing, all-
consecration. Christianity was a religion of the Holy Book.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5470
LITERATURE: LITERATURE AND RELIGION
Christ is the only god whom antique art represents with a
to stress their distinctive features: the Christian transforma-
book-scroll. Not only at its first appearance but also through-
tion of the opening and address; the special use of the dia-
out its entire early period, Christianity kept producing new
tribe; the vivid autobiographical accounts; the intimate, per-
sacred writings—documents of the faith such as gospels, let-
sonal tone of his concerns; and the powerful texture woven
ters of apostles, apocalypses; acts of martyrs; lives of saints;
out of both kerygma (the proclamation of Christ as crucified
liturgical books.” There is, however, one crucial difference
and risen Lord) and parenesis (exhortations and advice to
between Classical Greek literature and Christian writing.
churches). To balance such an emphasis, it must be pointed
Whereas the former is largely reflective of a religious ethos
out that these apostolic documents are not isolated instances
peculiar to one culture, the latter is by no means the unique
of letter writing. Letters in the ancient world were used,
product of one solitary community. Even the language and
among other purposes, as a medium for the exposition of
form of Christian canonical writings bear the imprint of an-
ideas, and such writings as those of Epicurus on philosophy,
tecedent religious milieus, notably the Jewish and the Greco-
Archimedes and Eratosthenes on science, and Dionysius of
Roman. In his zeal to defend Christian particularism, the
Halicarnassus on literary criticism still provide an illuminat-
second-century apologist Tertullian once posed the famous
ing context for the study of Christian epistolary achievement.
question “What has Athens to do with Jerusalem?” In this
Increasingly, contemporary New Testament scholarship has
rhetorical question, however, he failed to remember that Je-
come to recognize that Paul’s education may well have in-
rusalem as a sacred city and a symbol of faith was not solely
cluded exposure to the rhetoric of Roman law courts, the
a Christian notion. Throughout its long history, Christianity
practices of itinerant Greek philosophers, and the conven-
and its environing culture have always developed in a dialec-
tions of Greek letter-writers. For example, Hans Deiter Betz
tical fashion of discreteness and syncretism, invention and
has analyzed the letter to the churches in Galatia in terms
adaptation, disjunction and harmony.
of the classical apology (whose form includes the exordium,
narration, proposition, proof, and conclusion), and Wayne
Such a process is apparent at the outset of Christian lit-
A. Meeks sees the famous chapter on love in Paul’s first letter
erary history, in the twenty-seven documents that make up
to the Corinthians (1 Cor. 13) as a possible imitation of a
the New Testament. Virtually all four major literary types
Greek encomium on virtue.
found in the canon—gospel, acts, letters, and apocalypse—
possess the paradoxical features of distinctiveness and new-
In the subsequent centuries of the Christian era in the
ness in utterance on the one hand and affinity and alliance
West, the tension between “pagan learning” and an emergent
with local literary cultures on the other. In its formal totality,
Christian literary culture continues to be evident. Anticipat-
the gospel may be regarded as a novel genre created by the
ing by more than a millennium some of the sentiments of
early Christian community, since its synthetic amalgamation
Milton’s Christ in Paradise Regained, the Didascalia apostol-
of narrative, biography, history, dialogue, and sermonic ma-
orum (Teachings of the Apostles, 12) solemnly instructs the
terials defies easy classification. When analyzed in the light
faithful:
of historical and form criticism, however, many of the gos-
But avoid all books of the heathen. . . . If thou
pel’s smaller, constitutive units are demonstrably comparable
wouldst read historical narratives, thou hast the Book
to other verbal forms and expressions found in the religious
of Kings; but if philosophers and wise men, thou hast
and philosophical movements of the Hellenistic world.
the Prophets, wherein thou shalt find wisdom and un-
There are, for example, elements of the biographical apo-
derstanding more than that of the wise men and philos-
thegm, which chronicles the life of a sage climaxing in preg-
ophers. And if thou wish for songs, thou hast the Psalms
of David; but if thou wouldst read of the beginning of
nant sayings or dramatic dialogues; and there are tales of the
the world, thou hast the Genesis of the great Moses; and
miracle worker or healing hero common to Mediterranean
if laws and commandments, thou hast the glorious Law
religions of that era. The permanent legacy of Jesus as master
of the Lord God. All strange writings therefore which
teacher may well have been his highly individualized use of
are contrary to these wholly eschew.
the parable, but the form itself was long known in rabbinic
instruction. The content of Jesus’ teachings on many occa-
The persistence of Greco-Roman paideia (education and ac-
sions again may show striking originality or deviation from
culturation) in the schools and the gradual increase of edu-
tradition, but the language in which his teachings and ac-
cated converts, however, rendered it inevitable that a narrow
tions are cast (e.g., the marked series of anaphoras that intro-
parochialism had to modify itself. In his On Christian Doc-
duce the Beatitudes, and the deliberately crafted introduc-
trine, Augustine of Hippo (354–430) epitomizes the alter-
tion to Luke and Acts) can also significantly reveal the author
nate attitude in a rhetorical question: “While the faculty of
or redactor’s familiarity with classical rhetoric and literary
eloquence, which is of great value in urging either evil or jus-
form.
tice, is in itself indifferent, why should it not be obtained for
the uses of the good in the service of truth?” Once Christians
This phenomenon of originality joined with conven-
had settled on this prosaic but potent justification for art, re-
tionality also characterizes the named, anonymous, or pseud-
alizing that beauty could be enlisted for the cause of faith,
onymous epistolary writings of the New Testament. Stu-
incentives for adapting alien cultural forms and creating orig-
dents of the apostle Paul’s letters are understandably prone
inal productions multiplied. Echoing Augustine’s senti-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LITERATURE: LITERATURE AND RELIGION
5471
ments, the seventeenth-century poet George Herbert asked
pervades medieval formulations of literary theory, notable in
of his God:
the works of Isidore of Seville (c. 560–636), Vergil of Tou-
louse (fl. seventh century), Bede (c. 673–735), Alcuin (c.
Doth poetry Wear Venus’ livery, only serve her turn?
Why are not sonnets made of thee, and lays Upon thy
730–804), Rabanus Maurus (c. 780–856), John Scottus Eri-
altar burn?
ugena (fl. 847–877), and Thomas Aquinas (c. 1225–1274).
The grand themes of his theology—creation, the human
In view of such zealous concern, it is not surprising that
image as analogy to the divine, the fall, the incarnation, elec-
Catholic meditative techniques and Protestant biblical poet-
tion, redemption, history, providence, temporality, and eter-
ics would combine to produce in the late English Renais-
nity—and his particular mapping of the ordo salutis find re-
sance an abundance of the finest Christian devotional lyrics.
verberations and echoes, not only in such specifically
Although the bulk of patristic prose literature remains
Christian poets as Spenser and Milton, but also in some of
in the categories of dogmatic treatises, apologetics, exegetical
the Romantics and moderns.
and hermeneutical writings, homiletics, and pastoral disqui-
Unlike writing in prose, poetry had a discernibly slower
sitions, Christian writers of the early centuries have also con-
development within Christianity. Although three of the larg-
tributed to noteworthy and lasting changes in literary lan-
est works in the Hebrew canon are essentially poetical—Job,
guage. While the likes of Minucius Felix (d. about 250) and
Psalms, and Proverbs—and long passages of poetry stud the
Cyprian (d. 258) faithfully and skillfully emulated classical
historical and prophetic books, what passes for verse in the
models, Tertullian forged a new style through translation,
New Testament amounts to no more than bits and frag-
word-borrowing (Greek to Latin), and the introduction of
ments. Christians had to wait for over a thousand years be-
new Latin diction based on vernacular usage. By means of
fore they produced devotional and liturgical verse of compa-
extensive translations (of both sacred scriptures and other
rable intensity and complexity to “the songs of David.” The
Christian writers), letters, lives of saints, travelogues, and the
continuation of Eusebius’s chronicle, Jerome (c. 342–420)
author of Colossians, in a well-known passage (Col. 3:16),
also mediated between classical antiquity and Christian
bids his readers to sing “psalms, hymns, and spiritual songs,”
letters.
and hymn singing was apparently a common act of worship
among the early Christians (cf. 1 Cor. 14:26, Eph. 5:19, Mk.
Within this context of continuity and change, Augus-
14:26, Acts 16:25). But the texts of such hymns or songs are
tine of Hippo justifiably occupies a place of pivotal impor-
all but unknown. Even the so-called Magnificat, preserved
tance. Not only did he set forth a profound and mature theo-
in the first chapter of Luke, displays greater indebtedness to
logical vision that across the centuries has exerted abiding
Hebraic sentiment and diction than to Christian feeling. Be-
influence on both Catholic and Protestant thought in the
yond the canonical corpus, examples of early Christian versi-
West, but his mercurial mind and voluminous speculations
fication in classical languages may be found in such diverse
also directly funded such divergent developments as medi-
contexts as the pseudo-Sibylline Oracles (additions by Judaic
eval literature, science, and aesthetics. More than any other
Christians in the late first to third centuries); an anonymous
figure in early Christian history, Augustine exemplifies the
poem at the end of Paidagogos by Clement of Alexandria
near-perfect fusion of pagan wisdom and Christian inven-
(early third century); the partly allegorical Symposium of the
tion, of thought and style, of ideology and language.
Ten Virgins by Methodius (fourth century); the Periste-
As the astute analysis of German scholar Erich Auerbach
phanon, Cathemerinon, and Psychomachia by the Spaniard
has shown, the sermons of Augustine are masterful transfor-
Prudentius (late fourth century); the Carmen Paschale by
mations of the Ciceronian model of oratory. To the ornate
Sedulius (mid-fifth century); and in such verse paraphrases
abundance of rhetorical figures and tropes at his disposal, the
of the Bible as Juvencus’s Historia evangelica (fourth century)
bishop of Hippo brought new depths of passion, piety, and
and Marius Victor’s Alethia (fifth century). With the possible
inwardness. Of the three styles (magna, modica, and parva)
exception of those by Prudentius, these works are now read
that defined the ancient gradations of writing, the last and
more for their historical than for their literary merit. The en-
the lowliest is now endowed with unprecedented dignity and
suing Carolingian age produced verse (both accentual and
employed with new flexibility, precisely because sermo
quantitative) on a variety of subjects, which would eventually
humilis is structured to mirror the threefold humilitas of the
fill four massive volumes (in Monumenta Germaniae Histori-
Incarnation, the culture of the Christian community, and
ca), but no poet ranking with the immortals. As for vernacu-
the relative linguistic simplicity of scripture.
lar literature, such poems as the Chanson de Roland, Beowulf,
and the Víga-Glímssaga continue to fuel scholarly debate
Just as Augustine’s Confessions exists for all posterity as
about the extent to which Christian conceptions of virtue
the undisputed prototype of both spiritual and secular auto-
and piety colored pagan notions of heroism and fate.
biographies, and his City of God as an unrivaled exemplum
of Christian philosophy of history and historiography, so his
In contrast to the relative simplicity of their predeces-
On Christian Doctrine remains a milestone in the history of
sors’ accomplishments, the poetic genius of Dante, Spenser,
interpretation theory and homiletics. The Augustinian un-
and Milton seems all the more remarkable, for the Christian
derstanding of rhetoric, hermeneutics, poetry, and allegory
tradition would be immeasurably impoverished if it did not
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5472
LITERATURE: LITERATURE AND RELIGION
possess their writings. These eminent theological poets, how-
reorganized branch) of the Book of Mormon’s original manu-
ever, are so well known and their works have been the subject
script. For Jews, Christians, and Buddhists, however, the
of so much sustained commentary that additional analysis
original documents of revelation exist only in a scholarly
may be superfluous. Yet, their permanent greatness in the an-
construct called the “ur-text” and, if even that seems an im-
nals of Western religious poetry surely rests on their creation
possible ideal, in a family or group of the best texts, critically
of original, large-scale works of art that are at the same time
ascertained and adjudged to approximate the original form.
monuments in the history of religions. Neither ponderous
Of necessity, therefore, the study of sacred texts at its most
paraphrases of scripture or doctrinal treatises nor the unas-
fundamental level already employs procedures and methods
similated union of poetic forms and religious substance, the
that transcend the provenance of any particular religious tra-
texts of the Commedia, The Faerie Queene, and Paradise Lost
dition or community. The author of 2 Timothy may claim
represent the fullest, most systematic exploration and em-
that “all scripture is inspired by God” (2 Tim. 3:16), but all
bodiment of the poets’ faith. Each in its respective manner
scripture is not thereby protected from wayward readings by
is, as Dante said of his own masterpiece, “a sacred song / To
errant mortals or the corruptions of temporal transmission.
which both Heaven and Earth have set their hand” (Paradiso
As Jerome McGann puts it in A Critique of Modern Textual
25.2–3). Their luminous, mellifluous sacredness is measured
Criticism (1983), “To repair the wrecks of history” requires
not only by the way they faithfully reflect or document tradi-
the use of “a historical method,” and any religion of the book
tion, but also by the creativity and acuity wherewith they
or books must rely on this most venerable of humanistic dis-
challenge and revise tradition. According to Curtius, for ex-
ciplines (that is, textual criticism, which for McGann de-
ample, Dante claims for his poem “the cognitional function
pends on the historical method) for its continuance and
Scholasticism denied to poetry in general,” and Auerbach, in
propagation.
Dante: Poet of the Secular World (1961), holds that Dante re-
Were textual criticism merely an affair of the mechani-
verses Thomas Aquinas’s Summa Theologia by disclosing “di-
cal activities of editing, collation, and application of the can-
vine truth as human destiny, as the element of Being in the
ons of textual criticism, the consequence of its pursuit might
consciousness of erring man.” Milton’s attempted theodicy
not appear to be immediately relevant. But scholars have
significantly alters patristic and reformed dogmas (Christolo-
long recognized that in many instances, textual criticism does
gy, election, creation, and sin) to stress a dynamic conception
bear powerfully on textual interpretation. On the one hand,
of the image of God and the import of free will and human
the modes of critical reasoning used to determine variant
love in the drama of fall and redemption. Their distinctive
readings are identical with or similar to those engaged in the
elucidation of scripture and embroidery of tradition render
determination of verbal meaning, in exegesis, and in transla-
these articulate canticles part of Christian exegesis and theol-
tion. On the other hand, the difference of a single word or
ogy, for they participate as much as any work of “the doctors
of an entire edition can drastically alter the text’s meaning.
of faith” in seeking to comprehend and interpret the original
Whether Christians, as a result of their “justification by
mystery of faith, of revelation itself.
faith,” are told that they in fact have peace with God or that
THE STUDY OF LITERATURE. The foregoing survey of reli-
they are to have peace with God depends on the selection of
gious and literary history has sought to demonstrate how in-
either the indicative (echomen) or the hortatory subjunctive
dividual texts, figures, genres, movements, and periods may
(echo¯men) found in the different manuscript traditions of Ro-
provide crucial data for the student of religion. The survey
mans 5:1. Even modern literature is not free of the accidents
has been deliberately focused on more traditional materials,
of textual indeterminacy. “Soiled fish of the sea,” a phrase
since its principal thesis is manifestly more restricted in the
lodged in the Constable Standard Edition of Herman Mel-
modern era, given the undeniable shifts in historical develop-
ville’s works, led the great American critic F. O. Matthiessen
ment and cultural climate. However, inasmuch as the study
to speak unwittingly in American Renaissance: Art and Expres-
of religion frequently, if not exclusively, involves the study
sion in the Age of Emerson and Whitman (1944) of “the dis-
of verbal texts, the discipline is even more indissolubly
cordia concors, the unexpected linking of the medium of
bound with the study of literature. Both disciplines entail the
cleanliness with filth, [which] could only have sprung from
deepest and most wide-ranging engagement with the analysis
an imagination that had apprehended the terrors of the
of language, and this engagement implicates all the concerns
deep,” only to have his eloquence vitiated by the cruel dis-
of the human sciences.
covery of a typesetter’s oversight, when “coiled,” not
Prior to any textual interpretation there must be an ac-
“soiled,” proved to be in both the English and American first
ceptable text. This truism forcefully reminds us that textual
editions of the 1849 novel White Jacket. The publication in
criticism, the science developed since the Renaissance for the
1984 of James Joyce’s Ulysses: A Critical and Synoptic Edition,
establishment of the so-called proper text, already locates the
edited by Hans Walter Gabler, with five thousand correc-
unavoidable convergence of classical scholarship, biblical
tions and additions heretofore unavailable, has led critics to
criticism, and the techniques of literary analysis. Most reli-
reexamine and revise many previous interpretations of this
gious communities are not as fortunate as the Church of
modern classic.
Jesus Christ of Latter-day Saints, which has in its possession
Because textual criticism wishes to retrieve a text as free
both partial and complete versions (the latter in the church’s
as possible of historical corruptions, its goal is often taken
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LITERATURE: LITERATURE AND RELIGION
5473
as the starting point for textual interpretation. Paradoxically,
ferent from the Alexandrian school’s appropriation of
however, such criticism can also set one kind of limit for in-
Philonic allegory to interpret Christian scriptures or the
terpretation. The authoritative text in such a discussion
Protestant reformers’ use of humanistic philology to advance
means that which is closest to the author’s final intentions,
their own grammatical-historical mode of exegesis. Wary of
whether those intentions are perceived to be identified with
misreadings through willful or unintended anachronism,
a manuscript or one of the first printed editions. Although
some contemporary biblical scholars are justifiably skeptical
such considerations are germane to many modern texts, they
of the current movement to read the Bible as literature, and
become unsuitable for editing (and thus for interpreting)
to expound upon sacred writ by means of secular norms and
many medieval and older texts. In A Critique of Modern Tex-
literary classifications.
tual Criticism (1983), Jerome G. McGann notes:
Although comparing Hebrew narrative with Homeric
In their earliest “completed” forms these texts remain
epic or analyzing a parable of Jesus’ in terms of plot and char-
more or less wholly under the author’s control, yet as
acter can yield limited results, the reverent affirmation that
a class they are texts for which the editorial concept of
scripture must be read as revelation or the word of God does
intention has no meaning. These texts show, in other
not itself explain how language is used in divine literature.
words, that the concept of authorial intention only
The confusion here arises from the too-ready identification
comes into force for criticism when (paradoxically) the
of literature with fiction, itself a common but nonetheless a
artist’s work begins to engage with social structures and
particular view of the nature of literature. The rejection of
functions. The fully authoritative text is therefore al-
ways one which has been socially produced; as a result,
this view, on the other hand, in no way absolves the biblical
the critical standard for what constitutes authoritative-
reader from wrestling with the linguistic phenomenon that
ness cannot rest with the author and his intentions
is coextensive with the text. Does the Torah or the New Tes-
alone.
tament or the Lotus Su¯tra use language as human beings do,
and if not, what other contexts are there for their readers to
In the example from Romans 5 cited above, even the recovery
consider and consult? What sort of literary competence or
of the original manuscript may not be decisive enough to de-
what system of conventions ought to be operative in reading
cipher authorial intention, since the fact that the Greek
sacred texts?
words are homonyms could easily have dictated the particu-
lar spelling of the amanuensis known to have been used by
The history of Christian biblical exegesis is filled with
the apostle. Short of questioning Paul himself, the reader is
examples of how interpretation changes along with different
left with two perhaps equally plausible readings, but with
reading assumptions and conventions. A particular view of
definitely different meanings. A scholar can recover, inde-
language has led patristic writers to understand in a certain
pendently and without difficulty, the meaning of these two
way the terms image and likeness (Heb., tselem, demut; Gr.,
Greek words, but no amount of attention to what the literary
eikona, homoiosin; Lat., imaginem, similitudinem), used in the
theorist E. D. Hirsch in Validity in Interpretation (1967) calls
first creation narrative of Genesis. Irenaeus, in the second
the “shared experiences, usage traits, and meaning expecta-
century, thought the former signified the anima rationalis
tions” can determine exactly what Paul wished to convey by
(rational soul) in human nature, whereas the latter referred
this particular sequence of linguistic signs. Inability to dis-
to the donum superadditum supernaturale (an additional di-
cern final intention in this instance is also synonymous with
vine gift of perfection) which will be lost in the fall. Later
inability to discern original intention, but the indeterminan-
interpreters, notably the Protestant reformers, challenged
cy of textual meaning is not caused so much by the historicity
this developed Catholic doctrine of the imago dei on the
of modern understanding as it is by the historicity of the text.
ground that it missed the Hebraic convention of linguistic
parallelism (pairs of words or phrases with closely related
In his effort to elevate the discourse of contemporary lit-
meanings), though the reformed interpretation itself is by no
erary criticism, author Geoffrey Hartman, in Beyond Formal-
means free of dogmatic presupposition. Similarly, the precise
ism (1970), wants to make it “participate once more in a liv-
meaning of the Eucharistic formula, “This is my body . . .
ing concert of voices, and to raise exegesis to its former state
this is my blood,” has eluded interpreters and divided Chris-
by confronting art with experience as searchingly as if art
tendom for centuries because the issue of whether it is a liter-
were scripture.” This noble proposal unfortunately does not
al or a figurative statement is as much linguistic as it is theo-
make clear how searchingly scriptural exegesis has been con-
logical.
fronted with experience. More importantly, it overlooks the
fact that scriptural exegesis itself throughout its history,
These examples of biblical exegesis reinforce one basic
much as any other kind of exegesis, has always had to struggle
insight of the German Protestant theologian and philosopher
with the question of how a verbal text is to be read, how its
Friedrich Schleiermacher (1768–1834), namely that special
language—from a single word to an entire book—is to be
or sacred hermeneutics “can be understood only in terms of
understood. If biblical critics of late, according to the scholar
general hermeneutics” (MS 2, in Hermeneutics: The Hand-
Frank Kermode in The Genesis of Secrecy (1979), “have been
written Manuscripts, ed. H. Kimmerle, 1977). For this very
looking over the fence and noting the methods and achieve-
reason, every significant turn or development in literary the-
ments of the secular arm,” this tendency is not radically dif-
ory and the culture of criticism should, in principle, be 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
5474
LITERATURE: LITERATURE AND RELIGION
interest to scholars of religion. Because verbal texts are more
is necessarily bound by the person’s history and culture. In
often than not the objects of their inquiry, author Robert
fact, both texts and the historical “horizon” of the interpret-
Alter believes they must know “the manifold varieties of mi-
er, when scrutinized by such hermeneuticians of suspicion
nutely discriminating attention to the artful use of language,
as Marxists, neo-Marxists, and Freudians are inevitably ob-
to the shifting play of ideas, conventions, tone, sound, imag-
scured by ideology, false consciousness, or the subversive lan-
ery, syntax, narrative viewpoint, compositional units, and
guage of repression. In place of the “closed readings,” in
much else” (The Art of Biblical Narrative, 1981). That last
which purity and objectivity are ensured by an innocent and
amorphous category, in the light of the American and Euro-
submissive critical consciousness, the languages of both text
pean critical discourse since the mid-twentieth century,
and critic seem more likely to wear the masks of deceit and
would certainly include such large and controversial subjects
desire, as well as those of domination and violence. Instead
as phenomenology, philosophical hermeneutics, psychoanal-
of the text being the bearer of meaning as intended by the
ysis, feminist criticism, genre theory, reception theory, com-
author, textual meaning is regarded as a product either of
munication and information theory, linguistics, structural-
readers or communities of readers or of the dialectical inter-
ism, and deconstruction. Although space does not permit
play of the text and the reading process. Meaning may be ac-
extensive treatment of any single facet of this new “armed
tualized by uncovering the deep structures—the equivalences
vision,” a brief review of the problem of where to locate tex-
and oppositions—buried within a poem’s semantic, syntac-
tual meaning may be instructive.
tic, and phonological levels, by the delineation of the vision
and world projected “in front of” the text, or by the per-
In the heyday of New Criticism, distinguished by its
ception of generic codes that at once familiarize and defamil-
apologetic zeal to honor literature’s intrinsic worth and mode
iarize.
of being, meaning was virtually identical with the text. In
contrast to scientific denotative language, literary language
The most radical treatment of the problem of text and
was held to be reflexive and self-referential; hence the perim-
meaning is certainly that fashioned by French philosopher
eters of a single text constituted its most proper context.
Jacques Derrida and his followers. The traditional view of
Meaning was generated by the text’s essential form or verbal
language in Western civilization has been essentially a mi-
structure, which Cleanth Brooks, in his 1947 book The Well
metic one: that is, language can faithfully and fruitfully mir-
Wrought Urn, said resembled “that of architecture or paint-
ror the interchange between mind, nature, and even God.
ing: it is a pattern of resolved stresses.” Because the poem
Deconstruction, however, undertakes the most trenchant
represented the most felicitous union of ontology and prax-
and skeptical questioning of the symmetrical unity between
is— “it is both the assertion and the realization of the asser-
words and meaning. According to Terry Eagleton in the
tion”—its meaning was thus paradoxically comprehensible
1983 book Literary Theory: An Introduction, “For the signi-
but supposedly could not be paraphrased. Similarly, the act
fied ‘boat’ is really the product of a complex interaction of
of interpretation was itself something of a paradox. On the
signifiers, which has no obvious end-point. Meaning is the
one hand, the aim of interpretation was to ascertain “the way
spin-off of a potentially endless play of signifiers, rather than
in which the poem is built . . . the form it has taken as it
a concept tied firmly to the tail of a particular signifier. . . .
grew in the poet’s mind.” Since interpretation was thought
I do not grasp the sense of the sentence just by mechanically
to be determined by no factor other than that single object
piling one word on the other: for the words to compose some
of the text, even the consideration of its origin or effect (the
relatively coherent meaning at all, each one of them must,
celebrated “intentional” and “affective fallacies”) was deemed
so to speak, contain the trace of the ones which have gone
extraneous and irrelevant. Because the text was taken as the
before, and hold itself open to the trace of those which are
privileged vehicle of meaning, its integrity could be preserved
coming after.” (For this reason, meaning in the Derridean
only if the interpreter were purged as much as possible of his
view must be qualified by the characteristics of différance [in
or her own assumptions, prejudices, beliefs, and values. De-
the sense of both difference and deferral], absence [in the
spite such noble effort, the New Critics confessed, the inter-
sense that signs are forever inadequate to “make present”
preter’s act carries the pathos of a quixotic quest, for the ade-
one’s inward experiences or phenomenal objects], and de-
quacy of criticism will always be surpassed by the adequacy
centering [in the sense of rejecting the “transcendental signi-
of the poem.
fied” and reconceptualizing any notion of the fixed origin or
metaphysical Urgrund as merely the product of desire.]) To
In various ways, the history of literary theory since the
speak of the stability and determinancy of textual meaning
mid-twentieth century may be regarded as a steady and in-
is therefore meaningless, just as it is futile to refer to a poem’s
creasingly stringent attack on such New Critical doctrines of
language as its proper context. The context of a poem, rather,
the text and the interpreter. The Heideggerian notion of Vor-
is the entire field of the history of its language, or, in com-
verstädnis (fore-understanding), mediated by the writings of
mentator Jonathan Culler’s apt dictum, “Meaning is context
the German biblical and philosophical scholars Rudolf Bult-
bound, but context is boundless” (On Deconstruction: Theory
mann and Hans Gadamer, demonstrated the impossibility
and Criticism after Structuralism, 1982). Meaning is thus fi-
of unprejudiced, objective interpretation, because no act of
nally coincidental with the Nietzschean concept of free play,
knowing can be undertaken without a “pre-knowing” that
both labyrinthine and limitless; and interpretation, far from
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LITERATURE: LITERATURE AND RELIGION
5475
being an affair of passive mimesis, is another form of media-
served that when différance is described as “wholly other”
tion and displacement, of substituting one set of signifiers
(tout autre) than being and knowing, its convergences with
for another.
theological ideas of transcendence are hard to ignore. Dutch
Philosopher Hent de Vries considers Deconstruction and
The merit of deconstruction for literary study remains
negative theology to have become “silent companions in an
hotly debated. To the study of religion, a discipline commit-
attempt to establish new discursive forms and practices of
ted to investigating the infinite varieties and morphologies
philosophical and cultural analysis, of ethical deliberation
of “the irreducibly sacred,” a program so replete with logo-
and political engagement” (Philosophy and the Return to Reli-
centrism, the challenge posed by the uncanny, Cassandra-
gion, 1999).
like utterances of Derrida seems all too apparent.
Other religious responses to Deconstruction have at-
DECONSTRUCTION AND RELIGION. By the end of the twenti-
tended less to its emphasis on différance than to its critiques
eth century, the term deconstruction had become common-
of modernity. If one comes to doubt the self-sufficiency of
place in popular culture and across the humanities and social
Enlightenment beliefs about the autonomy of reason, then
sciences. Its effects on inquiry into religion have proven to
modern reductions of religion to social categories can begin
be as paradoxical as Derrida himself, who has written of reli-
to seem insecure. Deconstructive-like interpretation has
gion appreciatively as well as critically. To grasp this perhaps
cleared openings for reappraisals of religious practice and
surprising development requires noticing how Deconstruc-
thought, such as Daniel Boyarin’s Intertextuality and the
tion differs from other critical practices.
Reading of Midrash (1990) and Jean-Luc Marion’s God With-
In many ways, it resembles what Ricoeur calls the “her-
out Being (1991). Some who have otherwise appreciated its
meneutics of suspicion.” Derrida exposes arbitrary, seeming-
critiques of modernity, however, have strenuously dissented
ly innocent dualities in texts and traditions (e.g., where
from what they regard as the nihilism of Deconstruction,
“depths” are assumed to be truer than “surfaces,” and “origi-
viewed less as a critical practice than an ideology that regards
nals” more authentic than “copies”). He intersects with femi-
writing as another instance of Nietzsche’s will-to-power.
nist, psychoanalytic, Nietzschean, and Marxist-related cri-
Similarly, Deconstruction has been valued for unmasking
tiques of gendered interests, racism, collective neuroses, and
the political and religious rationalizations so often evident in
unacknowledged power. Some of the earliest deployments of
histories of oppression, and for listening carefully to the si-
Deconstruction sought to dismantle the “logocentric” as-
lences in testimony about such events—as when survivors of
sumptions it detects in both classical and modern reasoning.
the Shoah (Holocaust) challenge consoling ways of coming
to terms with evil. Nevertheless, its approach to texts that
Deconstruction follows a distinctive trajectory, howev-
bear witness to great harm or injustice has prompted the
er. First, it must indicate its own norms cautiously, ironical-
worry that postmodern critique can be rather ahistorical; it
ly, or “under erasure,” since principles of justice or compas-
may risk reducing the limits of mimesis in suffering to a gen-
sion would also be part of the disconcerting play of signifiers.
eral theory of linguistic limits, instead of considering how
Secondly, deconstructive readings—almost as if they were
history may rupture reflective language in particular ways.
guests, hosts, or parasites—insinuate themselves into the lan-
guage at hand. The reader, after all, has no place to be other
Derrida addresses these issues of particularity and uni-
than amid the play of differences in the texts and traditions
versality in his works on religion. He learned much from
being read. This strategy of textual interplay can make read-
Emmanuel Levinas, one of his earliest interlocutors. Their
ing Derrida’s writings quite challenging. When he writes of
decades-long exchange concerned how far one may univer-
religion, he locates himself in proximity not only to theory
salize the encounter with the “face of the other,” which
about religion but also adjacent to scriptures and practices.
creates, for Levinas, the ethical imperative that precedes all
And appropriately so, for he is a francophone Jew born in
philosophical issues. If this encounter reduces to a universal
Algeria, who remains both apart from yet in contact with Ju-
“otherness,” then particular others may be eclipsed. Because
daism; his work has affinities with midrashic commentary.
Deconstruction does not understand the other reductively,
So one should be cautious in assuming that deconstructive
however—it claims only to probe the intertextual milieus in
criticism is only suspicious, since its attentions to linguistic
which others are met—then arguably it is an approach that
and rhetorical details often elucidate textual meaning.
respects particularity.
Derrida himself has encouraged one of the positive ap-
Rhetorical innocence may be a quixotic dream, yet reli-
propriations of Deconstruction in religious thought, ac-
gion is most intriguing, believes Derrida, when it desires “the
knowledging its resonance with apophatic, or negative, ways
impossible.” It is more compelling in its practices of prayer,
of knowing God. Clearly, his numerous near-synonyms for
mourning, giving, confession, circumcision, hospitality, and
différance (écriture, trace, dissemination, supplement) do not
testimony than when conceptualizing the divine. In his essay
name some unnamable, ultimate referent of negative theolo-
“Faith and Knowledge” (in Acts of Religion, 2002), Derrida
gy. Since différance is but a neutral possibility, which both
likens religion, as least in the West, to an ellipse, whose foci
enables and destabilizes language and knowing, it is neither
are the idioms of faith (belief, trust, obligation) and of the
the hidden God nor the death of God. Yet some have ob-
holy (the sacred, “the unscathed,” purity). This unstable
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5476
LITERATURE: LITERATURE AND RELIGION
structure figures in ancient and modern histories of “enlight-
Girard, René. Violence and the Sacred. Baltimore, 1977.
enment” and can now be seen globally in perplexing, even
Girard, René. The Scapegoat. London, 1986.
contradictory alliances. Derrida observes how religious per-
Gunn, Giles B. The Interpretation of Otherness: Literature, Religion,
sonalities and institutions frequently attempt to use the ma-
and the American Imagination. Oxford, 1979.
chinery of telecommunication and cyberspace to preserve
Handelman, Susan A. The Slayers of Moses: The Emergence of Rab-
identity and resist the ways that the machine alienates per-
binic Interpretation in Modern Literary Theory. Albany, N.Y.,
sons from one another. Yet there also remains, anterior to
1982.
the shifting terms of religion, the metaphor of the “desert.”
Jacobsen, Thorkild. The Treasures of Darkness: A History of Meso-
While Derrida alludes to Sinai and to eremites and mystics,
potamian Religion. New Haven, Conn., 1976.
by the desert he means the all but impossible “place” of dif-
Kennedy, George A. Classical Rhetoric and Its Christian and Secu-
férance, where the other is met. His late ruminations invite
lar Tradition from Ancient to Modern Times. Chapel Hill,
us to contemplate the inherited and contingent uncertainties
N.C., 1980.
of signs, as they play host to protean transformations of
LaFleur, William R. The Karma of Words: Buddhism and the Liter-
meanings and identities in literature and religion.
ary Arts in Medieval Japan. Berkeley, Calif., 1983.
Lesky, Albin. A History of Greek Literature. Translated by James
SEE ALSO Aesthetics, article on Philosophical Aesthetics; Au-
Willis and Cornelius de Heer. New York, 1966.
gustine of Hippo; Bhagavadg¯ıta¯; Biblical Exegesis; Biblical
Lewalski, Barbara Kiefer. Protestant Poetics and the Seventeenth-
Literature, article on New Testament; Bra¯hman:as and
Century Religious Lyric. Princeton, N.J., 1979.
A¯ran:yakas; Buddhist Books and Texts; Cosmogony; Dante
Alighieri; Deconstruction; Drama, articles on Ancient Near
Lieb, Michael. Poetics of the Holy: A Reading of “Paradise Lost.”
Chapel Hill, N.C., 1981.
Eastern Ritual Drama; Enuma Elish; Epics; Evil; Gilgamesh;
Hermeneutics; Heroes; Language; Law and Religion, article
Lord, Albert Bates. The Singer of Tales. Cambridge, Mass., 1960.
on Law, Religion, and Literature; Maha¯bha¯rata; Myth, over-
Meeks, Wayne A. The Writings of St. Paul. New York, 1972.
view article; Poetry, articles on Christian Poetry, Indian Re-
Milbank, John. The Word Made Strange: Theology, Language, Cul-
ligious Poetry; Quests; Ra¯ma¯yan:a; Scripture; Shamanism,
ture. Oxford, 1997.
overview article; Upanis:ads; Vedas.
Miner, Earl, ed. Literary Uses of Typology from the Late Middle Ages
to the Present. Princeton, N.J., 1977.
BIBLIOGRAPHY
O’Flaherty, Wendy Doniger, ed. The Critical Study of Sacred
Auerbach, Erich. Mimesis: The Representation of Reality in Western
Texts. Berkeley, Calif., 1979.
Literature. Princeton, N.J., 1953.
Poland, Lynn M. Literary Criticism and Biblical Hermeneutics: A
Auerbach, Erich. Literary Language and Its Public in Late Latin
Critique of Formalist Approaches. Chico, Calif., 1985.
Antiquity and in the Middle Ages. New York, 1965.
Ramsaran, John A. English and Hindi Religious Poetry. Leiden,
Betz, Hans Dieter. Galatians. Philadelphia, 1979.
1973.
Booth, Wayne C. A Rhetoric of Irony. Chicago, 1974.
Redmond, James, ed. Drama and Religion. Cambridge, U.K.,
Bultmann, Rudolf. Jesus Christ and Mythology. New York, 1958.
1983.
Ricoeur, Paul. Interpretation Theory: Discourse and the Surplus of
Critchley, Simon. The Ethics of Deconstruction. Oxford, 1992.
Meaning. Fort Worth, Tex., 1976.
Derrida, Jacques. Of Grammatology. Baltimore, 1976.
Ricoeur, Paul. Time and Narrative. 3 vols. Chicago, 1984–1988.
Derrida, Jacques. Dessemination. Chicago, 1981.
Rohde, Erwin. Psyche: The Cult of Souls and Belief in Immortality
Derrida, Jacques. On the Name. Stanford, Calif., 1995.
among the Greeks. London, 1925.
Derrida, Jacques. Adieu to Emmanuel Levinas. Stanford, Calif.,
Scott, Nathan A., Jr. The Poetics of Belief. Chapel Hill, N.C.,
1999.
1985.
Derrida, Jacques. Acts of Religion. New York, 2002.
Shaffer, E. S. “Kubla Khan” and the Fall of Jerusalem: The Mytho-
Dumézil, Georges. Mythe et épopée. 5 vols. Paris, 1968–1973.
logical School in Biblical Criticism and Secular Literature,
1770-1880. Cambridge, U.K., 1975.
Eliade, Mircea. Shamanism: Archaic Techniques of Ecstasy. New
York, 1964.
Smith, Jonathan Z. Imagining Religion: From Babylon to Jones-
town. Chicago, 1982.
Fairchild, Hoxie N. Religious Trends in English Poetry. 6 vols. New
Sternberg, Meir. The Poetics of Biblical Narrative. Bloomington,
York, 1939–1968.
Ind., 1984.
Farnell, L. R. Greek Hero Cults and Ideas of Immortality. Oxford,
Strier, Richard. Love Known: Theology and Experience in George
1921.
Herbert’s Poetry. Chicago, 1983.
Fish, Stanley. Surprised by Sin: The Reader in “Paradise Lost.”
Tigay, Jeffrey H. The Evolution of the Gilgamesh Epic. Philadel-
Berkeley, Calif., 1971.
phia, 1982.
Frye, Northrop. The Great Code: The Bible and Literature. New
Wilder, Amos N. Early Christian Rhetoric: The Language of the
York, 1982.
Gospel. Cambridge, Mass., 1972.
Gadamer, Hans-Georg. Truth and Method. New York, 1975.
ANTHONY C. YU (1987)
Girard, René. Deceit, Desire, and the Novel. Baltimore, 1965.
LARRY D. BOUCHARD (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
LITERATURE: RELIGIOUS DIMENSIONS OF MODERN WESTERN LITERATURE [FIRST EDITION]
5477
LITERATURE: RELIGIOUS DIMENSIONS OF
of Christian orthodoxy, on its symbolism and conceptual
MODERN WESTERN LITERATURE [FIRST
structures and cultic forms and all its protocol. But (as Amos
EDITION]
Wilder reminds us, in his book Modern Poetry and the Chris-
In the West, the major literature of the modern period forms
tian Tradition) it ought to be regarded as one of the great
a canon reaching from Stendhal to Faulkner, from Leopardi
lessons of the Incarnation that a faith grounded in a divine
to Stevens, from Gogol to Malraux, from Rimbaud to Rilke
act of self-emptying (kenosis) will itself always be an affair of
and Yeats and Montale; and this is a canon that, in its pre-
diaspora—dying in order to live, wedding itself to changing
dominant tone and emphasis, is secular. Indeed, the modern
forms and sensibilities “in a daring surrender of life, and
writer, in his characteristic manifestations, is commonly re-
[thus introducing] creative energies and perspectives which
garded (in the phrase from Wallace Stevens’s Esthétique du
then make their appearance in secular form,” and in ways un-
Mal) as a “shaken realist” who, in a time left darkened by
distinguished by any evangelical stamp.
the recession of traditional codes and patterns of belief, has
The chief paradigm here is, of course, that of the Ro-
had to steer his own course without compass or guiding star.
mantics, that “visionary company” of such people as Blake
The Christian mythos has, of course, steadily retained its
and Wordsworth and Chateaubriand and Hölderlin and
power to offer certain figures a controlling vision of the
Schiller. For these and numerous other strategists of the Ro-
world; and, in this connection, one will think of such poets
mantic insurgency, though they were seeking a way out of
and novelists and dramatists of the present century as
the wilderness that had been created by Enlightenment icon-
Georges Bernanos, Paul Claudel, François Mauriac, Gertrud
oclasm, had yet lived through the Enlightenment, which
von le Fort, T. S. Eliot, David Jones, W. H. Auden, R. S.
meant that, eager as they were to retrieve the religious possi-
Thomas, Graham Greene, and Flannery O’Connor. But
bility, they could not simply reinstate without revision the
these and numerous others who might also be spoken of are
traditional dogmatic system of Christian belief. Just as Ro-
writers who, for all the immense distinction of an Eliot or
mantic philosophers like Schelling and Hegel were adapting
an Auden, form nevertheless a minority tradition that does
biblical themes and categories to the new requirements of
not carry (in Matthew Arnold’s phrase) “the tone of the
speculative metaphysics, so, too, their literary counterparts
centre.”
were approaching their religious inheritance as in Wallace
Stevens’s phrase, a “poem of the mind in the act of finding
This is by no means, however, to say that the literature
/ What will suffice” (Of Modern Poetry, in The Collected
of the modern period is without significant religious interest.
Poems). But, now that “the theatre was changed,” if the poem
For even when it has thrown away, as Stevens would say, all
of the mind were “to learn the speech of the place” and “to
the lights and definitions of the past and when it will no lon-
face the men of the time,” it had “to construct a new stage.”
ger use “the rotted names” for what it vaguely and agnostical-
So, inevitably, it underwent the sort of profound hermeneu-
ly descries of theos “in the dark,” it may, by the very radicality
tic transformation that had to be administered, if the re-
of its unbelief, awaken sensibilities of a contrary order, so
ceived heritage of faith were to be so reconstituted as to be
that by way of a kind of coincidentia oppositorum it becomes
intellectually and emotionally appropriable in an altered cli-
an instrument of religious recovery. One classic case in point
mate. And very often (as M. H. Abrams has shown in his
is Paul Claudel’s testimony (in his preface to the Œuvres de
book Natural Supernaturalism) the result proved to be one
Rimbaud, Paris, 1924) about how his early admiration for
or another kind of project for naturalizing the supernatural
the poet of Une saison en enfer came to be a decisive praepara-
and for humanizing the divine.
tio in his own life for a deeper entrance into the Christian
faith. And similar testimonies have been made by others
Yet in Blake’s The Four Zoas as in Hölderlin’s Hyperion,
about the poetry of Baudelaire and the fiction of Kafka and
in Wordsworth’s Prelude as in Novalis’s Hymnen an die
the theater of Beckett.
Nacht, the pressure of biblical forms and categories is mani-
fest: the central realities are alienation and reunion, death
The analysis of the interrelations in the modern period
and rebirth, hell and heaven, paradise lost and paradise re-
between religious and literary forms finds its greatest chal-
gained. And we can discern the formative influence of the
lenge, however, in the kind of subterranean life that religious
archetypes of the old Christian story of man as an exiled pil-
modalities often have in literature that announces itself as
grim who, having lost an original state of felicity through a
radically secular. Remarking this paradox often provokes, to
tragic fall, must undertake a difficult Bildungsweg, a circu-
be sure, a certain vexation among those literary scholars and
itous journey in search of a new Jerusalem.
critics who like a tidier state of affairs. So when, for example,
a Christian interpreter of culture detects in this body of poet-
Now, it is this Romantic pattern—of the religious heri-
ry or in that body of drama phases of Christian thought and
tage being submitted to a process of revision and seculariza-
feeling that have, as it were, gone underground and taken on
tion but of the themes and issues of that heritage retaining
strange new accents and guises, he may be irritatedly told
a powerful underground life—that, improbable as it may at
that it is appropriate for literary criticism to make reference
first seem, is frequently to be encountered in the literature
to the Christian firmament of value only when it is dealing
of the modern period. It may well be, therefore, that in this
with a literature that explicitly relies on a particular tradition
connection we ought not to use the term secularization.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5478
LITERATURE: RELIGIOUS DIMENSIONS OF MODERN WESTERN LITERATURE [FIRST EDITION]
True, the idea of the world as the creation of a deus faber,
But something illogically received. . . .
of some sort of immaterial Person behind the myriad phe-
(Opus Posthumous, p. 101; used by permission)
nomena of experience who periodically perforates or breaks
So we need not, therefore, cast about for some scala sacra
into the realm of nature and history to set things aright, is,
leading up beyond the phenomenal world into the timeless-
indeed, an idea in which the modern writer does not charac-
ness of eternity, since that which is steadfast and reliable,
teristically take any great interest, and his tendency has been
which is gracious and deserving of our trust, is already at
to endorse something like the famous word that the French
hand in “the vulgate of experience,” in the uncreated Rock
astronomer Laplace offered Napoleon, when he said, “I have
of reality—“mere Being”—which offers us “the imagina-
no need of that hypothesis.” Which is not, however, to say
tion’s new beginning.” And most especially in the great
that the literary imagination has not regularly sought to as-
poems of his last years—in Chocorua to Its Neighbor, Cre-
sure itself that the world is something more than the inert
dences of Summer, Notes toward a Supreme Fiction, A Primi-
blankness of what Coleridge called “fixities and definites”:
tive like an Orb, An Ordinary Evening in New Haven, To an
on the contrary, again and again it searches for evidence that
Old Philosopher in Rome, The Rock—all his “edgings and
things are charged (in Stevens’s phrase) with “a kind of total
inchings” appear to be calculated at the end to speak of “the
grandeur at the end,” for evidence that, inconceivable
final goodness” of things, of a holiness indwelling every nook
though the idea of Grace “overhead” may be, the world does
and cranny of the world, which invites “a fresh spiritual,” one
itself tabernacle grace and glory. Transcendence, in other
untouched by any sort of supernaturalist figuralism. It is a
words, is to be found in and through the secular, or, to bor-
poetry of immanence. But, for all Stevens’s impatience with
row the terms of the French philosopher Jean Wahl, the
traditional metaphysical theism, it can hardly be declared to
route to be taken toward felicity and plenitude is not “trans-
be a poetry that fails to line itself up behind any significantly
ascendence” but “transdescendence”—or, in the familiar for-
religious outlook, and its accent and emphasis require us to
mulation of Dietrich Bonhoeffer’s Letters and Papers from
pay deference to what he himself on one occasion wanted to
Prison, the “Beyond” is to be found “in the midst of our life.”
insist upon when, in a Christmas letter of 1951 to the critic
It is such an axiom as this that comes close to forming the
Sister M. Bernetta Quinn, he said, “I am not an atheist al-
basis of the period style in large ranges of twentieth-century
though I do not believe today in the same God in whom I
literature, and it may be descried to be a guiding principle
believed when I was a boy.”
for writers as various as William Butler Yeats and Wallace
Stevens, D. H. Lawrence and William Carlos Williams,
Yet, however much modern literary sensibility may be
Jorge Guillén and René Char, Marianne Moore and Charles
distinguished by the determination of such a writer as Ste-
Olson, Elizabeth Bishop and Gary Snyder, Jules Supervielle
vens to find the possibility of transcendence in and through
and Czeslaw Milosz.
the secular, many of the old paradigms and archetypes of the
Judeo-Christian story continue to endure with a remarkable
The poetry of Stevens, for example, provides a great case
persistence. More than three hundred years after the first
of this relocation of transcendence into the dimension of im-
publication of Milton’s Paradise Lost the myth of the Fall,
manence. Taking it for granted, as he does, that “the author
for example, has lost none of its power to captivate and focal-
of man’s canons is man, / Not some outer patron” (Conversa-
ize the literary imagination. In part, this is no doubt conse-
tion with Three Women of New England, in Opus Posthu-
quent upon the disclosures that have come from modern psy-
mous), he is, to be sure, a “shaken realist” who finds it impos-
chology of the furies of unreason that rage deep within the
sible to avoid the conclusion that something else “must take
human interior. And in the twentieth century the gas ovens
the place / Of empty heaven and its hymns” (The Man with
and concentration camps that have been devised for the
the Blue Guitar, in The Collected Poems). So, as he says, “We
obliteration of millions of people and the nightmares of nu-
seek / Nothing beyond reality” (An Ordinary Evening in New
clear warfare have surely provided the most compelling in-
Haven, in The Collected Poems), since the “essential integrity”
centive for subsuming the human condition at large under
of things must be found within “The actual landscape with
this ancient apologue. But, for whatever reason, it has been
its actual horns / Of baker and butcher blowing.” But this
used almost endlessly as a framing structure for narrative,
actual landscape is by no means for Stevens merely a huge
and not only by writers sustained by some mode of religious
res extensa, silent and dead and immeasurable. On the con-
orthodoxy but by, say, the Conrad of Heart of Darkness, the
trary, the “Is-ness” of everything that exists is invested with
Hesse of Demian, the Camus of La chute.
a most extraordinary radiance and presence: in the poem
Indeed, the English novelist William Golding is so ob-
Metaphor as Degeneration he says, “It is being.” This it is that
sessed by what is broken and deformed in the human situa-
lights up the things and creatures of earth—“mere Being,”
tion that in book after book—in Lord of the Flies, in Free Fall,
which is, as he says in The Sail of Ulysses, that
in The Spire—he uses in one way or another imagery of “fal-
Life lighter than this present splendor,
lenness.” In, for example, his novel of 1954, Lord of the Flies,
Brighter, perfected and distant away,
he builds his narrative around a group of English schoolboys
Not to be reached but to be known,
who survive a plane crash on a tropical island. But this re-
Not an attainment of the will
mote fastness turns out not at all to be any sort of Isle 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
LITERATURE: RELIGIOUS DIMENSIONS OF MODERN WESTERN LITERATURE [FIRST EDITION]
5479
Blessed: its shoreline is “torn everywhere by the upheavals of
ed in the archetypes of Prometheus and Orpheus and Parzi-
fallen trees,” the heat is felt as “a threatening weight,” and
val and Faust.
the forests roar and flail, the thorny underbrush is a reminder
When poets and novelists and dramatists begin, out of
of how nearly the adjacent jungle presses in, and the fruits
whatever framework of personal belief, to explore what is in-
of the place induce diarrhea. Such is the uncongenial pre-
volved in life releasing itself as an offering to other life, surely
cinct amid which the little company of refugee schoolboys
it is inevitable that this leitourgia should be apprehended,
must undertake to organize a makeshift confederation for
even if unconsciously, within the terms of the Passion story,
their common welfare. But, almost immediately, their life to-
since this is the most familiar and the most pervasive narra-
gether is so perverted by the will to power that it collapses
tive in Western culture of what Dietrich Bonhoeffer (in his
into a savage kind of depravity. They invent absurd taboos
book Ethics) called “deputyship.” When we act for others—
and barbaric blood-rituals. And their cruel aggrandizements
as, said Bonhoeffer, when a “father acts for the children,
against one another erupt at last into murder. Golding was
working for them, caring for them, interceding, fighting and
for many years a teacher in Bishop Wordsworth’s School,
suffering for them” and thus undertaking to be “their depu-
Salisbury; so, as an ex-schoolmaster, he has the requisite ex-
ty”—something is being given up: what is one’s own is being
perience of boys for making the whole tale fully plausible.
handed over to another, for the sake of the human commu-
But his novel does not want to say “You see? This is what
nion. And, at least on one level, it is of such sacrificial service
boys are like, once they escape the civilizing disciplines of
that Christ stands in our culture as the primary archetype.
family and church and school.” On the contrary, it intends
So, when “deputyship” forms a part of the experiential reality
to say “Here is the naked reality of elemental human nature
with which the literary imagination seeks to deal, it ought
itself.” Nowhere, to be sure, is any explicit reference made
not to be regarded as surprising that the figure of Christ
to the story about the garden of Eden in Genesis, but Gol-
should often be found hovering in the background.
ding’s very refusal to submit the Fall to anything resembling
One will not, of course, be surprised to find the Christic
logical or historical analysis is an indication that he, like the
image being invoked by a Roman Catholic novelist like
numerous other modern writers who work with this theme,
François Mauriac (in the character of Xavier Dartigelongue
takes for granted the lesson laid down by the English theolo-
in L’agneau) or Graham Greene (in “the whiskey priest” of
gian John Seldon Whale (in his book Christian Doctrine),
The Power and the Glory). But it is also to be encountered
when he says: “Eden is on no map, and Adam’s fall fits no
over and again in the fiction of many writers who, if not rep-
historical calendar. Moses is not nearer to the Fall than we
resenting some mode of secular humanism, stand in at least
are, because he lived three thousand years before our time.
a very ambiguous relation to Christian doctrine.
The Fall refers not to some datable aboriginal calamity in the
historic past of humanity, but to a dimension of human ex-
In American literature one will think, for example, in
perience which is always present. . . . Everyman is his own
this connection of John Steinbeck’s The Grapes of Wrath. Its
‘Adam,’ and all men are solidarily ‘Adam.’”
moving account of the flight to California of a family of ten-
ant farmers from an Oklahoma ruined by the dust storms of
Or, again, like the myth of the Fall, the Christic image
the 1930s established it as the dominant social novel of its
is frequently invoked in the literature of recent decades.
period on the American scene, and it remains a minor classic.
What is here being referred to is not, however, the kind of
On their long and difficult journey the Joads are accompa-
fictionalized biography of Jesus that occasionally provides
nied by Jim Casy, an ex-preacher who has lost his faith and
the focus for historical novels in the mode of Robert Graves’s
who, in his lighthearted womanizing, does not conform in
King Jesus and Nikos Kazantzakis’s The Last Temptation of
any conventional way to a saintly norm. But, in his steadfast
Christ. Nor is reference being made to the various literary
loyalty to the Joads throughout all their hazardous journey-
presentations—as in Gerhart Hauptmann’s Hanneles Him-
ing to the Promised Land (not unlike the journeying of the
melfahrt or Upton Sinclair’s They Call Me Carpenter—of
ancient Israelites) and in his sympathy for all those who are
Christ in modern garb, of the figure whom Theodore Ziol-
in need of succor and encouragement, he proves his role in
kowski (in his book Fictional Transfigurations of Jesus) speaks
the design of the novel to be that of showing that, indeed,
of as the Jesus redivivus. Nor, again, to insert still another
the Good Place is not so much a particular region or tract
negative, is reference being made to the phenomenon that
of land as it is that space among human beings that is made
Ziolkowski denominates as “Christomania,” the condition
radiant by reverence for the sacrality of the neighbor. And,
that is being explored (as in Nathanael West’s Miss Lonely-
not unnaturally, his fidelity to the insulted and the injured
hearts or Kazantzakis’s The Greek Passion) when the novelist
leads to his death at the hands of strikebreakers in California
takes as his subject a personage who, often under the pressure
who are sent to hunt him down for the part he has played
of a pathological psychology, commits himself to the exac-
in leading a strike. Tom Joad, who kills the man who struck
tions of an imitatio Christi. What is rather in view are the
Casy, becomes a fugitive, and, when Ma Joad reaches him
various examples in modern literature of sanctity and of re-
in his place of hiding, he says:
demptive suffering that are rooted in the archetype of Christ,
Lookie, Ma. I been all day an’ all night hidin’ alone.
in the same manner that other dramatic patterns are ground-
Guess who I been thinkin’ about? Casy! He talked a lot.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5480
LITERATURE: RELIGIOUS DIMENSIONS OF MODERN WESTERN LITERATURE [FIRST EDITION]
Used ta bother me. But now I been thinkin’ what he
hearsal of the Passion of Christ. The action occurs on June
said, an’ I can remember—all of it. Says one time he
12, 1915 on the Eastern Front, where the narrator’s father
went out in the wilderness to find his own soul, an’ he
Vincent Berger (a native of Alsace, then a part of Germany),
foun’ he didn’ have no soul that was his’n. Says he foun’
as an officer of the German intelligence service, is observing
he jus’ got a little piece of a great big soul. Says a wilder-
a bombardment being launched by German troops against
ness ain’t no good, ’cause his little piece of a soul wasn’t
the Russians. A newly developed poisonous gas is to be used,
no good ’less it was with the rest, an’ was whole. Funny
how I remember. Didn’ think I was even listenin’. But
and, once it is released and begins to float down the adjacent
I know now a fella ain’t no good alone.
valley toward the Russian trenches, the German troops wait
and wait, and continue to wait, but they can discern through
So it seems that this Christlike man in death has at least one
their binoculars no trace of any activity in the neighborhood
disciple, for Tom Joad appears to have mastered Casy’s great
of the enemy’s advance positions. So, after a long interval,
lesson, that “two are better than one.”
they decide to move forward; but no fire comes from the
Russian artillery. And, finally, Berger and the other staff offi-
Nor will it be forgotten how regularly the Passion of
Jesus guided William Faulkner’s imagination. Though the
cers begin to wonder why it is that, long after plunging into
principal action of The Sound and the Fury occurs in the year
the Russian trenches, the foot soldiers in their advance guard
1928, the chronology of the novel is, clearly, that of Passion
do not reappear. At last they are seen, but instead of continu-
Week. At the center of Light in August is not only Joanna
ing their advance, they return in a great swarm, and the offi-
Burden but also Joe Christmas, who is marked by the invisi-
cers, as they peer through their binoculars, are baffled by
ble “cross” of the Negro blood that flows in his veins and
what they seem to be carrying, which, at a distance of a mile
who, after a lifetime of being badgered and abused, is finally
or so, appear to be only white spots. As it turns out, the Ger-
slaughtered on a Friday, at the same age of Christ at the time
mans, in making their way back to their own lines, are carry-
of his crucifixion. And he, too, achieves a kind of apotheosis,
ing the bodies of gassed Russian infantrymen. “No,” says
for, after being castrated by a white racial maniac while he
one, “man wasn’t born to rot!” Berger, as he contemplates
is dying of gunshot wounds, “from out the slashed garments
the scene, slowly realizes that this mutiny is not merely an
about his hips and loins the pent black blood . . . seemed
expression of pity, that it attests to “something a good deal
to rush out of his pale body like the rush of sparks from a
deeper, an impulse in which anguish and fraternity were in-
rising rocket; upon that black blast the man seemed to rise
separably mingled.” And, as he passes a German infantryman
soaring into their memories forever and ever.” Or, again, Ike
struggling to carry on his shoulders a dying Russian out of
McCaslin in The Bear and Nancy—“Negro, dopefiend,
“the sordid world of the liquefied forest,” he notices that the
whore”—in Requiem for a Nun want in various ways to say,
two together in silhouette form an outline like that of the
as Nancy puts it, “Trust in Him.” And the book of 1954,
Descent from the Cross.
A Fable, presents the culminating instance of Faulkner’s de-
So the old images and myths and archetypes of the
pendence upon the imagery of the Passion, for his central
Christian story persist in the secular literature of the modern
protagonist here is an obscure pacifist corporal who, by the
period, although often in altered form. But not only do these
manner of his death in the attempt to bring to an end the
protoplastic forms continue to have a significant subterra-
carnage in the French theater of World War I, appears un-
nean life; so, too, do certain habits of spiritual perception.
mistakably to be an analogue of Christ.
The works, for example, of D. H. Lawrence—the Lawrence
Steinbeck and Faulkner are, of course, but two of many
of Women in Love and The Plumed Serpent and Lady Chatter-
other writers who might be cited in this context, for, from
ley’s Lover—are a case in point. T. S. Eliot laid it down (in
the time of Melville’s Billy Budd on to the present, the Amer-
After Strange Gods) that Lawrence was “an almost perfect ex-
ican literary imagination has been repeatedly drawn to the
ample of the heretic,” that his vision was “spiritually sick,”
archetype of Christ. Nor does modern European literature
and that it could appeal only “to the sick and debile and con-
represent any great difference in this respect. The fiction of
fused.” And no doubt Lawrence’s quest of “mindlessness”
the Italian novelist Ignazio Silone, for example—Bread and
and the “dark gods” and his commitment to “savage pilgrim-
Wine, The Seed beneath the Snow, The Secret of Luca—
age” will still prompt many to blurt out some such impatient
recurrently presents a dramatic economy that is knit together
dismissal as Eliot ejaculated. But such a response will only
by its parallels to the gospel of the New Testament, and Silo-
reflect, as it did in Eliot, a failure of intelligence, for Law-
ne’s play And He Hid Himself, which is essentially a dramati-
rence’s whole emphasis on “phallic consciousness,” as it was
zation of Bread and Wine, makes explicit how much Pietro
combined with his polemic against “mental consciousness,”
Spina, the protagonist of the novel and of The Seed beneath
was intended to rescue human carnality from the kind of
the Snow, is intended to be a figure of Christ.
“scientific” reductionism that, in the manner of a Marie
Stopes, would make it merely an affair of calculation and
Or, again, odd as it may at first seem in the work of a
mechanism (as it is for “the young man carbuncular” of
writer apparently so distant from any sort of Christian posi-
Eliot’s Waste Land). In Lawrence’s short story Glad Ghosts,
tion, the great climactic moment of André Malraux’s last
Lord Lathkill is speaking to Colonel Hale about the latter’s
novel, Les noyers de l’Altenburg, is nothing if it is not a re-
wife, now deceased, and he says: “You may have been awfully
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LITERATURE: RELIGIOUS DIMENSIONS OF MODERN WESTERN LITERATURE
5481
good to her. But her poor woman’s body, were you ever good
moon, and all the things of earth “uttereth speech” and “she-
to that? . . . That’s the point. If you understand the mar-
weth knowledge” and are exalted forever.
riage service: with my body I thee worship. That’s the point.
Now it is into this general order of discrimination that
No getting away from it.” And in his richest work—in The
we shall be taken when we begin to reckon with, say, Joyce’s
Rainbow, in Women in Love, in St. Mawr, in many of his fin-
Portrait of the Artist as a Young Man, with many of Pound’s
est poems—it is precisely his purpose to advance such a sac-
Cantos, with Kafka’s Das Schloss, with Brecht’s Der gute Men-
ramental view of the sexual act as may indeed be far more
sch von Sezuan, with Beckett’s En attendant Godot, with Wil-
authentically Christian than the frequent tendency of the
liam Carlos Williams’s Paterson, and with a vast number of
theological tradition, in both its Catholic and Protestant
other focal modern texts. Which is not at all to say that, for
phases, to pronounce concupiscentia as valid only insofar as,
all its secularity, the characteristic literature of the modern
within the bond of marriage, it is instrumental toward pro-
period reveals itself to be somehow controlled by an anima
creation.
naturaliter Christiana. What requires rather to be acknowl-
Or, in another direction, we may turn to a writer as dif-
edged is that the great symbolic forms of Christendom never
ferent from Lawrence in style of vision as Ernest Heming-
(as Mircea Eliade says of symbols generally, in Images and
way, and, immediately, the common tendency will be to
Symbols) simply disappear from the reality of the psyche: “the
think of him as having been a votary of nada, as one who
aspect of them may change, but their function [often] re-
was prepared to say (in the language of his famous story A
mains the same; one has only to look behind their latest
Clean, Well-Lighted Place), “Our nada who art in nada, nada
masks.” And it is the uncovering of what is hidden and dis-
be thy name thy kingdom nada thy will be nada in nada as
guised that constitutes the difficult effort to be undertaken
it is in nada. Give us this nada our daily nada and nada us
when literature in the age of Joyce and Kafka and Sartre be-
our nada as we nada our nadas and nada us not into nada
gins to be viewed from the standpoint of its relation to our
but deliver us from nada; pues nada. Hail nothing full of
religious inheritance.
nothing, nothing is with thee.” And many of Hemingway’s
readers may be inclined to posit—not, indeed, without some
BIBLIOGRAPHY
reason—that it is this “nothing full of nothing” that defines
Abrams, M. H. Natural Supernaturalism: Tradition and Revolution
the basic metaphysical situation forming the background of
in Romantic Literature. New York, 1971.
his fiction. But, then, one may remember the glorious inter-
Brooks, Cleanth. The Hidden God. New Haven, 1963.
lude of those five days that Jake Barnes and Bill Gorton in
Killinger, John. The Fragile Presence: Transcendence in Modern Lit-
The Sun Also Rises spend together fishing in waters up in the
erature. Philadelphia, 1973.
Pyrenees, where the air is crisp and clean and where they ex-
Moseley, Edwin M. Pseudonyms of Christ in the Modern Novel:
change, as it were, a smile of complicity with the golden
Motifs and Methods. Pittsburgh, 1962.
Basque uplands, with the clear trout streams and the dense
Otten, Terry. After Innocence: Visions of the Fall in Modern Litera-
beech woods and the untraveled sandy roads and the rising
ture. Pittsburgh, 1982.
sun—and one will remember that the novel’s epigraph from
Scott, Nathan A., Jr. Negative Capability: Studies in the New Liter-
Ecclesiastes speaks of how “the earth abideth forever.” Or one
ature and the Religious Situation. New Haven, 1969.
will remember Santiago in The Old Man and the Sea and his
Scott, Nathan A., Jr. The Wild Prayer of Longing: Poetry and the
reverential amazement at how beautiful and wondrous are
Sacred. New Haven, 1971.
the creatures of the sea and the sky. Though he beseeches the
Holy Mother after he has hooked his great marlin to “pray
Turnell, Martin. Modern Literature and Christian Faith. London,
1961.
for the death of this fish,” he thinks to himself, “Never have
I seen a greater, or more beautiful, or a calmer or more noble
Webb, Eugene. The Dark Dove: The Sacred and Secular in Modern
thing than you, brother.” And he is “glad we do not have to
Literature. Seattle, 1975.
kill the stars.” Or, again, in a similar vein, one will think of
Wilder, Amos N. Modern Poetry and the Christian Tradition: A
the Nick Adams stories in Hemingway’s first major book, In
Study in the Relation of Christianity to Culture. New York,
Our Time, and of how Nick is touched by the healing power
1952.
of the good earth as he fishes deep in the back country of
Ziolkowski, Theodore. Fictional Transfigurations of Jesus. Prince-
the north woods of Michigan, sometimes tenderly unhook-
ton, 1972.
ing the barb from the mouth of a trout he has caught and
NATHAN A. SCOTT, JR. (1987)
dropping it back into the water. And, throughout the novels
and the short stories, there is so much else in this mode that
it is difficult finally not to conclude that this writer often
sounds one of the most primitive meanings of the Christian
LITERATURE: RELIGIOUS DIMENSIONS OF
doctrine of Creation, that the world at hand is touched by
MODERN WESTERN LITERATURE [FURTHER
a transcendent glory, that indeed (as it is said by the canticles
CONSIDERATIONS]
of the Morning Office) the mountains and the hills, the
The most important development in Western literature since
nights and the days, the dews and the frosts, the sun and the
the 1960s is the rise of a movement that is generally known
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5482
LITERATURE: RELIGIOUS DIMENSIONS OF MODERN WESTERN LITERATURE
as postmodernism. Postmodern literature is characterized by
erature since the early 1980s. It would be a hasty induction,
a rejection of the Enlightenment’s belief in a rational and au-
however, to say that postmodern writing has no sense of the
thoritative narrative viewpoint in favor of an emphasis on the
sacred. Postmodern emphasis on the fragmentary has led in
virtual, the fragmentary, and the subversive. Nathan A.
unforeseen ways to a new way of thinking about religion. At-
Scott, Jr. concludes his essay “Tillich’s Legacy and the New
tention to fragments of narrative and personality character-
Scene in Literature” (1985) by recognizing that postmodern
ized both Romantics of the Jena tradition, such as Novalis
writing has firmly rejected “the old myth of ‘depth’”
(1772–1801) and Friedrich von Schlegel (1772–1829), and
(p. 147) upon which Tillich’s theology of culture relied. He
such high modernists as T. S. Eliot (1888–1965) and Ezra
turns to Warner Berthoff, who suggests, with a nod to Rob-
Pound (1885–1972). For all these writers, the fragment is
ert Musil’s novel in which “no serious attempt [will] be made
a part of an absent whole. The fragmentary, on the other
to. . . enter into competition with reality” (147), that post-
hand, attempts to pass beyond wholes and unities and to es-
modern writing is “a literature without qualities” (p. 152).
tablish what Maurice Blanchot (1907–2003) calls a “relation
Postmodern literature, Scott notes, “hardly gives off even the
without relation” or an “infinite relation” (Blanchot, The In-
slightest intimation of the sacred” (p. 152); it seems “utterly
finite Conversation, 1993, pp. 73, 296). The fragmentary
dry and vacant and unpromising” (p. 153). Yet the writers
cannot be folded into any unity, past or future, and certainly
in contention—Donald Barthelme, John Barth, Raymond
not into any of the “grand narratives” that Jean-François
Federman and Thomas Pynchon—are, he admits, highly
Lyotard (1925–1998) took as characteristics of modernity
gifted, and it would be best for us to do as Tillich would have
(Lyotard, 1984, xxiii). Rather, it would be mobile and plural,
done—to wait and see before we make judgments about
forever unsettled and unsettling. For Blanchot, this new
them, while at the same time remembering that great litera-
mode of relation bespeaks a rigorous atheism: it takes us be-
ture seeks to cope with the human situation and gives “a
yond the One on which all notions of God rely. For theolo-
shape and a significance” to our lives (p. 153).
gian David Tracy, however, the fragmentary is precisely our
If we survey the “new scene” in the early twenty-first
way of grasping God. The Eliot of The Waste Land (1922),
century, however, we will find ourselves obliged to extend
he argues, was a modernist, using fragments to shore him up
Scott’s vocabulary and to include other writers. Where Scott
against ruins of Western civilization, while the poet of Four
took Paul Tillich (1886–1965) as his theological reference
Quartets (1943) now seems strangely postmodern in his use
point when associating religion and literature, we would be
of fragmentary passages to suggest the intersections of time
more likely in the early 2000s to cite Hans Urs von Balthasar
and eternity.
(1905–1988), whose influence has increased significantly
Looking back on Scott’s essay, one can only be surprised
since his death. In the seven volumes of The Glory of the Lord
to see how thoroughly the sense of “heteronomy” has
(1961–1969; English translation, 1982–1989), the Swiss
changed in twenty years. For Tillich, a heteronomous culture
theologian provides a theological aesthetics rooted in the He-
(from the Greek word hetero, “other”) is one in submission
brew Bible, the New Testament and the Church Fathers, and
to a law that is alien to the creativity of the individual. His
nourished by theologians as recent as Karl Barth (1886–
examples include the Catholic Church of the Middle Ages
1968). Von Balthasar attempts nothing less than a rereading
as well as the communist and fascist movements of the twen-
of the entire Christian tradition in terms of the third tran-
tieth century. Opposed to heteronomy is an autonomous
scendental—beauty—which he believes to have been by-
culture characterized by a spirit of “self-sufficient finitude”
passed in recent centuries by modernity’s absorption in being
(Scott, 1985, p. 138). And at variance with both autonomy
and truth, the first two transcendentals. Revelation has an ir-
and heteronomy is what Tillich calls “theonomy,” a state in
reducible aesthetic dimension, Gestalt, or form, and aesthet-
which cultural creations embody a spiritual content.
ics has an equally resistant theological component. Especially
in the third volume of his series, von Balthasar writes il-
One of the main theses of postmodern thought, howev-
luminatingly on a range of authors from Dante Alighieri
er, has been that the other exceeds and is prior to the self,
(1265–1321) to the French poet Charles Péguy (1873–
and that only if one affirms this asymmetric relation can one
1914). Yet his sympathies stop well short of postmodern
escape from the threat of totalitarianism. At times, this heter-
writers. Von Balthasar’s admirers are impressed by his diag-
onomy is inhuman, as in what Blanchot calls the Outside (an
nosis of modernity as misrepresenting being by discussing it
impotent collection of images that constantly presses on peo-
as a concept rather than reality, and as relentlessly represent-
ple without yielding any meaning or having any point) or
ing time in spatial terms. Yet they can put this critique to
in what Jacques Derrida (1930–2004) dubs la différance, or
work only on modern aesthetics, thereby allowing the possi-
difference, which he defines as the condition of possibility
bility of a postmodern theological aesthetics but without
for meaning that perpetually differs from itself, ensuring no
having any positive guidance from von Balthasar.
final convergence of text and meaning. At other times heter-
CHARACTERISTICS OF POSTMODERN LITERATURE. Scott was
onomy is the very image of the human: Emmanuel Lévinas
entirely correct to say that postmodern literature rejects
(1906–1995) argues that ethics is possible only if the other
depth as a hermeneutical value. A play of surfaces with noth-
person is regarded as speaking from a position of height. And
ing beneath them has been one of the signature motifs in lit-
at yet other times otherness is in effect one of the divine
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LITERATURE: RELIGIOUS DIMENSIONS OF MODERN WESTERN LITERATURE
5483
names, as it is for Jean-Luc Marion (b. 1946) who seeks a
One of Jabès’s most appreciative and exacting readers
“God without being,” a deity who reveals himself as Love.
has been Blanchot, whose own narratives have been translat-
ed into English only in recent years—several of them by no
The writers that Scott named in 1985 have all been ab-
less a writer than Lydia Davis—and have marked the literary
sorbed into mainstream North American literary culture.
sensibility of the past two decades. Blanchot does not believe
They are not, however, the authors most talked about under
in revelation, but he maintains that literature is necessarily
the sign of the postmodern. Where Scott cited Wallace Ste-
tied to the sacred. He wonders, now that the gods have de-
vens (1879–1955), a postmodern critic would quote John
Ashbery, while also noting that Stevens has survived the tran-
parted, what will become of literature. The last vestige we
sition from modern to postmodern canons far more easily
have of the sacred is what he calls the Outside, an empty
than have most of his contemporaries. The spirituality of Ste-
depth of images, and all his narratives brood on its eerie ap-
vens, especially the lyrics of his final phase, has become more
proach. It returns eternally without ever quite arriving and
evident since the 1980s, when the poet’s lack of a dogmatic
divides the “I” of anyone who is attuned to it, especially writ-
confession of belief in the Judeo-Christian God poses fewer
ers. Death Sentence, which appeared in France in 1948, was
problems for readers of a religious disposition. “Final Solilo-
published in English in 1978, yet has become better known
quy of the Interior Paramour” has a prayerful quality, not
only with its reissue in 1998 and its inclusion in The Station
in the affirmation of a transcendent deity but in its strong
Hill Blanchot Reader (1999). Its story of the resuscitation of
Romantic sense that the divine is one with the human imagi-
a woman, J., by the narrator is a powerful rewriting, in terms
nation. A spiritual longing also emerges from time to time
of the myth of Orpheus, of the story of Jesus’ revival of Jai-
in Ashbery. “Self-Portrait in a Convex Mirror,” a long poem
rus’s daughter in Mark 5: 21–43. More recently, The Instant
that has come to exemplify postmodern questioning of both
of My Death, published in France in 1994, relates the story—
depth and the truthfulness of representation, begins with a
apparently autobiographical—of a young man almost exe-
traditional image of the soul as “a captive, treated humanely,
cuted by the Germans in 1944. Faced with imminent death,
kept / In suspension.” Yet the poem captures postmodern pa-
the young man “experienced then a feeling of extraordinary
thos in its modulation to the realization that “the soul is not
lightness, a sort of beatitude (nothing happy, however)—
a soul, / Has no secret, is small, and it fits / Its hollow perfect-
sovereign elation?” (Blanchot, 2000, p. 5). The protagonist
ly” (Ashbery, 1975, pp. 68–69). The secret, as postmodern-
has what Georges Bataille (1897–1962) calls a “limit-
ists like to say, is that there is no secret: all “depths” are al-
experience,” a moment of ecstasy akin to mystical rapture,
ready on the surface.
though one in which God does not appear.
GOD IN POSTMODERN LITERATURE. The word “God” ap-
Much translated in the last two decades, the poetry of
pears often in recent writing, although it is not always evi-
Paul Celan (1920–1970) has been a touchstone for many
dent what it means. For Edmund Jabès (1912–1991), God
poets. A lyric such as “Psalm,” with its play on God as “No
is sometimes a figure of endless contestation—“God is a
one,” offers a model of how God can be simultaneously
questioning of God” (Jabès, 1976–1984, vol. 1, p. 138)—
named and erased, and how a poet can express a longing for
and sometimes a metaphor for emptiness. The Book of Ques-
God without being committed to his existence. An affinity
tions (1963–1973), elaborated over seven volumes, is a frag-
with Celan is apparent in the poems of the English poet
mentary work that is neither fiction nor poetry, neither
Geoffrey Hill (b. 1932) in Tenebrae (1978) and Canaan
drama nor essay. As Jacques Derrida would say, it partici-
(1996). The earlier volume in particular offers an anguished
pates in all these genres without belonging to any of them.
yet ambivalent relation to the Christian God, drawing heavi-
The book was translated into English over the period from
ly on Spanish lyricism. More relaxed in tone than Hill, the
1976 to 1984, and its importance requires us to distinguish
American Charles Wright (b. 1935) expresses a religious
between books written since the mid-1980s and books that
longing throughout his writing life but is perpetually frus-
have become prominent in that same period. Much seminal
trated by a God who seems incredible to him. In a recent
postmodern writing falls into the latter category. The first
poem, “Cicada Blue” (1998), he says, “We’ve tried to press
volume of Jabès’s work introduces a story that is never quite
God in our hearts the way we’d press a leaf in a book”
completed of two lovers, Sarah and Yukel. Sarah is deported
(Wright, 2000, p. 157). The mystics attract him, as do East-
to a concentration camp and returns to Yukel after she has
ern sages, and he finds he must content himself with register-
gone insane. Questioned about the stories he tells, Yukel an-
ing “ripples of otherworldliness” rather than worshiping God
swers, “I brought you my words. I talked to you about the
(Wright, 2000, p. 81).
difficulty of being Jewish, which is the same as the difficulty
of writing. For Judaism and writing are but the same waiting,
A nature mysticism that is leagued with science can be
the same hope, the same wearing out” (Jabès, 1976–1984,
found in another American, Archie Randolph Ammons
vol. 1, p. 122). The work multiplies itself in gnomic remarks
(1926–2001). In “Hymn,” the search for God is on earth
by imaginary rabbis and voices that come from nowhere.
and in space, and the deity is acknowledged to be “on the
One voice interrupts another, yet the overall impression is
inside of everything and on the outside” (Ammons, 1972,
of an endless sifting of a small group of themes: the book,
p. 39). Later, in 1997, he speaks “as a nonreligious person”
the desert, exile, God, the Jewish people, and writing.
to God and hopes that, in the absence of a revelation 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
5484
LITERATURE: CRITICAL THEORY AND RELIGIOUS STUDIES
can be experienced, we “can work / this stuff out the best we
Hill, Geoffrey. Collected Poems. Harmondsworth, U.K., 1985.
can” and “walk with / you as long a line of trees” (Ammons,
Hill, Geoffrey. Canaan. London, 1996.
1997, pp. 4–5). Charles Simic (b. 1938), also American, has
Jabès, Edmond. The Book of Questions. Translated by Rosemary
had a tangential relation with mysticism, though his sense
Waldrop. 7 vols. Middletown, Conn., 1976–1984.
of the eternal in the world also has dark moments. “To the
Lyotard, Jean-François. The Postmodern Condition: A Report on
One Upstairs” (1999) addresses God as “Boss of all bosses
Knowledge. Translated by Geoff Bennington and Brian Mas-
of the universe / Mr. know-it-all, wheeler-dealer, wire-
sumi. Minneapolis, Minn., 1984. Early and influential ac-
puller” and at the end contemplates this new set of divine
count of postmodernism.
names that “I keep inventing, / As I scribble this note to you
Scott, Nathan A., Jr. “Tillich’s Legacy and the New Scene in Liter-
in the dark” (Simic, 1999, p. 63). Angry as it is, the poem
ature.” In The Thought of Paul Tillich, edited by James Lu-
remains a prayer.
ther Adams et al., pp. 137–155. San Francisco, 1985. Impor-
There are few female poets who are both postmodern
tant early survey of postmodern writing with reference to
and religious, in any strong sense of either word. One of
Tillich’s theology of culture.
these is the Canadian poet Anne Carson (b. 1950). In her
Simic, Charles. Jackstraws. New York, 1999.
sequence called “The Truth about God” (1995), she tells us
Tracy, David. “Fragments: The Spiritual Situation of Our
right at the beginning, “My religion makes no sense / and
Times.” InGod, the Gift, and Postmodernism, edited by John
does not help me / therefore I pursue it” (Carson, 1995,
D. Caputo and Michael J. Scanlon, pp. 170–184. Blooming-
p. 39). In some ways her lines could stand as an epigraph to
ton, Ind., 1999. Includes a response by Jacques Derrida.
postmodern religion, but with two important provisos. The
Wright, Charles. Negative Blue: Selected Later Poems. New York,
dominant religious mode of postmodern times is fundamen-
2000.
talism. This mode must be distinguished from postmodern
K
reflections on religion, which take two main forms: a reduc-
EVIN HART (2005)
tion of revelation to ethics (“religion without religion”), and
an affirmation that God is Love and is therefore beyond
being. The former helps people make their way through life,
LITERATURE: CRITICAL THEORY AND
although sometimes at the cost of discounting natural rea-
RELIGIOUS STUDIES
son, while the latter makes sense although at the risk of help-
Interpretation and understanding of literature has been
ing only those who can enter into sophisticated theological
closely linked with the development of religious thought in
speculation.
nearly all cultures. Literary theory and theology are rarely
separated, especially in contemporary, postmodern critical
SEE ALSO Poetry, article on Poetry and Religion.
theory. The term hermeneutics, or the theory of interpreta-
B
tion, contains a reference to Hermes, the messenger of the
IBLIOGRAPHY
Ammons, A. R. Collected Poems, 1951–1971. New York, 1972.
gods according to Greek mythology. He helped humans to
understand the decisions of the Olympians. Hermeneutics
Ammons, A. R. Glare. New York, 1997.
seeks not only to clarify the relationship between the text and
Ashbery, John. Self-Portrait in a Convex Mirror. New York, 1975.
the minds of those seeking to understand it, but also to
Balthasar, Hans Urs von. The Glory of the Lord. Edited by John
bridge the gap between the earthly and the divine. In its ori-
Riches and translated by Erasmo Leiva-Merikakis et al. 7
gins, it is a profoundly theological task, closely associated
vols. San Francisco, 1982–1989. Volume 1 presents the ar-
with evolving from an oral to a written scriptural tradition
gument for a theological aesthetics, while volume 5 contains
the critique of modernity.
and of translating texts from one language and culture to an-
other. Transmitting sacred texts using the fallible sign sys-
Blanchot, Maurice. The Infinite Conversation. Translated by Susan
Hanson. Minneapolis, 1993.
tems of human language requires careful and methodical
thought as a preservative against the taboos often associated
Blanchot, Maurice. The Station Hill Blanchot Reader. Edited by
with the translations of such texts. George Steiner, in his
George Quasha and translated by Lydia Davis et al. Barry-
town, N.Y., 1999. The volume is a collection of Blanchot’s
foreword to the 1973 book Translating Religious Texts, noted
major fiction and some important essays.
that in one tradition, the translation of the Hebrew Bible
Blanchot, Maurice. The Instant of My Death. Bound with Jacques
into the Greek Septuagint (probably begun in the third cen-
Derrida, Demeure: Fiction and Testimony. Both translated by
tury BCE) was the result of angelic guidance. On the other
Elizabeth Rottenberg. Stanford, Calif., 2000. Blanchot’s tes-
hand, another tradition preserved in the Megillath Taanith
tament of atheistic mysticism.
(first century CE) records that three days of darkness envel-
Carson, Anne. Glass, Irony and God. Introduction by Guy Daven-
oped the earth as mourning for expressing the Law in profane
port. New York, 1995.
Greek.
Celan, Paul. Poems. Translated by Michael Hamburger. New
HINDUISM AND BUDDHISM. In the Vedic period of Hindu-
York, 1984.
ism (c.1500–500 BCE), scholars memorized the learning (the
Hart, Kevin. The Dark Gaze: Maurice Blanchot and the Sacred.
word Veda means “knowledge”) and handed it down orally;
Chicago, 2004. Study of Blanchot and religion.
eventually, the ancient rulers and sages joined forces with 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
LITERATURE: CRITICAL THEORY AND RELIGIOUS STUDIES
5485
Brahmin, who provided religious legitimization of their
One of the greatest hermeneutical scholars of the
power, to begin composing written texts. The Brahmanas
QurDa¯n was Abu¯ Ha¯mid Muhammad al-Ghaza¯li (twelfth
and the Upanis:ads discuss the meaning and purpose of Vedic
century CE). Al-Ghaza¯li’s hermeneutics stress the primacy of
ritual practices, the latter frequently indicating that nothing
seeing God for oneself within a mystical experience rather
of value can be achieved by them in this changing world. By
than relying on the authority of exegesis. He sets scriptural
the fifth century, the Brahmins had developed a sophisticat-
interpretation firmly at the level of individual experience; on
ed system of phonetics and grammar (notably Panini’s gram-
this foundation, al-Ghaza¯li establishes rules for recitation, in-
mar of Sanskrit) which enabled the development of thinking
cluding posture instruction and reading speed. Recitation
in a wide range of literature, from mathematics texts of
thus performed will lead the reader to a direct experience of
Hindu theology, and to poetry, most notably the
God. Al-Ghaza¯li states that no darkness resides within the
Maha¯bha¯rata, within which is to be found the Bhagavadg¯ıta¯.
text itself, but only in the human mind; he describes the four
This poem gave rise to a vast tradition of commentary in
veils that obscure understanding, such as adhering to dogma
Sanskrit and other Indian languages.
rather than witnessing mystical visions. But the purpose of
recitation, he believes, is not exegesis or interpretation; in-
As Buddhism entered China, traveling through Central
stead, it is to experience the speech of God. In these herme-
Asia, the process of assimilation occurred in three phases:
neutics, understanding of the text is not mediated by tradi-
first, the period of translation; next, the interpretation phase,
tion; rather, understanding of the tradition is mediated by
called Ko-yi Buddhism, and finally, the philosophical sys-
experience of the text.
tematization of the T’ien-t’ai and Hua yen schools. In the
second century CE, Buddhist monks in Central Asia who
Vast differences exist between such hermeneutics and
were competent in Sanskrit and Chinese (as well as other lan-
the hermeneutics of Torah; the rabbinic tradition is rooted
guages) translated the texts. Consequently translation also re-
in utterly different understandings of its sacred texts. The
sulted in interpretation, as Maha¯ya¯na Buddhism shifted
QurDa¯n exists only as recitation, while Torah exists only in,
from interest in the historical Buddha to more philosophical
or as, its letters. As Susan Handelman explains in her 1982
concerns. Early translations gave rise to a new sort of herme-
book The Slayers of Moses, “Every crownlet of every letter is
neutics, or phase of interpretation, called Ko-yi Buddhism.
filled with significance, and even the forms of letters are hints
Based upon an analogical method (ko-yi means “extending
to profound meanings.” Jewish scholars have always under-
the idea”), this approach explores the similarities between the
stood the Torah, not as divinely inspired human words, but
Daoist “nothing” and the Buddhist “emptiness.” Finally, by
as the very words of God; not as a physical book, but as the
the sixth century CE, Kiyoshi Tsuchiya notes in Major World
blueprint and essence of creation. Thus, Erich Auerbach can
Religions that Chinese Buddhists of the T’ien-t’ai and Hua-
say of the stories of Genesis that “doctrine and promise are
yen schools had reinterpreted all the major doctrines into a
incarnate in them and inseparable from them” (Mimesis,
synthetic whole, describing enlightenment in a sophisticated
1945), and their purpose is not to yield any clear meaning,
and speculative philosophical language, in contrast to the
but rather to leave traces and to provoke and demand many
simple theology of Pure Land Buddhism.
and different voices of interpretation. Against this back-
ground stands the genre of biblical exegesis known as mid-
THE RELIGIONS OF THE BOOK. In Sura 29.45 of the QurDa¯n,
rash, which began with oral transmission in the rabbinic
it is urged: “Do not dispute with the People of the Book: say,
schools, and flourished at the time of the Tannaitic and
we believe in what has been sent down to us and what has
Amoraic Sages (70–220 CE, and 220–400 CE). In his 1987
been sent down to you; our God and your God is one.” The
book What is Midrash?, Jacob Neusner defines midrash as
People of the Book are adherents of the three monotheistic
“biblical exegesis by ancient Judaic authorities.” He divides
religions: Judaism, Christianity, and Islam. These believers
it into three approaches: first, Midrash as paraphrase, in
share a sense of the revealed nature of their sacred texts, but
which the commentator participates in the composition of
each faith adopts a very different understanding of textuality
the text; second, Midrash as prophecy; and third, Midrash
as well as its own distinct hermeneutical approach.
as parable or allegory. Above all, midrash is to be seen as a
process, rather than as an interpretative exercise seeking defi-
In a sense, the QurDa¯n is not actually a text; rather, it
nite meaning. The midrashic was one of four overlapping
is the recitation (qurDa¯n) of revelations by God, the umm
schools of Jewish hermeneutics; the other three were the Lit-
al-kita¯b (the “Mother of the Book”). In other words, it is
eralist, which was applied particularly to deuteronomistic
fundamentally oral, and therefore it provokes a very different
legislation, the Pesher, which was characteristic of the Qum-
hermeneutics than, for example, the written tradition of the
ran community and claimed particular knowledge of divine
Christian Bible. Translation is literally impossible (rather
mysteries, and the Allegorical, which understood the text
than forbidden), while reading is not understood as an ap-
symbolically and pointed beyond itself to a deeper reality
propriation of the text but rather as a participation in it. As
(Jeanrond, Theological Hermeneutics, 1991).
Gerald Bruns noted, in the 1992 book Hermeneutics Ancient
and Modern, “To understand the QurDa¯n is to disappear into
Before discussing early Christian hermeneutics, to the
it.”
reader should briefly review classical literary theory; in 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
5486
LITERATURE: CRITICAL THEORY AND RELIGIOUS STUDIES
ular, Plato, Aristotle, and the tradition of rhetoric, originat-
that of love, an insight that can only be derived from reading
ing in ancient Greece and transmitted into Christian litera-
the Bible itself. He thus established the principle of the “her-
ture largely through the writings of Cicero (106–43 BCE).
meneutic circle,” which was only fully acknowledged centu-
These traditions mingled with Jewish hermeneutics to form
ries later by scholar Friedrich Schleiermacher (1768–1834).
a body of hermeneutics that continues to serve as the founda-
Augustine’s sophisticated theory of reading scripture re-
tion for literary critical theory in Western thought. As ob-
mained largely unchallenged through the Middle Ages, and
served by Raman Selden in The Theory of Criticism (1988),
continues to provide the basis of much contemporary herme-
Plato regarded the artist or poet as an imitator of imitations,
neutical theory and practice.
twice removed from the “essential nature of a thing”: the
Medieval and scholastic hermeneutics continued to in-
poet imitates a physical object which is merely a faint copy
sist that scripture offers not merely one way of reading; for
of the Idea (or Form) of the thing itself. In Plato’s Republic,
example, Nicholas of Lyra (c. 1270–1349) described four
“imitation” (mimesis) is regarded negatively and seen as a de-
ways—the literal, the allegorical, the moral, and the anagogi-
cline from the purity of the original. Aristotle, on the other
cal. Even so, biblical hermeneutics tended to take second
hand, in the Poetics, regards mimesis as a basic and instinctive
place to the “science” of the theology of the Church. Change
human faculty; he sees literature not as an imitation of the
came about with the rise of the Christian Humanism of Re-
illusion of reality, but as an imitation of what is essential to
naissance thinkers like Desiderius Erasmus (c. 1466–1536)
reality itself. Aristotle both develops and diverges from Plato,
and the Protestant hermeneutics of Martin Luther and John
indicating that art and poetry do not simply appeal to the
Calvin. For Luther, the principle of sola scriptura (“scripture
more inferior human faculties but to the natural human in-
alone”), accompanied by the development of vernacular
stinct to imitate.
translations of the Bible, established a clear division between
These fundamental differences in classical literary un-
sacred and profane literature that would eventually separate
derstanding underlie the divergences between the two
the processes of studying the Bible from developments in the
schools of Christian interpretation of the Bible, based at Al-
understanding of all other literature and literary theory.
exandria and Antioch in the third and fourth centuries
Thus, although scholar Terry Eagleton ascribes the growth
CE,
respectively. Between them, they represent the most devel-
of professional English studies in the later nineteenth century
oped forms of early Christian hermeneutics. Both schools
to one major cause, “the failure of religion” (Eagleton, Liter-
were deeply influenced by traditions of Jewish interpretation
ary Theory: An Introduction, 1983), its roots also lie deep in
theory and practice. The first great scholar of the Platonic
Protestant hermeneutics. In the seventeenth century, the
Alexandrian school, Clement of Alexandria (c. 150–215), re-
poet Andrew Marvell feared that John Milton’s incursion
ceived a broad education from both Jewish and Greek teach-
into biblical space in Paradise Lost might result in the ruin
ers. He established an allegorical reading of Scripture, under-
of sacred truths (“On Mr. Milton’s Paradise Lost”), and in
stood as a language of symbols; this interpretation was taken
the next century, Dr. Johnson remarked that Milton was pre-
up and systematized by Origen (c. 185–c. 254
served only “by religious reverence from licentiousness of fic-
CE). For Ori-
gen, because scripture contains the ultimate mystery, the
tion” (The Lives of the Poets, 1779–1781).
texts can never be literal and are thus to be read allegorically.
The eighteenth century in Germany and England saw
At the school of Antioch, however, following the local Jewish
the development of a technical science of hermeneutics that
traditions of interpretation with an Aristotelian bent, schol-
profoundly affected the way in which the Bible was read—
ars read scripture literally. They believed it described histori-
changing to a hermeneutics of suspicion rather than a herme-
cal events and had no hidden meanings; its stories were
neutics of faith. German theologian Schleiermacher estab-
therefore clear and available to all. One of its principal schol-
lished a critical balance between faith and reason, setting the
ars, Theodore of Mopsuestia (c. 350–428), dismissed the Al-
pattern for contemporary biblical hermeneutics. Similar to
exandrian interpreters as “stupid people.”
St. Augustine, Schleiermacher insisted that scriptural reading
be divided into two parts: psychological interpretation, which
The greatest of the early Christian scholars in the field
is concerned with the interplay between the text and the
of hermeneutics is undoubtedly St. Augustine of Hippo
reader, and grammatical interpretation, which requires the
(354–430). Before his conversion to Christianity, Augustine
careful examination of the linguistic and grammatical struc-
was a teacher of classical rhetoric, deeply influenced by Cic-
tures of the text. Later in the nineteenth century, German
ero, and well read in classical philosophy. His influential
theologian David Friedrich Strauss (1808–1874), in his great
work De Doctrina Christiana (On Christian Doctrine) is es-
1835 work Das Leben Jesu (The Life of Jesus), read the gos-
sentially a systematic hermeneutics, balancing both allegori-
pels critically, seeking to undercut the Christian religion and
cal and literal readings of scripture, advocating a careful lin-
its assumptions using a radical hermeneutics which anticipat-
guistic analysis of the texts, and developing a theory of signs
ed a Christianity suited to the modern age, separate and dis-
(semiotics) which anticipates modern scholarship. Arguing
tinct from its historical origins and scriptural traditions.
that words are only signs, Augustine regarded the Bible as
human texts that refer to God. He also insisted upon a prop-
Biblical hermeneutics in the early part of the twentieth
er attitude or perspective when reading Scripture, namely
century was dominated by two figures, Swiss theologian Karl
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LITERATURE: CRITICAL THEORY AND RELIGIOUS STUDIES
5487
Barth (1886–1986) and German theologian Rudolf Bult-
ethics and theologies and literary and cultural theory, and the
mann (1884–1976). Early in his career, Barth wrote: “The
theological shift—often with a deeply mystical quality—
Historical-critical Method of Biblical investigation has its
represented in varieties of post-foundational thinking that
rightful place: It is concerned with the preparation of the in-
owe much to poetic theory and practice. Such topics must
telligence–and this can never be superfluous. But, were I
be explored more fully.
driven to choose between it and the venerable doctrine of In-
spiration, I should without hesitation adopt the latter, which
Many of the most important figures working in contem-
has a broader, deeper and more important justification”
porary and postmodern literary theory write from a Jewish
(preface to the first edition of The Epistle to the Romans,
background: Harold Bloom, Jacques Derrida, Geoffrey
1918). Barth admits his debt to such writers as So
Hartman, Robert Alter, Emanuel Levinas, among others.
⁄ ren Kierke-
gaard (1813–1855) and Fyodor Dostoevsky (1821–1881) in
Susan Handelman (The Slayers of Moses [1982], Fragments
his interpretation of the New Testament. Bultmann, on the
of Redemption [1991]) has examined the theological bases of
other hand, bases his biblical hermeneutics firmly within the
current interpretation theory, suggesting a shift from the pre-
context of existentialist philosophy and the thought of the
dominantly abstract and philosophical preoccupations of
German philosopher Martin Heidegger (1889–1976), con-
Hellenic thought to a more text-based approach reminiscent
centrating not upon a reconstruction of the beginning of the
of rabbinic thought and practice. In Kabbalah and Criticism
text’s life (historical criticism of the Bible tends to focus on
(1975), Harold Bloom addresses the “mysticism” of Jewish
the origins of the text as the place of interpretation), but
Kabbalah, differentiating it from Christian or Eastern mysti-
upon the present “existential” moment of encounter between
cism as an interpretative tradition that sought knowledge in
the text and the reader. In the early twenty-first century, at-
the Book and was centered in the Bible. If today literary criti-
tention has turned to more recent developments in critical
cism has become a kind of substitute theology, it is because
theory, hermeneutic, and religious studies; one of the major
arguably its concern for text and textuality is rooted in the
contributors has been French thinker Paul Ricoeur (1913–)
theology of the Book, and Derrida, who often reminds oth-
whose long and multi-disciplinary career has been largely de-
ers of his background in rabbinic traditions by autograph sig-
voted to exploring the relationship between religious thought
natures (“Reb Derissa”—the laughing Rabbi) or graphic de-
and literary reflection. In The Symbolism of Evil (1960), Ri-
vices in his texts reminiscent of Talmudic commentary,
coeur explores the notion of “evil” as always requiring a pro-
promotes the matter of endless writing as if to set the Jewish
cess of interpretation, a hermeneutics, for its very identifica-
against the more definitive Greco-Christian tradition (Chris-
tion. In his more recent Thinking Biblically (1998), written
topher Norris, Derrida, 1987). The loss of certainty, which
in collaboration with the biblical scholar André LaCoque, he
is often perceived as the deepest characteristic of postmod-
comments on specific passages from the Hebrew Bible, high-
ernity, is located by Derrida in “the absence of the Jewish
lighting their metaphorical structure and indicating how
God (who himself writes, when necessary). . . . As the ab-
they have acted as catalysts for philosophical reflection. For
sence and haunting of the divine sign, it regulates all modern
example, in his discussion of Psalm 22, Ricoeur explores how
criticism and aesthetics” (Derrida, Writing and Difference,
the structure and “poetic composition” of the psalm become
1978). From such beginnings was fashioned the “a/theology”
the condition of its “reactualization” in prayer and religious
of Mark C. Taylor’s Erring: A Postmodern A/theology (1984),
reflection.
with its sense of the unending play of signification in the
mazes of “erring Scripture,” though Taylor’s work begins by
FROM MODERNITY TO POSTMODERNITY. In his article on
relocating Derrida’s sense of the absent God in the “death
literature and religion in the first edition of this encyclope-
of God,” an “event” within the Christian tradition, as report-
dia, scholar Anthony Yu outlines the increasing importance
ed in the parable of the madman in German philosopher
of literary critical theory to biblical criticism and religious
Friedrich Nietzsche’s The Gay Science (1882).
thought, giving particular emphasis to the effects of New
Critical thinking and suggesting that “the history of literary
Thus, close affinities exist between the hermeneutical
theory over the past thirty years may be regarded a steady and
practices of midrash and much of postmodern literary theo-
increasingly stringent attack on . . . New Critical doctrines
ry—the open-ended nature of the text, the emphasis on writ-
of the text and the interpreter.” At the same time, however,
ing, the sense of the struggle with the text, and the participa-
many of the underlying doctrines of New Criticism have re-
tion in endless debate rather than the search to establish
mained influential and tenacious in literary theory, even
meaning. The claims of “literary approaches” to the Bible,
while the privilege given to the text as the vehicle of meaning
however, as opposed to the scholarly approaches of the his-
has been eroded. In Yu’s brief discussion, which concludes
torical critical method—source, form and redaction criti-
with comments on deconstruction and the earlier works of
cism—began much earlier, and can be traced back at least
the French thinker Jacques Derrida and his “Cassandra-like”
to the work of scholar Austin Farrer in the 1950s, and the
utterances against logocentrism and the “irreducibly sacred,”
later debates over his work between Helen Gardner and
he pays little attention to the globalization and politicization
Frank Kermode. It was Kermode, in his key text The Genesis
of critical theory, the merging of religious traditions in com-
of Secrecy (1979), writing as a “secular” critic, who reintro-
mon critical discourses, the interaction between liberation
duced the narratives of Scriptures, and in particular the Gos-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5488
LITERATURE: CRITICAL THEORY AND RELIGIOUS STUDIES
pel of Mark, to the arena of literary debate alongside texts
history, ethics, and aesthetics (Graham Ward, Theology and
from fiction and poetry. Within Kermode’s project are two
Contemporary Critical Theory, 1996).The work of Derrida
strands, studying the Bible as literature (an activity de-
and others on issues of text and textuality radically decon-
nounced by poet T. S. Eliot as early as 1935, but taken up
struct traditional assumptions about subjectivity and text as
in the 1960s by literary scholars like T. R. Henn), and study-
representation, with massive implications for religious
ing the Bible within the canons of literature. The pursuit of
thought. Thus, scholar Luce Irigaray has stated: “We need
the first of these approaches resulted in the volume, which
to reinterpret everything concerning the relations between
Kermode edited with Robert Alter, entitled The Literary
the subject and discourse, the subject and the world, the sub-
Guide to the Bible (1987); this work sought to avoid the du-
ject and the cosmic, the microcosmic and the macrocosmic.
plication of “traditional historical scholarship” and to cele-
Everything, beginning with the way in which the subject has
brate the Bible as literature of major significance. Alter and
been written” (An Ethics of Sexual Difference, 1993). More-
Kermode specifically rejected the “cultural or metaphysical
over, the history, especially in the reading of the Bible, has
ruminations” of political or postmodern readings of the
been deconstructed by critics such as Michel Foucault, resist-
text—their literary approach remains profoundly based in
ing and breaking up those continuities which, he suggests,
New Critical assumptions. Such literary preoccupations,
silence the articulation and voice of the imprisoned and op-
however, can never be as innocent as Kermode and Alter
pressed. Far from advocating, as some would suggest, a kind
might seem to imply, and the redefinition of the task of in-
of nihilistic textual free play, postmodern criticism opens up
terpretation in hermeneutics and contemporary literary theo-
radical ethical perspectives and “an unconditional categorical
ry has shifted biblical studies away from its traditional em-
imperative or moment of affirmation” (Critchley, The Ethics
phasis on historical origins and authorial intention towards
of Deconstruction, 1992) that are deeply rooted in ancient and
greater attention to the reader and “reader-response.” At the
neglected forms of theological thinking. Finally, a renewed
same time, the claims of deconstruction have challenged no-
interest in aesthetics relates closely to questions of representa-
tions of the coherence and unity of the text; they also ques-
tion and the importance of the poet and the artist in primary
tion the repressions inherent in such notions (Francis Wat-
religious reflection and experience.
son, ed.; The Open Text, 1993). These two shifts have
Although Jewish and Christian perspectives have been
spawned various forms of liberation criticism that seek to ex-
predominant in all such contemporary critical theory, a great
pose the coherencies of power perceived both within the texts
deal of such activity has been characterized by a non-
of the Bible and in the traditions of reading and interpreting
adherence to any particular religious tradition or confession.
them. Two major forms of such criticism exist: first, within
Indeed, much of modern literary theory is atheistic, first
various kinds of feminist critique; and second, within the
heavily dependent upon Enlightenment thought and later
growing field of post-colonial criticism of the Bible.
upon Marxist, psychoanalytic, and other skeptical forms of
For example, feminist scholar Mieke Bal claims to estab-
analysis. In The Death of the Author (1968), Roland Barthes
lish a “countercoherence” in the Book of Judges which exposes
describes the post-structuralist emphasis on textuality as “an
the patriarchal narrative of salvation history as effecting an
anti-theological activity.” At the same time, with increasing
extreme, gender-bound violence against women, both within
critical globalization, broad discussions within literary theory
the social institutions of the book and its politics of history.
have also begun to embrace the texts and theologies of East-
Reading the stories of unnamed young women, such as that
ern religions and Islam. But scholars continue to vigorously
of the Levite’s concubine in chapter 19, she develops an in-
defend Christian literary theory, even after recognizing the
terdisciplinary hermeneutics, drawing upon narratology, an-
modern objections to it, arguing that an act of faith is present
thropology, and other disciplines within the human sciences,
in all systems of thought (Luke Ferretter, Towards a Christian
to challenge what she calls the arbitrary and biased limits of
Literary Theory, 2003). Within the interdisciplinary study of
biblical scholarship. A similar interdisciplinarity character-
literature and religion in North America and the United
izes the newer project of postcolonial criticism of the Bible
Kingdom over the past fifty years, bold advances in literary
(R. S. Sugirtharajah, Postcolonial Criticism and Biblical Inter-
theory and textual analysis have either provoked defenses of
pretation, 2002). This approach seeks a hermeneutics that ex-
theology and biblical critics—within the terms of a Christian
poses the imperialist oppression effected by biblical interpre-
anthropology which still recognize the possibilities for the
tation, accompanying colonial rule as the twin pillars of
Christian critic and post-structuralist and postmodern
imperial control in the nineteenth-century empires of Great
thought—or else have driven new forms of theological think-
Britain, France, and Portugal. In his 1947 book The British
ing (though often within ancient ancestors) that are radical
Empire in the Light of Prophecy, Bernard Bateson identifies
yet continue to claim Christian roots. Kevin Mills, for exam-
that imperial powers perceived their colonial acquisitions as
ple, in his 1995 book Justifying Language, reads the Pauline
fulfilling the prophecy of Genesis 28:14: “Thou shalt spread
letters through the lens of contemporary hermeneutics,
abroad to the west, and to the east, and to the north, and
which he claims can be thereby a Christian hermeneutics of
to the south.”
faith, hope, and charity.
Contemporary critical theory has affected theology and
In the decade after biblical criticism finally produced the
the interpretation of the Bible in four areas: representation,
widely read Postmodern Bible (1995), written by “the 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
LITURGY
5489
and Culture Collective,” and its companion volume The
Bible and Culture Collective, The. The Postmodern Bible. New
Postmodern Bible Reader (2001), which has entered the arena
Haven, Conn., 1995.
of cultural studies, others have begun to acknowledge the
Bloom, Harold. Kabbalah and Criticism. New York, 1975.
passing of postmodernism. Yet before the majority of theolo-
Bloom, Harold. Ruins the Sacred Truths: Poetry and Belief from the
gians have even begun to take seriously the possibility of a
Bible to the Present Day, Cambridge, Mass. 1987.
“postmodern theology,” some have started to ponder what
Bruns, Gerald L. Hermeneutics Ancient and Modern. New Haven,
a post-postmodern theology might be like. In his book After
Conn., 1992.
Theory (2003), Terry Eagleton argues for the end of the age
Budick, Sanford and Wolfgang Iser, eds. Languages of the Unsay-
of “high theory” in literary and cultural studies. He claims
able: The Play of Negativity in Literature and Literary Theory.
that the new narrative of global capitalism exposes those
New York, 1989.
questions that cultural theory has largely overlooked—the
Detweiler, Robert and David Jasper, eds. Religion and Literature:
ancient issues of love, evil, death, morality, and religion.
A Reader. Louisville, Ky., 2000.
When a literary theorist like Eagleton, who was nurtured on
Exum, J. Cheryl and Stephen D. Moore, eds. Biblical Studies/
Cambridge Marxism in the 1960s, concludes his latest book
Cultural Studies. Sheffield, U.K., 1998.
with a chapter entitled “Death, Evil and Non-being,” those
whose acknowledged business is religious studies need to take
Ferretter, Luke. Towards a Christian Literary Theory. London,
2003.
note.
Fiddes, Paul S. Freedom and Limit: A Dialogue between Literature
Hermeneutics was nurtured on the reading of sacred
and Christian Doctrine. London, 1991.
texts, while the histories of religious thought and hermeneu-
Handelman, Susan A. The Slayers of Moses: The Emergence of Rab-
tics are bound together in all the great religious traditions.
binic Interpretation in Modern Literary Theory. New York,
In Western thinking, the radical beliefs of the “death of
1982.
God” theologians (Thomas J. J. Altizer, William Hamilton,
Hartman, Geoffrey H. and Simon Budick, eds. Midrash and Liter-
and others) emerged from a profound interaction with poet-
ature. New Haven, Conn., 1986.
ry and literature; they asked radical questions about the iden-
Jasper, David and Stephen Prickett, eds. The Bible and Literature:
tity of Christianity. In the 1966 book Radical Theology and
A Reader. Oxford, U.K., 1999.
the Death of God, Altizer asked, “Must Christianity be identi-
Jeanrond, Werner G. Theological Hermeneutics: Development and
fied with its given or orthodox dogmatic form?” What had
Significance. London, 1991.
begun to appear was a form of non-foundational theology,
Kermode, Frank. The Genesis of Secrecy: On the Interpretation of
in the work of the British theologian Don Cupitt, for exam-
Narrative. Cambridge, Mass., 1979.
ple, based on the radical critique of the western metaphysics
Kermode, Frank and Robert Alter, eds. The Literary Guide to the
of presence by Heidegger and Derrida, and sharing much in
Bible. London, 1987.
common with the ancient theologies of mysticism and the
via negativa. Scholar Mark C. Taylor has been defined as the
Selden, Raman. The Theory of Criticism from Plato to the Present:
A Reader. London, 1988.
first American “post-ecclesiastical theologian . . . free of the
scars or perhaps even the memory of Church theology” (Al-
Steiner, George. After Babel: Aspects of Language and Translation.
tizer). It remains to be seen if, in the aftermath of a critical
2d ed. Oxford, U.K., 1992.
revolution which much religious thought has yet to acknowl-
Sugirtherajah, R. S. Postcolonial Criticism and Biblical Interpreta-
edge, religious studies can survive as more than a form of his-
tion. Oxford, 2002.
torical enquiry, or whether the reading and interpretation of
Taylor, Mark C. Erring: A Postmodern A/theology. Chicago, 1984.
sacred texts will continue as other than merely a branch of
Ward, Graham. Theology and Contemporary Critical Theory. Lon-
wider literary studies outside the closed communities of tra-
don, 1996.
ditional faith. Critical theory has offered a challenge to her-
DAVID JASPER (2005)
meneutics and religious thought that will not be denied if
reading and thinking are to remain universal activities based
on defensible universal principles. According to Cupitt,
scholars must learn how to re-read Scripture in a radically
LITHUANIAN RELIGION SEE BALTIC
different way: “The remedy is to learn to read the text hori-
RELIGION
zontally, from sign to sign, and then we will see that the side-
ways resonance of the metaphoric is directly ethical. . . .
And if we thus relearn reading, then perhaps the text will not
LITURGICAL DANCE SEE DANCE, ARTICLE
seem quite so intellectually obsolete as we feared it was” (The
ON THEATRICAL AND LITURGICAL DANCE
Long-Legged Fly, 1987).
BIBLIOGRAPHY
LITURGY. The English term liturgy, like its parallels in
Alter, Robert. The Art of Biblical Narrative. London, 1981.
other languages, is primarily Christian. It denotes acts 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
5490
LITURGY
scripts of worship in Christian experience. By now, however,
FROM TEXT TO RITUAL. As a modern scholarly discipline, lit-
the word is widely used for similarly ritualized phenomena
urgy has focused on the origins and evolution of ritual texts.
in other religions too. By extension, it may even be applied
It emerged in nineteenth-century evolutionary theory, which
to ritual that occurs outside of religion (strictly speaking) al-
Romanticism applied to literary traditions, seeing them as
together. It is derived from the Greek leitourgia, meaning
plants that are seeded and then grow through time, some-
work “performed for the public good,” in this case sacrificial
times attracting weeds that sully the garden’s purity. Reli-
acts that served the gods on whom civic welfare ultimately
gions were thus assumed to have an authentic liturgical
depended. The Septuagint used the term as the Greek equiv-
canon, the history of which can be traced through scientific
alent to the Hebrew Bible’s avodah, “the sacrificial service,”
attention to manuscript recension. Some liturgists have dedi-
and Christianity retained it for the priestly work of Jesus
cated themselves simply to unearthing liturgical manuscripts
(Heb. 8:6) and the ministry of Paul (Rom. 15:16). In Juda-
and preparing scientific versions of them. Others have ap-
ism, avodah is still found in some prayer-book titles, prayer
plied this scholarship to implicit religious concerns, citing
being seen as the replacement for sacrifice.
discoveries of ancient or alternative liturgies to support the
status quo or to challenge it, reviving some traditions and jet-
The Greek-speaking church, in the East, used liturgy to
tisoning others.
denote the eucharist. In the West, churches adopted other
nomenclature: mass or the sacrament for eucharist; and di-
The most significant recent development in the study
vine, daily, or ecclesiastical office to mean non-eucharistic
of liturgy is its identification as ritual, not just literature. Like
daily prayer. By the 1830s, however, as part of a hunt for li-
drama, liturgies may exist in printed modes, but the written
turgical origins, liturgy was revived to designate corporate
text of Hamlet, for example, is not the actual play—the per-
church prayer in general. The Oxford movement, for exam-
formance is. Unlike letters, stories, and chronicles, liturgy is
ple, proclaimed liturgy central to the Church of England;
a text (usually composite), written or oral, intended for ritual
and Roman Catholics developed a Liturgical movement vari-
performance. It can even be the performance itself: its words,
ously traced to the Benedictine revival in France of Prosper
gestures, melodies, clothing, spaces, props, and roles. Wor-
Gueranger (1805–1875), the pastoral work in Belgium of
ship (from the old English weorthscipe, implying “worth–
Lambert Beauduin (1873–1960), and others. Other primary
ship”), is the term most employed to characterize the faithful
figures were theologian Odo Casel (1886–1948); Virgil Mi-
playing out of such a liturgy.
chael (1890–1938), who brought the Liturgical Movement
Liturgy, then, is a kind of ritual, presumably a religious
to the United States and founded its primary organ of liturgi-
ritual. But differentiating it as distinctively religious is as dif-
cal research in 1926 (Orate Fratres, renamed Worship in
ficult as defining religion itself, and definitions derived from
1951); and scholars Anton Baumstark (1872–1948) and
Christian practice may not do justice elsewhere. It is com-
Gregory Dix (1901–1952), whose Comparative Liturgy and
mon, for instance, to limit liturgy to public corporate cele-
The Shape of the Liturgy (respectively) became classics. These
brations, but Buddhism, Hinduism, and Judaism feature sig-
developments culminated in Vatican II (1962–1965) within
nificant domestic ritual that should be included in the
Roman Catholicism, and similar movements for liturgical re-
category. Then too, the blurring of the division between reli-
newal in other churches.
gious and secular results in modern liturgies that reflect both
Liturgy frames issues around which matters of identity
influences: civil marriages with religious components, for ex-
have been fought—for instance, the Calvinist preference
ample, or national and civic liturgies with at least once–
(dating from the Reformation) for purely biblical prayer; the
religious connotations, like American Thanksgiving services,
institutionalization of Taoist ritual under K’ou Ch’ien-chih
or even the national anthem of the Third Reich—originally
(365–448); and Islamic processions to mourn the killing of
a Haydn hymn. In 2003, an American prison population
the prophet’s grandson. Cultural rifts among modern Chris-
claiming expressly not to be a religion won the legal right to
tians have revolved around other issues, primarily:
celebrate its own liturgy anyway.
the language of prayer (its register, inclusivity, and doc-
Liturgies can be variously catalogued—like liturgies of
trinal precision);
protest, such as a gay-pride parade, and liturgies of anguish,
such as ceremonies attendant on the 9/11 disaster. Since the
the musical canon (inherited hymns alone or contempo-
1960s, increasing inventiveness has provided variations on
rary jazz);
established liturgical practice, such as a feminist eucharist
inculturation (altering the liturgy to reflect the culture
with a female “Christa” on a cross; but new traditions have
of the people assembled);
sprung up too, such as the displaying of an ever-growing
AIDS quilt. Some would even include as liturgy such rituals
ordination of women; and
as opening a major sporting event.
the status of gays and lesbians.
Liturgies can be considered internally and externally. In-
Contemporary liturgical change in Judaism reflects these
ternally, liturgies are open to whatever specific critique a par-
same cultural rifts, but centers also on the relative impor-
ticular religion applies to itself: theology for Christians;
tance of prayer in Hebrew rather than the vernacular.
halakhah for Jews; shariah for Muslims; or dharma for Hin-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LITURGY
5491
dus and Buddhists. External considerations apply objective
(1854–1941), who forced primitive liturgies of which they
measures, like the literary model through which the study of
had read or heard into a straightjacket of social evolutionism.
liturgy first arose. Defining liturgy as ritual performance has
spawned other methods of investigation, like studies of artis-
These approaches suffer from reductionism: isolating
tic communication, or even studies of how technology influ-
some specific aspect of ritual (and therefore liturgy) and then
ences liturgical expression: invention of coffee brought about
identifying it as a sorry, and even immoral, remnant of early
all-night ritual to Jewish mysticism; moveable type universal-
human history. Liturgy does follow fixed sequences of behav-
ized prayer texts, erasing local variation; and nineteenth-
ior, but it need not be a compulsive disorder. Liturgical lan-
century rail transportation permitted suburban cemeteries
guage features linguistic redundancy, but this is not necessar-
that prompted liturgies for funeral homes.
ily a ploy by authorities. And even though liturgy claims to
access the sacred, the sacred is not solely a socially useful
The terms liturgy and ritual are somewhat difficult to
phantasm that supports the social order. Liturgists may agree
disentangle, especially because ritual has its own religious
with some characterizations made by Freud, Marx,
usage in, for example, Methodism. Narrowly conceived, lit-
Durkheim, and their followers, but liturgists draw different
urgy is the ritual side of religion. But more broadly, liturgy
conclusions than they did.
becomes a subsection of the larger discipline of ritual studies
(Grimes, 1982), so that insight into ritual informs the under-
Philologists studying origins and history of liturgical
standing of liturgy as well.
texts claim scientific absoluteness: the prayer is either rightly
or wrongly dated to a certain era and author; there can be
The turn to ritual studies came primarily in the post–
only one right answer. Ritualists are more like drama critics
industrial west where liturgical renewal was responding to
watching a liturgy and interpreting its messages. Their claims
modern sensitivities such as gender egalitarianism; internal
are what philosopher Susanne Langer (1895–1985) called
anachronisms like the marginalization of worshipers from
presentational, not scientific: rather than true or false, they
full liturgical participation in Roman Catholicism; and an
are judged by how compelling they appear, and there is more
inherited protest against ritual in many Protestant churches
than one right answer. As cultural ethnographers, liturgists
and Reform Judaism. Nearly every discipline in the human
posit interpretations in keeping with a particular religion’s
sciences has subsequently provided insight, but anthropology
internal explanations, but also according to the way liturgies
and linguistic philosophy have proved most helpful.
seem externally to function. Other liturgists still study just
ANTHROPOLOGY. The contemporary application of cultural
the liturgical scripts, keeping in mind, however, that they are
anthropology to liturgy has had to contend with four chal-
scripts for performances, not literary works alone. Yet others
lenges from prior research. A psychological attack is associat-
are musicologists or ethnomusicologists, concerned predom-
ed with Sigmund Freud (1856–1939), for whom ritual is
inantly with the history or cultural performance of liturgical
merely obsessive–compulsive neurosis: both are marked,
music.
paradigmatically, by strictly controlled touching and eating.
Freud’s tracing of ritual’s origins to an elemental act of incest
Cognitively speaking, it is possible to see liturgies as ex-
has been widely dismissed, but liturgy does, in fact, often re-
pressions of metaphysical reality for their participants. In
semble obsessive behavior, and is still popularly attacked as
that regard, it is convenient to think in terms of three vari-
religiously undesirable, or at least subservient to doctrine and
ables: (1) theology (the nature of God or some other higher
morals (Freud, 1913).
power, organizing force, principle or reality, like the Upani-
A sophisticated neo-Marxist approach (Bloch, 1989)
sad Brahman); (2) religious anthropology (the nature of
emphasizes liturgy’s verbal form: song, chanting, and repeti-
human beings—born to original sin; reincarnations accord-
tive but invariable wording. Communications theory mea-
ing to the principle of Karma; or the absolute servants of
sures cognitively meaningful messages according to the ex-
God, as in Islam); and (3) cosmology (the nature of the uni-
tent that a listener can predict what the speaker will say.
verse–neutral as to human action, as in Epicureanism, or per-
Liturgy such as hymns, chants, or intoning praise, provides
fectible by human action, as in Jewish Kabbalah). Partici-
almost total predictability, so has little or no cognitive con-
pants take their existential stand at the convergence of these
tent to debate and is therefore charged with underwriting the
three metaphysical variables, which liturgies expound
ineluctable “rightness” of traditional authority among people
through word and action. Liturgies posit sacred places; shape
who would be better off resisting oppression.
time with sacred fasts and festivals; define ideal lives by im-
posing life-cycle moments (first communion, marriage, ordi-
The sociological attack is more subtle in that its found-
nation); conceptualize human nature (given free will, prone
er, Emile Durkheim, actually lauded religious ritual for the
to sin); posit human projects (the Buddhist eight-fold path,
powerful way it underwrites the legitimacy of social morality.
the pillars of Islam); and cement relationships with the uni-
But Durkheim anticipated the replacement of religious litur-
verse (through sacred soil, perhaps) and with each other
gies by nationalistic secular alternatives that would accom-
(born into a caste, predestined as chosen elect). Along the
plish the same thing (Durkheim, 1912).
way liturgies shape sacred history, not just what has been, but
A fourth challenge came from early armchair anthropol-
what can still be expected to pass, and, therefore, the hopes
ogists like Edward Tylor (1832–1917) and James Frazer
participants may rightly hold. Liturgies express the rules 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
5492
LITURGY
which human destiny unfolds: the logic of daily experience.
A variety of responses have therefore arisen to justify li-
They rehearse formative or revelatory moments of original
turgical claims. Hermeneuticist Paul Ricoeur, for instance,
visionaries by including them in sacred narratives that may
admitted the right to suspect naive theological assumptions.
be read, chanted, sung, or acted out so as to map their cate-
But he thought a new and sophisticated naivete would pene-
gories on the world and instruct religious adherents on how
trate the world of symbols and see truths that ordinary sense–
to find their way within it. More immediately, liturgies orga-
data miss. By far the most impactful modern philosophical
nize relations of power, gender difference, and social classby
trend has been what philosopher Gustav Bergmann (1906–
rooting them in assumed metaphysical reality.
1987) labeled “the linguistic turn.” It began with scientifical-
Typical of anthropological influence has been rite-of-
ly influenced philosophers who denied all reality to state-
passage theory, going back to Arnold van Gennep (1908):
ments that are neither empirical nor logically deducible from
liturgies separate participants from an old status, transition
empirical bases. Propositions in liturgy (like those of aesthet-
them betwixt and between, and incorporate them into a new
ics, ethics, and religion generally) are, therefore, neither true
status. Victor Turner (1969) emphasized the potential of
nor false, but simply meaningless. If liturgy is not saying any-
transitional (liminal) moments, when neither the old nor the
thing meaningful, what is its point?
new limit creative vision. Other theorists widely cited are
Ludwig Wittgenstein (1889–1951) provided the philo-
Clifford Geertz, who saw liturgies as symbolic demonstra-
sophical possibility of meaningful liturgical statements. His
tions of a people’s ethos and world view (Geertz, 1973) and
Tractatus Logico-Philosophicus (1921) concluded that even
“the kind of lives [their] societies support” (Geertz, 1983);
though empirical reality was all that could be spoken about,
and Mary Douglas, who emphasized the body as a symboliz-
anything that really mattered existed beyond speech and
ing entity and linked forms of ritualism to specific social
would have to be shown. Wittgenstein’s later Philosophical
structures (Douglas, 1970). Using Turner’s emphasis on the
Investigations (1953) described language as a series of games,
potential of liminal moments to produce social and psycho-
only one of which is the description of empirical reality.
logical transformation, liturgy’s advocates have argued that
Other games include naming, ordering, or offering to do
liturgy is morally empowering (Driver, 1991).
something; these do not describe reality, but are not on that
Contemporary theory is multidisciplinary, bringing to-
account meaningless.
gether such studies as mythology from Lévi-Strauss in 1963
and Eliade in 1954; performance practice from Turner in
With Wittgenstein, emphasis switched from determin-
1982; and even ritual’s biogenetic basis from Newberg,
ing what liturgical language describes to asking what it does.
D’Aquilli, and Rause in 2001. Most theorists assume overall
If liturgy does not describe empirical reality, perhaps it shows
that liturgies posit systems of meaning—a view that goes
it, the way art, for instance, demonstrates truths that elude
back to pioneers like Max Weber (1864–1920)—especially
simple declarative sentences. Or, following contemporary
in “limit” moments, Clifford Geertz describes as intellectual
pragmatists, perhaps liturgy manufactures truths as much as
bafflement, inexplicable suffering, and ethical paradox
it discovers them (Rorty, 1999; Putnam, 1994; Goodman,
(Geertz, 1973).
1978). Here liturgy meets philosophy and the human sci-
L
ences, which also see ritual as accomplishing something, such
INGUISTIC PHILOSOPHY. By the end of the nineteenth cen-
tury, western philosophy seemed mired in two equally unde-
as life-cycle passages. A particularly influential approach de-
sirable alternatives: British empiricism, according to which
rives from J. L. Austin (1911–1960), who called some
the world is available only through the senses; and René Des-
speech-acts “performative” in that the very act of uttering
cartes’s (1596–1630) claim that only introspection deter-
them performs certain tasks: Saying, “I bet you fifty dollars,”
mines certainty. The latter solution could not guarantee that
establishes a wager; similarly, saying, “I declare you husband
sensations from within represent the universe without; but
and wife” accomplishes what it says in the very saying of
the empiricists fared no better, because in the end, what one
it—as long as apt circumstances accompany the remark (hus-
sees (as it were) is not at all what one gets. Neither school
band and wife cannot be a dog and a cat, for example). In
could guarantee a genuine world beyond one’s own inven-
both the wager and the wedding, a speech act provides words
tion. Immanuel Kant’s (1724–1804) attempt to admit the
that are measurable not as true or false, but as “felicitous or
role of a constructing mind, while yet saving external reality,
infelicitous”—it works (because done properly) or it does not
was whittled away by Georg Wilhelm Friedrich Hegel
(Austin, 1962).
(1770–1831), for whom reality was pure spirit.
With Austin, and then with John Searle, liturgy
These philosophical wars over the nature of reality had
emerged as a ritualized creative act bringing into being insti-
consequences for liturgical traditions that posit experience of
tutional facts like marriage, a new year, pardon from sin, and
God, hope, atman, salvation, samsara, jihad, and other pre-
other states constituted by a religion’s internal category
sumably real entities, which ought to fit dominant theory of
scheme. Liturgy is universal to human society because it de-
what can be reliably known. The question became whether
fines into being the categories of social life, religious or other-
what liturgy posits is not just chimerical, and if so, how one
wise, without which there would be no social life at all
can know it.
(Searle, 1969, 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
LIU AN
5493
THE FUTURE OF LINGUISTIC STUDY. Contemporary trends in
Goodman, Nelson. Ways of Worldmaking. Indianapolis, 1978.
liturgical study still include historical reconstruction. They
Grimes, Ronald L. Beginnings in Ritual Study, Washington, D.C.,
also encompass whatever internal studies a religion finds
1982
meaningful, as well as insights from the human sciences and
Grimes, Ronald L. Ritual Criticism. Columbia, S.C., 1990.
philosophy, and the role of the arts in what is increasingly
Hoffman, Lawrence A. Beyond the Text. Bloomington, Ind., 1987.
perceived as a performative discipline. Still in their relative
infancy, for example, are studies of the way space and music
Hoffman, Lawrence A. The Way into Jewish Prayer. Woodstock,
Vt., 2000.
transform script into performance. In addition, studies of
Christian and Jewish liturgy have much to learn from the ex-
Langer, Ruth. To Worship God Properly. Cincinnati, Ohio, 1998.
pansion of purview beyond western experience to include the
Levi–Strauss, Claude. Structural Anthropology. New York, 1963.
vast panorama of liturgical expression worldwide.
Newberg, Andrew, Eugene D’Aquili, and Vince Rause. Why God
Won’t Go Away. New York, 2001.
BIBLIOGRAPHY
Putnam, Hilary. Pragmatism. Cambridge, Mass., 1995.
From a Christian perspective, the history of the Eucharist is most
fully covered in Joseph A. Jungmann, The Mass of the Roman
Rappaport, Roy. Ecology, Meaning and Religion. Berkeley, Calif.,
Rite, 2 vols. (Westminster, Md., 1986). For an excellent sur-
1979.
vey overall, see Theodor Klauser, A Short History of the West-
Rorty, Richard. Philosophy and Social Hope. New York, 1999.
ern Liturgy (1965: Eng. Ed. Oxford, 1979). Protestant litur-
Schechner, Richard and Willa Appel, eds. By Means of Perfor-
gy is surveyed in James F. White, Protestant Worship
mance: Intercultural Studies of Theatre and Ritual. New York,
(Louisville, Ky., 1989). Reuven Hammer’s, Entering Jewish
1990.
Prayer (New York, 1994) and Entering the High Holy Days
Schulz, Hans-Joachim. The Byzantine Liturgy (1980). English ed.,
(Philadelphia, 1998) provide a modern and accessible survey
New York, 1986.
of traditional Jewish liturgy. My People’s Prayerbook (Wood-
stock, Vt., 1997–2004, Lawrence A. Hoffman, ed.) provides
Turner, Victor W. The Ritual Process. Chicago, 1969.
traditional Jewish liturgy in detail, alongside modern com-
Turner, Victor W. From Ritual to Theatre. New York, 1982.
mentaries. During its brief existence, Liturgy Digest (Nathan
Searle, John R. Speech Acts. London, 1969.
Mitchell, ed., 1994–1997) devoted exceptionally fine treat-
ment to a variety of liturgical topics, along with bibliographic
Searle, John R. The Construction of Social Reality. New York.
details. Worship, the North American journal of record for
1995.
Christian liturgy, has been available since 1926. In 1987, the
Van Gennep, Arnold. Rites of Passage (1908). English ed., Chica-
newly launched Journal of Ritual Studies began publishing
go, 1960.
significant articles on ritual aspects of liturgy. Paul Bradshaw,
Wittgenstein, Ludwig. Philosophical Investigations. New York,
ed., The New Westminster Dictionary of Liturgy and Worship
1958.
(Louisville, Ky., 2002), includes specific prayers and liturgi-
cal items; and Edward Foley, ed., Worship Music: A Concise
Wittgenstein, Ludwig. Lectures and Conversations on Aesthetics,
Dictionary (Collegeville, Minn., 2000) briefly defines musi-
Psychology and Religious Belief. Berkeley, Calif., n.d.
cal entries. Paul Bradshaw, Lawrence A. Hoffman, and Janet
LAWRENCE A. HOFFMAN (2005)
Walton, eds., provide a six-volume series, Two Liturgical
Traditions (Notre Dame, 1991–1999), tracing parallels and
differences in Jewish and Christian liturgy.
A sampling of other recent books of significance includes the fol-
LIU AN (c. 180–122 BCE), second king of Huainan, also
lowing:
known as Huainanzi; Chinese philosopher, poet, and essay-
Austin, J. L. How to Do Things with Words. Oxford, 1962.
ist. Liu An was the grandson of Liu Pang (d. 194 BCE),
founder of the Han dynasty. Shortly after the birth of An’s
Bell, Catherine M. Ritual Theory, Ritual Practice. New York,
1992.
father, Liu Chang (b. 199 BCE), the woman who bore him
committed suicide when denied formal recognition by the
Bloch, Maurice. Ritual, History and Power. London, 1989.
emperor. The seventh of eight sons of the emperor by differ-
Driver, Thomas, The Magic of Ritual [Liberating Rites]. New York,
ent women, Liu Chang was twice passed over in the imperial
1991.
succession, which left him bitter and resentful. In 172 BCE
Douglas, Mary. Natural Symbols. London, 1970.
Liu Chang, then king of the vassal state of Huainan, was ban-
Durkheim, Emile. The Elementary Forms of Religious Life (1912).
ished to a remote corner of the empire for insulting his half
English ed., New York, 1995.
brother, the emperor Wen. He died en route, leaving Liu An
Eliade, Mircea. The Myth of the Eternal Return. Princeton, N.J.,
and his two younger brothers. In 164 BCE Liu Chang’s fief
1954.
of Huainan was divided among his three sons, with the el-
Freud, Sigmund, Totem and Taboo (1913). English ed., London,
dest, Liu An, receiving the title of King of Huainan. He also
1950.
inherited his father’s disdain for the imperial line; twice he
Geertz, Clifford. The Interpretation of Cultures. New York, 1973.
plotted rebellion.
Gill, Sam D. Native American Religious Action. Columbia, S.C.,
CENTER OF CULTURE AND LEARNING AT HUAINAN. The bi-
1987.
ographies of Liu An all speak of him as a youth who 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
5494
LIU AN
chewed martial pursuits in favor of literature, music, and
essays, and then edited the essays and wrote the final summa-
philosophy. He quickly developed his literary talent and at
ry and overview. The resulting text consists of twenty-one
the age of twenty-two is said to have written, upon imperial
essays on topics ranging from cosmology, astronomy, and ge-
command, a brilliant essay on the famous Chu poem the Li
ography to self-cultivation, human relations, and govern-
Sao in the few hours between dawn and breakfast. In 154
ment. It was clearly intended to be a compendium of knowl-
BCE, Liu An almost took part in the unsuccessful rebellion
edge about the nature of the universe and the human role
of Liu Pi but changed his mind at the last moment. Some
within it. Its extensive use of pre-Han philosophical and reli-
time later he decided to establish his court as a center of
gious sources indicates not the mere repetition of earlier
learning. He opened his court in Shouchun to philosophers,
ideas, as some have maintained, but rather a bold and inno-
poets, and masters of esoteric techniques (fangshi). History
vative attempt at their synthesis and an application to con-
speaks of a major center developing there, a focal point for
temporary concerns.
the last flourishing of the ancient culture of Chu, a region
The topics considered and the viewpoints represented
renowned for its mysticism and shamanism. In the great tra-
in the essays of the Huainanzi occur in the context of a con-
dition of King Xuan of Qi (c. 310 BCE), the founder of the
sistent cosmology that is best described as a blend of the
Jixia Academy at which the Guanzi was probably written,
Daoism of the Laozi and Zhuangzi and the Naturalist philos-
and Lü Buwei (c. 240 BCE), sponsor of the Lüshi chunqiu,
ophy of yin and yang and the Five Phases (wuxing) of energy
Liu An was patron to many of the finest religious and philo-
(qi), first systematized by Zou Yan (c. 340–270
sophical minds of his time. However, unlike these earlier pa-
BCE). Some
scholars identify this synthesis as the syncretic Daoist philos-
trons, An took an active part in philosophical discussions and
ophy associated with the long-lost intellectual lineage that
the writing of essays and poems. He also collected an exten-
historical sources call “The Way of the Yellow Emperor and
sive library that contained all the major pre-Han philosophi-
Lao Tzu” (Huang-Lao zhi Dao). This synthesis remains faith-
cal texts, including his favorite, the Zhuangzi.
ful to the earlier Daoist cosmology of an organismic universe
The center of culture and learning founded by Liu An
of totally interrelated phenomena, which spontaneously tend
was distinctly oriented toward Daoism and rivaled the largely
toward harmony and are interfused by the unifying and cre-
Confucian center at the imperial court in Chang’an. It lasted
ative power of the Dao. However, the Huainanzi provides
for almost three decades and toward its end became a target
a more detailed explanation of the actual mechanisms of this
of powerful officials in the imperial court. In 122 BCE Liu
universe in terms of yin and yang and the Five Phases. Be-
An was convicted of plotting rebellion, and imperial repre-
cause human beings are an integral part of this universe and
sentatives were sent to Huainan to punish him. Before they
are thus subject to its laws, all human activity, from politics
arrived, Liu An took his own life. Despite the conviction, the
to warfare to spiritual self-realization, must take these univer-
challenge presented by the rival Daoist-based intellectual
sal forces into account. The Huainanzi balances both cosmo-
center in Huainan was undoubtedly a more powerful moti-
logical and social-political perspectives in its thorough em-
vation for the successful prosecution of Liu An than his
phasis on the universal context of human nature and human
hopeless plans for rebellion. Whatever the reason, Liu An
activity. In so doing, it has made a significant contribution
and his family perished, and the vibrant center he established
to the evolution of the unique Chinese worldview.
came to a tragic and untimely end.
THE HUAINANZI AND INNER CULTIVATION. As might be ex-
W
pected in light of the number of religious adepts at the court
RITING THE HUAINANZI. Today all that remains of this last
flourishing of Chu culture is one book, the Huainanzi, and
of Liu An, the Huainanzi has left its mark in the area of spiri-
an extensive list of others that attest to the vibrancy of the
tual self-cultivation as well. A number of passages stress the
Huainan court. Among the writings produced are a number
importance and provide examples of meditative techniques
in which Liu An was directly involved. Two essays on the
of “nourishing one’s inherent nature” (yangxing) and “nour-
Zhuangzi and a collection of eighty-two poems, all now lost,
ishing the spirit” (yangshen), such as controlled breathing and
are credited to him. Also listed under his name are three trea-
calming the mind. An important contribution of the Huai-
tises identified simply as the “Inner Book,” which discussed
nanzi lies in its elaboration of how these techniques function
the Dao; the “Outer Book,” which discussed miscellaneous
in terms of Five-Phases philosophy. This elaboration places
doctrines; and the “Middle Book,” which dealt with esoteric
the Huainanzi firmly within the meditative tradition of
alchemical techniques. Of the three, only the “Inner Book,”
“inner cultivation” that reaches back to the fourth century
which Liu An presented to Emperor Wu in 139
BCE “Inward Training” (Neiye) text in the Guanzi and ahead
BCE, has sur-
vived intact. This is the work that has come down to us
to the physiological alchemy that was later developed and ex-
under the name of Huainanzi. It stands as his major contri-
panded in the Daoist religion. There were undoubtedly
bution to Chinese thought.
adepts who followed these practices at the court of Liu An,
perhaps the fangshi, and it was the spiritual descendants of
Of the reportedly several thousand philosophers and
such people who were involved in the early organization of
adepts at the court of Liu An, eight are named with him in
the Daoist church some three centuries later. It is no surprise
the authorship of the Huainanzi. Liu An probably estab-
that the Huainanzi was later included in the comprehensive
lished the scope and format of the work, wrote some of the
collection of Daoist canonical works, the Daozang. Another
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LIU DEREN
5495
contributing factor must be the legend that Liu An did not
tils animateurs de l’essence (Taipei, 1982); chapter 9: Roger
die, but attained immortality after consuming an elixir given
T. Ames, The Art of Rulership: A Study in Ancient Chinese Po-
him by the fangshi.
litical Thought (Honolulu, 1983; reprint Albany, N.Y.,
1994); chapter 11: Benjamin E. Wallacker, The Huai-nan
While most of the works written by Liu An and his asso-
Tzu, Book Eleven: Behavior, Culture, and the Cosmos, “Ameri-
ciates have regrettably been lost, their contribution to the de-
can Oriental Series,” vol. 48 (New Haven, Conn., 1962).
velopment of Chinese religion and philosophy has survived
There are translations of short passages from the Huainanzi
in the form of the Huainanzi.
in A Sourcebook in Chinese Philosophy, translated and com-
piled by Wing-tsit Chan (Princeton, N.J., 1963); in Fung
S
Yu-lan’s The Period of the Philosophers, vol. 1 of A History of
EE ALSO Daoism, article on Daoist Literature; Fangshi;
Yinyang Wuxing.
Chinese Philosophy, 2d ed., translated by Derk Bodde
(Princeton, N.J., 1952); in Chinese Philosophy in Classical
Times, edited and translated by E. R. Hughes (New York,
BIBLIOGRAPHY
1942); and by Harold D. Roth in the second edition of
The most complete Western source on the life of Liu An is Benja-
Sources of Chinese Tradition, vol. 1, edited by W.T. DeBary
min E. Wallacker’s “Liu An, Second King of Huai-nan,”
and Irene Bloom (New York, 1999).
Journal of the American Oriental Society 92 (January–March
HAROLD D. ROTH (1987 AND 2005)
1972): 36–49. The Shiji biographies of Liu An and his father
have been translated in Burton Watson’s Records of the Grand
Historian of China, vol. 2 (New York, 1963), pp. 359–381.
In The Huainanzi and Liu An’s Claim to Moral Authority (Al-
bany, N.Y., 2001), Griet Vankeerberghen has written an in-
LIU DEREN (1122–1180), Daoist master of the Jin peri-
sightful study of the philosophy of the Huainanzi in the his-
od and founder of the Zhenda sect of Daoism. His Daoist
torical context of the events of 123–22 BCE that led to Liu
clerical name was Wuyouzi. In 1126, the year the Northern
An’s suicide and the destruction of his intellectual center.
Song dynasty fell, Liu moved from Luoling Prefecture in
The most thorough textual study of the Huainanzi is The
Shandong Province to the Taiping district of Yanshan Pre-
Textual History of the Huai-nan Tzu (Ann Arbor, Mich.,
fecture in Hebei Province, where he studied Confucianism
1993) by Harold D. Roth. A summary of this history can be
as a youth. It is alleged that early one morning in the eleventh
found in Charles LeBlanc’s article in Early Chinese Texts: A
month of 1142, a white-haired old man riding a cart pulled
Bibliographical Guide (Berkeley, Calif., 1993), edited by Mi-
by a blue calf gave Liu the fundamental principles of the Dao
chael Loewe. There is one complete French translation of the
de jing, along with a writing brush. The old man declared,
Huainanzi made by a team of eight scholars under the direc-
tion of Charles LeBlanc and Rémi Mathieu: Philosophes tao-
“If you can fully understand the essentials of the Dao de jing,
ïstes, tome 2: Huainan zi (Paris, 2003). There are also a num-
your own religious education will be complete and you will
ber of partial translations; Evan Morgan’s Tao, the Great
be able to enlighten others.” Liu followed the old man’s ad-
Luminant: Essays from Huai-nan tzu (1935; reprint, New
vice, deepened his knowledge of Daoism, and attracted an
York, 1969) is a translation of eight of the twenty-one essays
ever greater number of disciples.
in the text but suffers from poor scholarly methodology and
In teaching his followers, Liu stressed nine points, in-
antiquated renderings of key terms. Nonetheless, it is superi-
or to the idiosyncratic mishmash of unidentified Huainanzi
cluding loyalty, filial piety, sincerity, purity, humility, suffi-
fragments, from a variety of chapters, assembled and translat-
cient knowledge, acceptance, and the prohibition of cruelty,
ed by Thomas Cleary in The Book of Leadership and Strategy:
lewdness, slander, stealing, gambling, consuming the five
Lessons of the Chinese Masters (Boston and London, 1990).
pungent substances, drinking intoxicants, and taking life.
Three scholars, Claude Larre, Isabelle Robinet, and Elisabeth
Zhenda Daoism represents a syncretization of China’s three
Rochat de la Vallée, provide a lucid French translation of
teachings: Confucianism, Buddhism, and Daoism. But while
chapters 1, 7, 11, 13, and 18 in Les Grand Traités du Huai-
the influence of Confucianism was pronounced, Daoist mag-
nan zi (Paris, 1993). Eva Kraft’s “Zum Huai-nan-tzu: Ein-
ical practices and the use of talismans, incantations, and elix-
führung, Übersetzung (Kapitel 1 und 2) und Interpretation,”
irs of immortality (jindan, “gold and cinnabar”) found little
Monumenta Serica 16 (1957): 191–286; 17 (1958):
room in his teaching. The Zhenda sect promoted a rational
128–207, uses the questionable method of basing her trans-
lation on parallel passages in the Wenzi. John S. Major’s
philosophy centered on practical morality in accordance with
Heaven and Earth in Early Han Thought (Albany, N.Y.,
the demands of the time.
1993) translates the three most challenging essays in the text,
Liu’s teachings were quickly embraced by the people of
3–5, which deal with astronomy, geography, and calendrics,
northern China, who at the time were plagued by social in-
and renders them intelligible to a modern reader through
stability. The sect’s rapid rise in influence brought Liu’s
meticulous explanatory notes. There are also a number of
name to the attention of Emperor Shizong of the Jin dynasty.
studies of individual essays that contain translations: chapter
1: D.C. Lau and Roger T. Ames, Yuan Dao: Tracing Dao to
The emperor summoned Liu to the capital and in 1161 es-
its Source (Albany, N.Y., 1998); chapter 6: Charles LeBlanc,
tablished Liu in residence at the Tianzhang temple, which
Philosophical Synthesis in Early Han Thought. The Idea of Res-
thereby became the head temple of Zhenda Daoism. In 1167
onance (Kan-Ying) (Hong Kong, 1986); chapter 7: Claude
the emperor bestowed on Liu the title Dongyue Zhenren
Larre, Le Traité VII du Houai nan tseu. Les esprit légers et sub-
(“perfected one of the eastern peak”). Liu thus developed im-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5496
LIU TE-JEN
portant ties with the court, thereby paving the way for the
nature of government and the nature of knowledge. His Two
expansion of Zhenda Taoism. He died in 1180.
Treatises of Government (1689) sets forth both a biblical in-
terpretation attacking the basis of traditional patriarchal po-
SEE ALSO Daoism, overview article, and article on The
litical theory and a model of human society in which every
Daoist Religious Community.
person has a direct relation to God under natural law. In ac-
cord with his views on toleration, Locke’s theory of govern-
BIBLIOGRAPHY
ment does not require a uniformity of religion but is instead
Chen Yuan. Nan Song chu Hebei xin daojiao kao. Beijing, 1958.
based on the right and need of individuals to preserve their
Kubo Noritada. Chugoku no shukyo kaikaku. Tokyo, 1967.
lives, liberty, and property under natural law, even to the
Kubo Noritada. Dokyoshi. Tokyo, 1977.
point of revolution.
KUBO NORITADA (1987)
Translated from Japanese by James C. Dobbins
His Essay concerning Human Understanding (1690) ad-
dresses issues of epistemology with an eye toward their reli-
gious and political implications. He attacks the theory of “in-
LIU TE-JEN SEE LIU DEREN
nate principles,” charging that its proponents (Hobbesians,
Enthusiasts, and Roman Catholics) used it to impose their
opinions on others as infallible so that they might govern by
LLULL, RAMÓN S
demanding unquestioning faith in their judgments. He seeks
EE LULL, RAMÓN
to show how little proper knowledge, that is, certainty, is
available and asserts that religion rests primarily upon faith,
not on knowledge. By “faith” Locke meant an assent to reve-
LOCKE, JOHN (1632–1704), English Christian writer
lation; such an assent is essentially a judgment of probability,
on religious toleration, epistemology, political theory, theol-
however great an assurance or confidence it carries. Thus, his
ogy, education, and economics. Locke was admitted to
epistemology supports his claim, with regard to toleration,
Westminster School, London, upon the recommendation of
that the leaders of society have no basis for imposing religion
a Puritan family friend and proceeded as a King’s Scholar to
on subjects. However, he firmly believed that each individual
Christ Church, Oxford, where in 1658 he was chosen as a
could determine what was essential to his or her own salva-
senior student (fellow) to teach moral philosophy. He stud-
tion and moral life.
ied chemistry and medicine, the practice of which contribut-
ed to his friendship with Anthony Ashley Cooper, earl of
In The Reasonableness of Christianity (1695), Locke sets
Shaftesbury and leader of the Whig Party. This political asso-
forth his own understanding of true religion, which he de-
ciation led to Locke’s self-imposed exile in Holland and the
scribes as a simple, intelligible Christianity derived from
loss of his Oxford studentship in 1684. With the “Glorious
scripture alone. Drawing on an old tradition, he argues that
Revolution” of 1689, he returned to England, where he de-
the fundamental articles of Christian faith had been clearly
voted the remainder of his life largely to writing.
designated by Jesus and the apostles, and that they are evi-
Locke’s earliest extant writings of substance (not pub-
dent to anyone who reads the Bible. Focusing on the Gospels
lished until the twentieth century) set the course, though not
and the Acts of the Apostles, he attempts to reconstruct the life
the content, of his later, most influential works. After the res-
and teachings of Jesus and the apostles so as to show that they
toration of Charles II to the throne in 1660, Locke con-
required for salvation belief only that Jesus was the Messiah,
formed to the Church of England and wrote two essays de-
which presupposes belief in the existence of God and carries
fending the right of the civil magistrate to determine and
with it certain “concomitant articles” (such as Jesus’ miracles,
enforce adiaphora, indifferent matters of religious worship.
resurrection, and ascension) that proved him to be the Messi-
He believed that such authoritarianism was the only means
ah. He admits that other scriptural doctrines must be be-
to religious and political peace after the conflicts of the inter-
lieved as one comes to know them and emphasizes that moral
regnum. In 1661 he reiterated this position in an essay on
obedience must accompany faith. Locke seems to have hoped
infallibility, which subject perhaps initiated his interest in the
that such a vision of Christianity, founded on a simple article
relationship between issues of knowledge and religious poli-
of faith and clear morality set forth plainly in scripture, could
cy. By 1667, after his association with Shaftesbury, Locke
provide a basis for social and political unity in which second-
changed his position and defended religious toleration in An
ary matters of difference would be tolerated.
Essay concerning Toleration, which foreshadowed the liberal
Locke’s method in Reasonableness was also influential in
views of his Epistola de tolerantia (1689), his classic defense
the history of biblical criticism. His attempt to reconstruct
of religious liberty. There he argued that religious opinions,
the earliest teachings of Christianity led him to write a virtual
even in “matters indifferent,” could not and ought not be
“life of Jesus,” including attention to what would later be
imposed upon subjects since a government magistrate had
called the “messianic secret.” He emphasized what he
no more certain or infallible knowledge than anyone else.
thought were the more historical portions of the New Testa-
From his consideration of religious toleration, Locke
ment over the more doctrinal letters. His later Paraphrases
turned his attention to two fundamental attendant issues: the
and Notes on the Pauline Epistles, published posthumously
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LOGIC
5497
(1705–1707), also contributed to the perspective and style
all areas of inquiry whatsoever. Traditionally logic has divid-
of subsequent biblical interpretation.
ed into the study of deduction and of induction. The former
Locke’s views on religion have been labeled as Hobbes-
has had an enormous development in the last hundred years
ian, Socinian or Unitarian, and deistic. The thesis of Reason-
or so, whereas the latter is still lagging behind, awaiting its
ableness is nearly identical to that of Hobbes, and modern
coming of age.
Marxist interpreters have revived the charges of Hobbesian
Deductive logic does not dictate the principles or state-
inclination made by a few of Locke’s contemporaries. How-
ments with which a given line of reasoning or inference
ever, non-Marxist historians have countered with alternative
starts; it takes over after these have been initially decided
interpretations of Locke’s meaning and broad intentions.
upon. Such principles or statements are decided upon, in
Locke’s ownership of numerous Socinian books, his several
turn, by direct insight, by revelation, by direct experience,
Unitarian friends, and manuscript records of antitrinitarian
by induction from instances, and so on. Deductive logic
sentiments have often been cited as evidence of his secret
steps in only in the secondary capacity of directing the course
sympathies. Yet such claims depend largely on silence and
of inferences once the so-called “premises” have been accept-
association, and recent analyses of manuscript sources have
ed or determined. The principles and rules of correct infer-
revealed that nearly all of Locke’s “Unitarian” manuscript
ence are stated in complete generality and hence are applica-
writings were not his own opinions but notes taken from his
ble to all kinds of subject matter. They are stated within a
readings. His epistemology became a standard foundation of
limited logical vocabulary—primarily that providing for the
eighteenth-century Deism, but Reasonableness may well have
notions “not,” “and,” “or,” “for all,” “for some,” and so
been directed in part against the Deists and was used as a
on—to which the statements of any discipline must be
source of anti-Deist polemics. Locke strongly denied that his
brought into conformity by the use of suitable nonlogical
religious opinions were either the same as or influenced by
constants providing for the given subject matter. Logic is
Hobbes, the Socinians, or the Deists. If he is to be classed
thus indeed a kind of straitjacket that enforces correct state-
with any group or party, he might best be labeled as an inde-
pendent thinker of the English Latitudinarian tradition.
ment and inference, just as moral norms enforce correct be-
havior and aesthetic norms enforce the beautiful or the artis-
tically acceptable. In logic, however, there is less variation in
BIBLIOGRAPHY
the norms than in moral or aesthetic matters. Although
Maurice Cranston’s John Locke: A Biography (London, 1957) is
more comprehensive in its biographical detail than compel-
many varieties of “deviant” logics have been invented, all of
ling in its interpretations of Locke’s thought. Peter Laslett’s
these turn out to be mere applications of the one standard
edition of Two Treatises of Government, 2d ed. (Cambridge,
logic. This is essentially the logic of Aristotle, brought up to
1964), provides the best critical text, as well as a revolution-
date with the important contributions of DeMorgan, Boole,
ary interpretation that has been widely accepted. The best
Peirce, Frege, Schröder, Whitehead and Russell, and Les-
work on the religious influence of Locke’s epistemology is
niewski.
John W. Yolton’s John Locke and the Way of Ideas (Oxford,
1956).
Principles of logic have played a central role in theology
throughout the long history of both, and each has influenced
New Sources
Anstey, Peter R., ed. The Philosophy of John Locke: New Perspec-
the other in significant ways. To be noted especially is the
tives. New York, 2003.
development, between roughly 1200 and 1500, of the Scho-
lastic logic that aimed at providing the wherewithal for
Jolley, Nicholas. Locke: His Philosophical Thought. New York,
1999.
proofs of God’s existence, especially those of Anselm, Thom-
as Aquinas, and Duns Scotus. In recent years, so-called pro-
Marshall, John. John Locke: Resistance, Religion, and Responsibility.
cess theology, stemming from the work of Whitehead, owes
New York, 1994.
its origins to Whitehead’s early work in logic, and much of
Simmons, A. John. The Lockean Theory of Rights. Princeton, N.J.,
the current discussion of the language of theology, especially
1992.
in England, has been decisively influenced by the contempo-
Wollerstorff, Nicholas. John Locke and the Ethics of Belief. New
rary concern with the logic of natural language. In the East,
York, 1996.
especially in India, logic began to flourish in the first century
J
CE within the confines of the methodology of theological and
OHN C. HIGGINS-BIDDLE (1987 AND 2005)
Revised Bibliography
moral discussion and had a vigorous development that has
persisted to the present day.
Logic, especially in its modern form, is a helpful adjunct
LOGIC. In the words of Petrus Hispanus, logic is both
to theology and should not be viewed with the fear that it
“ars artium et scientia scientiarum, ad omnium aliarum
will reduce the subject to a long list of sterile formulas. On
scientiarum methodorum principia viam habens.” Roughly,
the contrary, it should be viewed as an instrument that can
we may take this to say, in modern terms, that logic concerns
help theology regain the high cognitive regality it once had
itself with the methods of correct statement and inference in
as the queen of the sciences.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5498
LOGICAL POSITIVISM
BIBLIOGRAPHY
The distinctively “logical” character of the radically em-
Bochenski, Joseph M. The Logic of Religion. New York, 1965.
piricist Vienna Circle was derived from the careful study (a
Carnes, John. Axiomatics and Dogmatics. Oxford, 1982.
line-by-line examination from 1924 to 1926) of Wittgen-
Martin, R. M. Primordiality, Science and Value. Albany, N.Y.,
stein’s Tractatus Logico-Philosophicus, which had been com-
1980.
pleted by 1918 and first published in 1921 (in German
under the title Logisch-philosophische Abhandlung), just prior
New Sources
to the formation of the Vienna Circle. Wittgenstein was
Allen, James. Inference from Signs: Ancient Debates about the Na-
never a member of the Circle and was not sympathetic either
ture of Evidence. New York, 2001.
to its party spirit or to the “grandiloquence” of its pro-
Bowell, Tracy, and Gary Demp. Critical Thinking: A Concise
nouncements, but from 1927 to 1929 he engaged in conver-
Guide. London, 2001.
sations with Schlick and other members of the Circle. Witt-
Falmagne, Rachel Joffe, and Marjorie Hass. Representing Reason:
genstein’s logical doctrine formed the Circle’s sharpest
Feminist Theory and Formal Logic. Lanham, Md., 2002.
weapon against metaphysics and theology: the characteriza-
R. M. MARTIN (1987)
tion of them not merely as false or outmoded, as Comte and
Revised Bibliography
the classical positivists had claimed, but as strictly “non-
sense.”
It was from Wittgenstein that the Vienna Circle drew
LOGICAL POSITIVISM. Narrowly defined, logical
its insistence that all meaningful statements are either analyt-
positivism was an organized, science-oriented movement
ic (and logically certain merely because they are tautologies)
centered in Vienna during the 1920s and 1930s, a move-
or synthetic (and “truth-functionally” analyzable into basic
ment severely critical of metaphysics, theology, and tradi-
propositions corresponding to ultimately simple facts). The
tional philosophy. Also known as logical empiricism, logical
Circle gave its own characteristic interpretation of what qual-
positivism may be more broadly defined as a doctrine born
ified as these “atomic facts”: sense-experiences. With this in-
of classical empiricism and nineteenth-century positivism
terpretation came support for two of the Circle’s three pri-
and sharpened by an empirical interpretation of the early log-
mary positions: (1) the doctrine of the unity of science,
ical writings of Ludwig Wittgenstein (1889–1951).
Mach’s key project, on the ground that all the sciences can
In either case, the distant origins of logical positivism
be reduced equally to variously complex (“molecular”) re-
lie in the long history of philosophical empiricism, the tradi-
ports on experience; and (2) the doctrine of the valuelessness
tion holding that all knowledge must be derived from human
of metaphysics, on the ground that metaphysical utterances,
experience alone. More particularly, the empiricism of John
by attempting to go “beyond” experience, fail to point to
Locke (1632–1704), George Berkeley (1685–1753), and
simple sense-experiences and thus are devoid of cognitive
David Hume (1711–1776), with their cumulatively ever
content.
more radical elimination of nonempirical sources of knowl-
Both doctrines were incorporated in and defensible by
edge, served as inspiration for the scientific views of the influ-
the third, the single most characteristic doctrine enunciated
ential Vienna physicist and theorist of science, Ernst Mach
by the logical positivists: the verification principle of mean-
(1836–1916). In addition, the positivist movement of the
ing, fashioned in light of Wittgenstein’s analysis of the logic
nineteenth century, founded by Auguste Comte (1798–
of language. The principle itself, “the meaning of a proposi-
1857), with its intense admiration for natural science, its an-
tion is the method of its verification,” though not appearing
ticlerical and antimetaphysical commitments, and its self-
in the Tractatus Logico-Philosophicus, was attributed to a re-
conscious programs for social and religious reform, lay be-
mark by Wittgenstein and was first published in the initial
hind not only Mach but also the small group of mathemati-
volume of Erkenntnis (1930–1931). In all its many later ver-
cal, natural, and social scientists who gathered in Vienna as
sions, the verification principle was taken to mean that for
early as 1907 to discuss Mach’s views. In 1922 this group
any nonanalytic (i.e., any would-be informative) statement,
was successful in bringing Moritz Schlick (1882–1936), who
the factual meaning of the statement is equivalent to the set
was scientifically trained under the great German physicist
of observations (or sense-experiences, or “observation-
Max Planck (1858–1947) but also keenly interested in philo-
statements”) that would be sufficient to confirm the asser-
sophical issues, to the chair once held by Mach at the Univer-
tion’s truth. Thus a thoroughgoing empiricist interpretation
sity of Vienna. Schlick quickly drew around him a circle of
was given to Wittgenstein’s more general dictum, and the au-
like-minded thinkers, mainly from the sciences, some of
thority of a powerful theory of meaning was placed behind
whom formed in 1928 the Verein Ernst Mach (the Ernst
the old disavowal of metaphysical or theological claims.
Mach Society). What soon became known as logical positiv-
ism was formulated by this group. The Vienna Circle, as they
Those purported claims, it was said, must (if nontau-
came to be known, issued a “manifesto” in 1929, organized
tological) be equivalent to the sensory experiences that might
international meetings, and in 1930 took over a journal, re-
be obtained by an observer ideally positioned to verify the
named Erkenntnis, for the advancement of its increasingly
claim. Such confirming experiences, in the end, are alone
sharp position.
what the utterances can mean. But if there are (and could
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LOGICAL POSITIVISM
5499
be) no such specifiable experiences, as in the case of utter-
This variety of replies, to which many others could be
ances allegedly “about” nonsensory entities like “God” or the
added, underscores the distance that the postwar discussion
“Absolute,” then literally nothing is conveyed by the lan-
had come from the rigorous either/or position of the Vienna
guage, no real claims are made, and no “entity” can be con-
Circle. But the sharp sword of the verification principle had
ceived, much less believed in. So ran the fresh, essentially po-
already been blunted on issues at the very center of logical
lemical argument of the logical positivists.
positivist concern: issues involving the adequate analysis of
This polemic was generally ignored in the German-
scientific assertions themselves. Try as they might, the mem-
speaking philosophical world, doubtless because the Vienna
bers and allies of the Vienna Circle were not able to make
Circle was not perceived (and to a large extent did not per-
good their program to include with the same criteria all sci-
ceive itself) as engaging in philosophy so much as in a cri-
entifically essential statements but to exclude all metaphysi-
tique, enunciated mainly by professional scientists on behalf
cal and theological ones. It soon became clear that the laws
of a scientific method and worldview, of philosophy itself.
of science, being entirely universal in form, are not conclu-
Some English-speaking philosophers, however, long nur-
sively verifiable, since finite numbers of observations cannot
tured in the empiricist tradition that had inspired Mach and
in principle verify a universal assertion. (“Some” examples,
the Vienna Circle, were quick to notice the logical positivists.
however many they may be, cannot verify claims about
Alfred Jules Ayer (1910–1989) and Gilbert Ryle (1900–
“all.”) Furthermore, the proffered suggestion that scientific
1976), of Oxford, and John Wisdom (1904–1993) and
laws are not, after all, assertions, as they seem to be, but dis-
Susan Stebbing (1885–1943), of Cambridge, were early in-
guised “rules” or other logical entities was too paradoxical for
terpreters of the movement. Ayer, visiting Vienna in 1933,
most science supporters. Again, the apparently definite
attended the meetings of the Circle, and in 1936 his book
meaning of even straightforward, particular factual assertions
Language, Truth and Logic, containing a logical positivist cri-
of science and daily life was found to melt away under verifi-
tique of theology and ethics, exploded onto the English-
cational analysis into an infinite series of possible observa-
speaking scene.
tions. Reversing the problem to the criterion of “falsifica-
tion” did not help, since although a universal proposition can
This radical challenge to the logical intelligibility of cen-
be falsified (in principle) by a single negative observation, no
tral theological utterances—those ostensibly about God, the
particular assertion can be so falsified; furthermore, universal
soul, life after death, and the like—provoked a reaction that,
laws of science are not, either in logic or in historical fact,
though muted by the outbreak of World War II, intensified
again in the early 1950s after a renewed challenge was issued
at once falsified by negative observations. At most a whole
by Antony Flew (b. 1923). Flew drew upon a variation of
network of theories is shown to need revision by a negative
the verification principle for his question: what empirical ob-
observational result (since it is not immediately clear which
servations would be incompatible with (would “falsify”)
of the premises ought to be discarded and which retained).
theological assertions? If the answer is none, then are not the
Moreover, as argued by such historians of science as Thomas
assertions in fact empty of definite, thinkable content? Theo-
S. Kuhn (1922–1996), science does not actually develop in
logians in the Catholic tradition (Roman or Anglican) tend-
any such logically neat way.
ed to answer in terms of traditional doctrines of analogy.
Other applications, not directly fashioned by the Vien-
Members of the reformed tradition replied in fideistic terms.
na Circle, of verificationism to science—for instance, the at-
Neither group offered direct responses to the logical positiv-
tempt of the Harvard physicist P. W. Bridgman (1882–
ist attack. On the other hand, a third group, mainly liberal
1961) to reduce all concepts in science to descriptions of spe-
Protestants (including some Anglicans), attempted to vindi-
cific procedures (“operationalism”)—resulted in the
cate the cognitive meaningfulness of theological discourse by
unsatisfactory conclusion that entirely different concepts (for
satisfying the conditions set by the verification principle,
example, of “length” or “time”) would be fashioned by the
specifying experiences that would be relevant to the verifica-
various sciences, depending on their subject matter and char-
tion or falsification of the claims in question. John Hick (b.
acteristic methods. Far from supporting the unity of science,
1922) proposed that claims about God could be verified, but
which was a central motive in the founding of the logical
only by postmortem experiences. Basil Mitchell (b. 1917)
positivist movement, operationalism tended to make it logi-
suggested that ordinary historical events or personal experi-
cally impossible for astronomy, which measures distance by
ences are relevant to the verification of these claims, though
various sorts of procedures, to share a common concept of
not conclusively (as in many complex or ambiguous situa-
distance with geology, biology, or microphysics, which rely
tions in life). He further suggested that faith-commitments
upon others. Indeed, even within the same science—or with-
are shown to be cognitively significant precisely because of
in the same laboratory on different occasions—scientifically
the anguish sometimes felt in maintaining them against the
essential conceptual generality was seen to be forfeited by the
evidence. R. M. Hare (1919–2002) and John Wisdom
particularistic reductionism of operationalism.
agreed that ordinary cognitive content is missing from theo-
logical claims but that these utterances might still have im-
Equally alarming to many more realistically minded sci-
portance otherwise, offering comprehensive interpretations
entists and friends of science was the problem of retaining
of particular experiences.
a (non-“metaphysical”) concept of the common world stud-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5500
LOGOS
ied by science if the meanings of all factual propositions are
ful The Philosophy of Wittgenstein (Englewood Cliffs, N.J.,
to be literally equated with those experiences that could veri-
1964). The thought of the founder of the Vienna Circle is
fy them. Since experiences are personal and private, the tradi-
reflected in Moritz Schlick’s posthumously published Gesam-
tional problem of “other minds” (i.e., of how I can escape
melte Aufsätze 1926–36 (1938; reprint, Hildesheim, 1962).
solipsism if other centers of consciousness are not directly ob-
Other representative writings of the Vienna Circle can be
servable by me) was added to the problem of escaping from
found in Rudolf Carnap’s The Logical Structure of the World
(London, 1967) and in Foundations of the Unity of Science,
absolute idealism (i.e., the alarmingly traditional metaphysi-
vol. 2 of International Encyclopedia of Unified Science, edited
cal view that nothing exists except mentality), even if the ego-
by Otto Neurath, Rudolf Carnap, and Charles Morris
centric predicament somehow could be avoided.
(1938–1962; reprint, Chicago, 1955–1970). The explosive
Finally, the logical status of the verification principle it-
introduction of logical positivism to the English-speaking
world was through Alfred Jules Ayer’s Language, Truth and
self could not withstand verificationist analysis. The princi-
Logic (London, 1936). After World War II, the key book in
ple is not just another empirical hypothesis: that is, it certain-
focusing the theological aspect of the controversy was New
ly does not offer a foothold for confirmation (or falsification)
Essays in Philosophical Theology, edited by Antony Flew and
by sense-experiences. Is it then an empty tautology? Most
Alasdair MacIntyre (London, 1955). One of the important
logical positivists took the latter position, holding that the
sustained efforts to meet the challenge by offering theological
principle was an “important” tautology that had many good
verification of a sort, though not in this life, was John Hick’s
reasons for being “recommended” to the intellectual com-
Faith and Knowledge, 2d ed. (Ithaca, N.Y., 1966). A detailed
munity. This tack, however, allowed others, like Hare and
analysis of the arguments leading to the verificationist chal-
Wisdom, to speak of equally “important” nonverifiable ut-
lenge to religious belief, of various attempted replies, and of
terances and to make more complex counterrecommenda-
the transformation of the issues resulting from this debate
tions about the meaning of “meaning.”
can be found in the first chapters of my Language, Logic, and
God (New York, 1961). The best recent survey of the whole
The disintegration of the organized Vienna Circle can
phenomenon of logical positivism, readable and authorita-
be dated from the murder by a deranged student of Schlick
tive, is Oswald Hanfling’s Logical Positivism (New York,
in 1936. Viewed with hostility by the Nazis, the Vienna Cir-
1981).
cle was formally disbanded in 1938, and in the same year
New Sources
Erkenntnis was moved out of Hitler’s direct sphere of con-
Coffa, Alberto. The Semantic Tradition from Kant to Carnap: To
trol, to Holland, where it lasted only another two years. The
the Vienna Station. 1991; reprint New York, 2003.
end of the broader movement is harder to trace, and in some
Fitch, G. W. “On Theoretical Identifications.” Philosophical Per-
fashion it remains influential as an overtone in the more radi-
spectives 11 (October 2001): 379–393.
cally empirical voices of our time. Still, the gradual abandon-
Friedman, Michael. Reconsidering Logical Positivism. New York,
ment by Wittgenstein of his own either/or position on mean-
1999.
ing in the Tractatus Logico-Philosophicus, in favor of a much
more pluralistic approach to the functions of human lan-
Jones, Todd. “The Virtues of Nonreduction, Even When Reduc-
guage, pulled the logical rug out from under logical positiv-
tion Is a Virtue.” Philosophical Forum 34 (Summer 2003):
121–141.
ism. Its significance for religion and theology continues to
lie in the fact that theologians now have been forced to ac-
Sarkar, Sahotra. Decline and Obsolescence of Logical Empiricism:
knowledge the extent to which their claims cannot be treated
Carnap vs. Quine and the Critics. Science and Philosophy in
as simple empirical hypotheses, open to “crucial experi-
the Twentieth Century: Basic Works of Logical Empiricism.
New York, 1996.
ments,” as in the contest between Elijah and the priests of
Baal (1 Kgs. 18:17–40). Indeed, it may be thought that theol-
Schaffer, Jonathan. “Is There a Fundamental Level?” Nous 37
ogy has emerged the better for its cold bath in verification-
(September 2003): 498–518.
ism, if only because theologians are now required to be aware
FREDERICK FERRÉ (1987)
of the subtlety of their speech and of the many functions it
Revised Bibliography
may have both in their technical discourses and in the living
religious speech of the faithful.
SEE ALSO Analytic Philosophy; Comte, Auguste; Empiri-
LOGOS. The noun logos is as old as the Greek language
cism; Hume, David; Locke, John; Positivism; Science and
itself. It has acquired, over the course of time, a large number
Religion; Wittgenstein, Ludwig.
of different meanings, which only with difficulty can be
drawn into a simple unity. “Reason” is the translation that
B
causes perhaps the least trouble, but “reason” itself is of
IBLIOGRAPHY
No single book is more important for the understanding of logical
course far from unambiguous. Perhaps it will help to carve
positivism than Ludwig Wittgenstein’s difficult but fascinat-
up the vast semantic field covered by the word logos if the
ing Tractatus Logico-Philosophicus (London, 1922). As a gen-
three principal meanings are distinguished, even though this
eral guide to Wittgenstein’s thought and to the Tractatus in
entails considerable simplification. First there is an objective
particular, one might turn to part 1 of George Pitcher’s help-
meaning: the rational ground or basis (Ger., Grund) 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
LOGOS
5501
something. This is often of a numerical or logical nature and
the ancient world who thought that Heraclitus’s Logos was
functions as a principle of explanation. Second, there is a
close to the Logos of the Stoics and could therefore be taken
subjective meaning: the power or faculty of reasoning (Ger.,
as the first mapping out of the Stoic conception. On the
Vernunft) or thought. Third, there is what shall be called an
other hand, one must remember how laconic are the very few
expressive meaning: thought or reason as expressed in speech
quotations from Heraclitus on the nature of his Logos that
or in writing (the “speech” may be either vocalized or purely
have come down to us, and how very different are the mean-
cerebral).
ings that can attach to the word. There can therefore be no
S
certainty that the Logos of Heraclitus was really the principle
TOIC VIEWS OF LOGOS. No one of these three meanings is
limited specifically to the study of religious thought and ex-
guiding and underlying the universe that the Stoics were
perience. One specific use of the word did, however, come
going to call by the same name.
to have pride of place in some of the philosophical schools
It is certain, nevertheless, that of all the theological
of the ancient world, and especially among the Stoics. In
thinkers of pagan antiquity who made use of the idea of a
these circles logos came to mean the rational order of the uni-
Logos, the Stoics took the idea furthest and had the greatest
verse, an immanent natural law, a life-giving force hidden
influence. Although the great philosophers of the classical pe-
within things, a power working from above on the sensible
riod made much use of the word logos, they did not attach
world. This use of the word has obvious affinities with the
to it a meaning capable of sustaining the same religious de-
first of the meanings listed above. Clearly we have to do here
velopment. Nor can such development be traced in any of
with the idea of rational ground or basis. There is, however,
the later spiritual movements rooted in the tradition of
the obvious difference that we are dealing not with the ratio-
Greek thought. Contrary to what one might have expected,
nal ground of some one particular entity as distinct from
the Neoplatonists gave only a very limited place to the Logos
some other, but with the cosmos as a whole. It is this exten-
within the framework of their religious ideas. The Logos does
sion in the scope of the word, an extension reaching out to
not belong to the hierarchy of hypostases set up by Plotinus.
embrace the confines of the universe, that gives to this partic-
In the Enneads there are only two short treatises, both called
ular use of logos a religious dimension. Hence the willingness
On Providence (3.2.3 [47, 48]), in which Plotinus plays with
of the Stoics to call this logos “God.” Deeply embedded in
the idea, perhaps under the influence of Gnostic beliefs.
the matter of the universe, God does not demand our wor-
Where Jewish and Christian speculative thinkers are to be
ship, does not cry out for temples built by human hands. He
found giving the word logos the full depth of its religious
does nonetheless call forth a theology, and he does stir in us
value, they, no less than their pagan counterparts, draw upon
a sense of piety; but theology and piety are centered on the
ways of thinking that are recognizably Stoic in origin.
cosmos.
Should we then look upon the Stoic philosophers as the
The point to appreciate is that, for the Stoics, logos is
fountainhead of the entire subsequent development of a the-
associated with all the functions that are normally attributed
ology of the Logos? Not quite: Stoic influence would hardly
to the divine. Logos is destiny and providence. Chrysippus,
have been capable, without reinforcement, of stimulating
one of the founders of Stoicism, tells us for example that “it
such a profound development. But as it happened, the Stoic
is in conformity with the Logos that what has happened, has
conception was joined by a new way of thinking that proba-
happened, that what is happening, is happening, that what
bly originated in the Near East and that encouraged people
will happen, will happen” (Stoicorum veterum fragmenta
to see as independent and separate personifications what had
2.913). The Logos impregnates the world, from within, with
hitherto been understood as different psychological aspects
its order and rhythm. The Stoic emperor Marcus Aurelius
of a single divine being. What had been simply modes of the
(5.32.2) tells us that wisdom consists in coming to know “the
divine essence now came to be thought of as substances in
Logos that extends through the whole of matter, and governs
their own right, each of which had issued from the divine
the universe for all eternity according to certain fixed peri-
by a process neatly epitomized in the title of a thesis pres-
ods.” For all that, the Logos is not limited to controlling na-
ented by Helmer Ringgren: Word and Wisdom: Studies in the
ture. “If there is any common bond between gods and men,
Hypostatization of Divine Qualities and Functions in the An-
it is because both alike share in the Logos, which Logos is
cient Near East (Lund, 1947). This same shift in thought is
the natural law” (Stoicorum veterum fragmenta 2.528).
brought out by the Christian Tertullian in a treatise against
Such were the theses upheld by the oldest of the Stoics,
the Gnostics (Against the Valentinians 4.2), in which he
in the third century before the common era. Were these Sto-
writes of the difference between Valentinus and his disciple
ics taking over an earlier set of ideas that had been worked
Ptolemy. In the thought of Ptolemy, “the Aeons, each distin-
out even before their time by Heraclitus of Ephesus toward
guished by its own name and by its own number, became
the end of the sixth century? Heraclitus believed in the exis-
personalized substances, characterized independently of
tence of a Logos common to all humans, shared by all, over
God, whereas Valentinus had included them in the divine
and beyond their private thoughts, a Logos by which all
whole itself, and had taken them as thoughts, feelings and
things happen as they do, a Logos clothed with many of the
emotions of the divine.” Earlier, Irenaeus (Against Heresies
attributes of divinity. There were, besides, many readers in
1.12.1) had written in a similar vein of the same Ptolemy’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
5502
LOGOS
belief that there had issued forth from the Father Aeons that
as typified by the manna from heaven in Exodus 16. These
had earlier been thought of as mere “dispositions” (diatheseis)
apparent inconsistencies in Philo’s thought have a great deal
of the Father.
to do with his allegorical exegesis. They also show how ideas
of Wisdom and Logos became intertwined in the Judeo-
The Logos should be seen as the chief of these disposi-
Greek world of Alexandria. Things worked out differently,
tions. As the name itself testifies, it originally designated the
however, in the purely Jewish tradition, the tradition we
divine reason before becoming a reality in its own right, dis-
speak of as Palestinian. The rabbinical commentators took
tinct from God, and soon to be personified by taking on the
Wisdom in Proverbs 8:22 to mean the preexistent Torah,
characteristics of the Son of God. A parallel transformation
conceived by them as being the plan according to which God
into a hypostasis distinct from God was undergone by anoth-
had created the world.
er divine faculty, Wisdom (Sophia). Both developments took
place in the first two centuries of the common era, in the
The Christians of the second century exercised their
Hellenized Jewish circles of Alexandria, and reached their
minds on the same pages of the Bible and came up with con-
fullest expression in the works of Philo Judaeus (first century
clusions that were not dissimilar. This, for example, is how
CE). The conceptual effort required by these transformations
Justin Martyr interprets the text from Proverbs, just before
bears all the marks of Stoicism, but the change has been
quoting liberally from it: “As a principle prior to all his crea-
made on the basis of underlying doctrinal shifts. The person-
tures, God has called forth from himself a Power that is like
alized Logos, distinct from God insofar as accounted the Son
a Logos [dunamin logik¯en]”. He goes on to say that in differ-
of God, is far removed from the supreme principle immersed
ent contexts, scripture calls this power Son, Wisdom, God,
in matter that the Stoics called by the same name. A differ-
and Logos (Dialogue with Trypho 61.1, 129.3–4). But there
ence in terminology brings out just how far the idea has trav-
is a difference, and one with important ramifications, in the
eled: the “god Logos” of Stoicism has given way, more often
way in which Philo and Justin quote from the same verse of
than not, to the “Logos of God,” or “divine Logos” (e.g.,
Proverbs. Philo reads the text in a Greek translation that has
Philo, On the Maker of the World 5.20). This change takes
Wisdom say: “The Lord, to whom I belong [ekt¯esato], has
on its full meaning when the Christian Origen contrasts his
made me the principle of his ways.” But Justin, in common
own belief with that of his adversary Celsus, who on this
with other Christian writers of his day, follows another
point can be taken for all intents and purposes as a Stoic. Or-
Greek translation, the so-called Septuagint, which rightly or
igen writes as follows (Against Celsus 5.24): “The Logos of
wrongly gives the verse as: “The Lord has created me [ek-
all things, according to Celsus, is God himself, whereas we
tise].” One can hardly mistake the significance of the idea of
believe that the Logos is the Son of God. In our philosophy
creation that has thus been introduced into the passage.
it is he of whom we say: ‘In the beginning was the Logos,
Justin’s aim, an aim that will be shared by the whole of
and the Logos was with God, and the Logos was God’
ancient Christianity, is to read this verse from Proverbs in the
(Jn. 1:1).”
light of the prologue to the gospel according to John, and
LOGOS AND WISDOM. The theology of Wisdom is insepara-
so to see in Wisdom a prophetical foretelling of the Logos
ble from the theology of the Logos. The theology of Wisdom
or the preexistent Son of God. But such an aim is not sup-
stems from the Old Testament, where in Proverbs (8:22–23)
ported by the fact that Wisdom is said to be “created,” which
Wisdom speaks: “The Lord created me at the beginning of
obviously could not be applied to the Son of God. This ex-
his work, the first of his acts of old. Ages ago I was set up,
plains why Justin, as we just saw, abandons the idea of cre-
at the first, before the beginning of the earth,” and so on.
ation and adopts instead the idea of generation, an idea alto-
Wisdom is plainly presented here as the first of God’s crea-
gether more suited to describe the arrival of the Christian
tures and as God’s collaborator in the creation of all that was
Word. Nonetheless, the idea that Wisdom had been “creat-
yet to be created. How Wisdom is to be thought of in con-
ed” was a constant irritant, impeding any attempt at a syncre-
junction with Logos may be gleaned from a Hellenistic Jew-
tistic explanation of Wisdom as the Word. It is not until the
ish text, the Wisdom of Solomon (9:1–9): “God of my fathers
fourth century that Eusebius of Caesarea (Ecclesiastical Theol-
and Lord of thy mercy, thou who hast made all things in thy
ogy 3.2.14ff.) resurrects and insists upon the reading ekt¯esato
Logos, and who by this Wisdom has called forth man . . .
that had been given by Philo of Alexandria, while Jerome,
grant me the Wisdom seated by thy throne.”
when he comes to translate the same word in his Latin ver-
sion of the Hebrew scriptures, chooses the meaning of posses-
Jews and Christians have devoted much commentary to
sio and excludes the idea of creatio (see his Letter 140.6).
these two passages. Philo sees the Wisdom of Proverbs as the
mother of the universe. In accordance with an obviously
Shortly after Justin, the Christian Theophilus of Anti-
Stoic train of thought (Stoicorum veterum fragmenta 2.1074),
och takes up the association of the Logos and Wisdom and
she is held to have received from God the seeds (spermata)
sometimes seems even to identify the two (To Autolycus 2.10,
of creation (On Drunkenness 8.30–31; On the Cherubim
2.22). In other passages, however, he distinguishes them
14.49). Elsewhere (Allegorical Interpretation 1.19.64; On
(1.7, 2.8), while once (2.15) he uses a very striking formula
Flight and Finding 20.109; On Dreams 2.37.245), she is
to tell us of a triad made up of God, his Logos, and his Wis-
identified in his eyes with the Logos, and either can be taken
dom. It is tempting to see at this point a preliminary version
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LOGOS
5503
of the doctrine of the Trinity, with Wisdom occupying the
have in common with talking birds, a language expressed in
place of the Holy Ghost. The different ways that Theophilus
speech (logos prophorikos). We should refrain, however, from
has of expressing himself on the subject show, however, that
giving too much importance to the significance that the Sto-
the doctrine has not as yet really taken on definite shape in
ics themselves attached to this distinction, for the accounts
his mind. Not until Irenaeus, who never wavers in his identi-
of it are few and far between. Thus we find in Heraclitus,
fication of Wisdom with the Holy Ghost, does the idea of
a commentator on Homer (first century CE?), the claim that
the Trinity become a consistent and self-conscious doctrine.
if Hermes, god of the logos, is given double honors, “this is
S
because language is double. The philosophers call one an
EMINAL LOGOS. We can see here how, from the very begin-
ning, the Christian theology of the Logos, or of the Word,
‘inner’ language and the other a ‘spoken’ language. The ‘spo-
was deeply rooted in the particular way in which theologians
ken’ language is the messenger of the thoughts that pass
read and understood Proverbs and the Wisdom of Solomon in
within us, whereas the ‘inner’ language stays enclosed within
the cultural circles of Hellenistic Judaism. No less important
the fastness of our heart” (Homeric Problems 72.14–16).
was the influence that Stoicism exerted on these Jewish spec-
From small beginnings, this Stoic way of thinking came
ulations, though its importance was of another kind. Sto-
to cut deep into the Christian theology of the Logos. No one
icism provided the theoretical framework that made it possi-
threw himself with greater abandon into the description of
ble for images and ideas drawn from scripture to take on
the idea and its transposition into a Christian context than
definite doctrinal shape.
Theophilus of Antioch, at the end of the second century. In
Take, for example, the Stoic idea of logos spermatiko¯s,
his treatise To Autolycus (2.2), he gives brilliant proof of the
seminal or spermatic logos. This was an idea that the Stoics
idea outlined earlier, according to which the Jewish and
had worked out to explain how every being contains within
Christian Logos resulted from exteriorizing and personifying
itself a principle of development suitable to itself—an idea
what had originally been God’s own internal faculty of re-
that they applied to the individual beings within the cosmos
flection. At first God is alone, and the Logos is quite simply
as well as to the cosmos itself in its entirety. When applied
God’s weighing up of things within himself; then, when he
to individual beings, the formula is used in the plural. We
wishes to create, God brings forth the Logos to be his instru-
are told, for example, that God, “in looking to the birth of
ment and his messenger. By cleverly cutting off the opening
the world, holds within himself all the seminal logoi, accord-
of the prologue of John’s gospel, Theophilus is able to drum
ing to which each thing is produced, as required by necessi-
up a scriptural warrant for this Stoic representation of the
ty” (Stoicorum veterum fragmenta 2.1027). We have already
two logoi. The evident weakness in the process lies in intro-
seen how Philo makes use of this way of thinking when he
ducing into the condition of the Logos a kind of historical
writes of Wisdom receiving from God the seeds of creation.
development that is ill-suited to the nature of the divine. Be-
cause Theophilus has taken over the movement ad extra by
Justin is no less indebted to the same mode of thought,
which the Stoics passed from the logos endiathetos to the logos
although the turn of ideas in his case is very different. Justin
prophorikos, the Word of God has to pass through two differ-
wonders how pagan philosophers and poets have been able
ent and successive states, and it seems clear that his begetting,
to utter certain truths, despite their having had no access to
for all that it is the essential mark of his relation to the Father,
the truths of revelation. He decides that it is “because of the
belongs only to the second state.
seed of the Logos that has been implanted in the whole
human race,” with the difference that the pagans respond to
The danger inherent in this view of the Trinity did not
only “a part of the seminal Logos,” whereas the Christians’
escape the eagle eye of Origen, who very neatly seizes upon
rule of faith is founded on “the knowledge and the contem-
it in a passage (De principiis 1.2.2) written around 230. By
plation of the whole Logos, that is, of Christ” (Second Apology
means of a subtle philosophical argument, proceeding by di-
8.1, 8.3). The same Stoic concept underlies the thought of
lemma, he establishes that from all eternity God is, and al-
the Gnostic Ptolemy at about the same time (as reported by
ways has been, the Father of his only Son.
Irenaeus in Against Heresies 1.8.5): Ptolemy claimed that the
Theophilus of Antioch probably best typifies the ten-
Father, in the Son, had called forth all things seminally
dency that we have found in him. Yet he is by no means the
(spermatiko¯s).
only writer able to manipulate such ideas. In the second cen-
INNER LOGOS AND SPOKEN LOGOS. Stoic psychology em-
tury and at the beginning of the third, almost all Christian
phasized the lack of coincidence between the reasoning
theologians write of the Logos in a way that implies develop-
power, which rests within, and language, which gives out-
ment: starting from a lack of distinction within the inner-
ward expression to the powers of reason. Since the same word
most being of God, they make the Logos “proceed” from out
logos was used to designate both the power of reasoning and
of God and take upon himself the work of creation. To be
reason as expressed in speech, the difference came to be stat-
sure, only some of these authors deliberately and explicitly
ed as a difference between two logoi. One might no less prop-
draw upon the Stoic model of the two logoi and cast their
erly express this as a distinction between two types or states
ideas in the technical terms of the theory; but they all have
of language. A language within, or an inner language (logos
the same model in mind. One may quote Justin (Dialogue
endiathetos), is then distinguished from a language that we
61.2) and his disciple Tatian (Speech to the Greeks 5), 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
5504
LOGOS
the Latin-speaking world Tertullian (Against Praxeas 5–7)
antithesis between the two nouns logos and ergon: the antithe-
and finally Hippolytus of Rome (Against Noëtus 10; Refuta-
sis of talking and doing, of words and acts, of the lips and
tion 10.33.1–15). Hippolytus virtually repeats the analyses
the heart. Quite other is the world of the Old Testament,
given by Theophilus, although there are some differences of
where sentences abound such as those in Psalm 33:9: “For
nuance: for example, Hippolytus splits in two the outward
he spoke, and it was done; he commanded, and it stood fast.”
state of the Logos and sees therein a separate stage for the
(See also Ps. 148:5, 42:15 et al.) Philo was especially struck
Word incarnate. Yet two noteworthy exceptions should be
by the fact that this temporal coincidence between the divine
mentioned: Clement of Alexandria (Stromateis 5.1.6.3) and
command and its effect was nowhere to be found in the cul-
even more so Irenaeus (Against Heresies 2.13.8, 2.28.5). His
ture of the Greeks: “At the moment that he speaks, God
struggle against the Gnostics (who in practice shared the
creates, and there is no gap in time between the two; alterna-
views of Theophilus and others) gave Irenaeus an additional
tively one might say, if one wished to improve upon the truth
reason for forcefully rejecting any assimilation of the genera-
of this opinion, that his Word was act [logos ergon]” (On the
tion of the Word with happenings related to the human
Sacrifices of Abel and Cain 18.65).
Logos.
This moment in Christian doctrine led naturally to giv-
Irenaeus’s negative approach won the day. The analogy
ing the Logos (which is also the divine Word) a part in the
with Stoic theory of the two logoi is heard of no more for a
creation of the cosmos. Its role was that of an instrument (or-
while, then reappears during the fourth century in the theol-
ganon), and Philo takes care to distinguish between the in-
ogy of the Word expounded by Marcellus of Ancyra and
strument and God himself, who is cause, or aition (On the
Photinus. Both these writers were condemned and anathe-
Cherubim 35.127). This is the same instrumental causality,
matized by synods in 345 and 351. The declaration of faith
a subordinate form of causality, that early Christians normal-
in 345 ran as follows: “But as for us, we know that Christ
ly attributed to the Logos. The idea was nearly always ex-
is not merely a Logos of God uttered outwardly or resting
pressed by the preposition dia with the genitive, and one
within [prophorikos ¯e endiathetos]. He is the Logos God, liv-
should translate it (or at least understand it as meaning) “by
ing and subsisting of himself, Son of God, Christ” (Macros-
means of,” starting from John 1:3: “All things were made by
tich Formula of the third synod of Antioch, pt. 6, in August
the Logos.”
Hahn, Bibliothek der Symbole und Glaubensregeln der alten
Kirche, 3d ed., Breslau, 1897, para. 159, p. 194). This concil-
Philo does, however, take the instrumental role of the
iar statement had in any case been anticipated by Eusebius
Logos in a fairly wide sense and makes room for what the
of Caesarea (De ecclesiastica theologia 1.17; 2.11; 14; 15), and
Greek philosophical tradition called the “exemplary cause”
was shortly to receive the approval of Cyril of Jerusalem
(which was distinguished thereby from the idea of instru-
(Catechesis 11.10) and Athanasius (Speech against the Arians
ment; see Basil of Caesarea, On the Holy Ghost 3.5). An ex-
2.35). Marcellus of Ancyra and Photinus, then, were fighting
tract from the Allegorical Interpretation (3.31.96) makes clear
rearguard battle. In the dogmatic formula approved in 325
how the Logos is at one and the same time instrument (orga-
by the ecumenical council of Nicaea (the Nicene Creed), the
non) and model (archetupos, paradeigma). And Philo’s analy-
word logos, which Eusebius had suggested, had already disap-
ses help us in turn to understand some later texts. Toward
peared in favor of “Son of God” (Hahn, 1897,
the year 177 Athenagoras, no different in this from other
pp. 160–161). This substitution obviously brought on the
Christian writers of the time, writes that “God, by means of
demise of the old Stoic ways of thinking that had been indis-
the Logos that comes from him, has called the universe into
solubly linked to the term logos. Not until the fifth century,
being, has set it in order, and keeps it beneath his gover-
and then only in the Latin-speaking world, does one find,
nance” (Legatio 10). But a little later he adds, and indeed re-
in the great trinitarian synthesis of Augustine, a new way in
peats, that “the Son of God is the Logos of the Father in idea
which the two states of human language (verbum quod intus
and in act [en ideai kai energeiai].” These final words would
lucet, verbum quod foris sonat) can again be employed to mark
be shrouded in mystery, did we not recall the dual role that
out similarities with the divine Word; yet even then the com-
Philo assigned to the Logos in creation since, for Philo, the
parison has to be handled with the greatest circumspection.
Logos is at one and the same time the ideal model and the
Augustine differs from the theologians of the second century
agent of creation. At this point, therefore, the influence of
in holding that the spoken human word finds for its ana-
Greek philosophy makes itself felt again in the thought of
logue not the begotten Logos seen against the background
Philo and no less in that of Athenagoras. Thus a pagan con-
of its participation in creation, but the Word made flesh (De
temporary of Athenagoras, the Platonist Albinus, will write
trinitate 15.10.19–11.20).
of a principle that he calls the first Intellect: “its activity [en-
F
ergeia] is itself idea [idea]” (Didascalicos 10).
UNCTIONS OF THE LOGOS. Philo of Alexandria, as well as
the early Christians, confers upon the Logos a number of dif-
In the loose and widespread Platonism with which Jew-
ferent functions. The chief of these can be described by three
ish and Christian ideas of the time were saturated, the impos-
words: creation, revelation, mediation.
sibility of an adequate knowledge of God was stressed. In
The idea of speech as creative is hardly likely to have
such an intellectual climate the Logos inevitably took on a
arisen in Greece, where men thought instead in terms of an
second function, whereby it became a means of revealing 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
LOGOS
5505
Father to us. This idea becomes so commonplace that I shall
Azarias, Misaël, Elijah, and many others.” Such is the claim
only allude to it. There is, however, one very early noncanon-
of Justin Martyr (First Apology 46.3), who revels in ferreting
ical Christian writer who gives the idea a novel twist. Ignatius
out from Greek philosophy and religion ideas that are com-
of Antioch (d. 107) writes as follows (Letter to the Magnesians
patible with the Christian Logos. He draws attention to Mer-
8.2): “There is only one God, who makes himself known to
cury, who was called the angelic word of God (22.2), and
us through Jesus Christ his Son, who is his Logos who comes
most of all to the world soul that Plato (Timaeus 36B) says
forth from his silence [logos apo sig¯es proeltho¯n].” Sige¯ (Si-
is embedded in the universe in the shape of a cross or the
lence) is a figure well known to us from the theogonies cur-
Greek letter chi, a symbol for the cross of Christ (60.5–7).
rent in Simonian and Valentinian Gnosticism, where one of
the first Aeons—that is, one of the earliest emanations—is
This movement toward harmonizing pagan Greek and
called by this name. Are we to conclude that Ignatius has
Christian beliefs, a movement that reflects a grandiose con-
drawn his inspiration on this point from the Gnostic theory
ception of the theology of history, did not keep early Chris-
of divine emanations, as Marcellus of Ancyra later did (ac-
tianity from becoming clearly aware of what, in its concep-
cording to Eusebius, Ecclesiastical Theology 2.9.4)? The possi-
tion of the Logos, was most peculiarly its own. Thus the
bility cannot be ruled out. But it is more likely that Ignatius
prologue to the Gospel of John shows a writer deeply aware
made use of this gripping expression to describe how, when
of the historical background from which he has sprung
the Logos comes forward to reveal the Father, he breaks the
(which included the Wisdom of Hellenistic Judaism and the
silence that God had kept for ages past.
Torah of Palestinian Judaism). But the prologue is also with-
out peer in revealing the overriding importance given to the
Entrusted from on high with the creation of the cosmos
perfect coincidence between the preexisting Logos and the
and the revelation of the Father, the Logos is in some ways
Jesus of history. Even so, in John, the personality of this
closer to humanity than is the Father. The Logos stands on
Logos is taken as the known, and not spelled out, a point to
the borderline (methorios stas), so to speak, between the Fa-
which the early theologians will direct their efforts. Such, for
ther and the human race, and so can play the part of a media-
example, is Justin’s preoccupation when he writes against
tor. To God he offers the prayers and worship of mortal men,
those (possibly Jews taking their lead from Philo) who be-
while to mortal men he gives the assurance of a divine help
lieve that individuality of the Logos is no more distinct from
that will never fail them. That, at least, is how Philo shapes
that of the Father than light is distinct from the sun. In his
his ideas, sometimes applying these trains of thought deliber-
Dialogue with Trypho (128.4, 129.3–4), Justin argues instead
ately and explicitly to the Logos (On Dreams 2.28.188–189;
in favor of a distinction that is not merely nominal but a dis-
On the Special Laws 1.23.116). But the role of mediator finds
tinction of number. As proof, he takes his stand on the bring-
its fullest scope only in Christianity, where the incarnate
ing forth of the Logos: for “what is brought forth is numeri-
Logos draws together and makes of itself a center for human
cally distinct from him who brings forth; anyone must allow
and divine nature and is thereby in the ideal position to facil-
us that.”
itate the communication of one nature with the other. There
are some famous passages in Augustine that one could quote
To be perfectly accurate, Justin does not write of the
as answering exactly to this point (Confessions 7.18.24; City
Logos as “numerically distinct,” but as “other [heteros] in vir-
of God 9.15–17). No less apposite, but less hackneyed, is the
tue of number.” In writing thus, Justin hit upon a word full
following quotation from Clement of Alexandria, where a
of pitfalls, a word that could suggest the existence of two
flavor of baroque archaism results from his quoting Heracli-
gods as well as a debasement of the Logos in relation to the
tus: “Heraclitus was quite right to say: ‘The gods are men,
Father. It could even suggest both ideas at once, as seen in
and men are gods. For the Logos is one and the same.’ Light
another sentence from the same Dialogue, a sentence truly
shines through this mystery: God is in man, and man is God,
staggering in its lack of theological foresight: “There is, as has
and the Mediator [mesit¯es] fulfills the will of the Father; for
been said, another [heteros] god and lord below the Creator
the Mediator is the Logos, which is the same for man and
of the universe . . . the Creator of the universe has no other
for God, at one and the same time Son of God and savior
[allos] god above him” (56.4). Perhaps Justin’s pen has run
of men, God’s servant and our Teacher” (Teacher 1.2.1).
away with him, forcing his ideas in a direction that he did
not really intend. Others, whose thinking was really no dif-
THE CHRISTIAN LOGOS. With the rise of Christianity, old
ferent from his, will take much greater care in how they ex-
words and ideas became charged with a new meaning, and
press themselves (e.g., Hippolytus, Against Noëtus 11). Ori-
new wine was poured into old skins, with all the risks atten-
gen himself will downgrade the Logos in calling it “second
dant upon such an enterprise, as we have already seen in our
[deuteros] god” (Against Celsus 5.39, 6.61, etc.) or again in
study of the Stoic theory of the two logoi. Some Christian
writing “god” (theos) without the article, whereas he calls the
authors take up with confidence and determination the earli-
Father ho theos, “the God” (Commentary of Saint John
er pagan prehistory of this idea and see therein a providential
2.2.13–18).
pattern mirroring sacred history itself: “Those who lived with
the Logos are Christians, even if in their day they passed for
The analyses quoted above may seem oddly archaic in
atheists: among the Greeks, such are Socrates, Heraclitus,
the light of later theology, but they lose a good deal of this
and their like; among the barbarians, Abraham, Ananias,
quality if we take account of two points. In the first place,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5506
LOISY, ALFRED
the expressions employed by Justin and Origen can already
Prestige, G. L. God in Patristic Thought. London, 1952.
be found in Philo, whose use of them naturally occasions
Rendel, Harris J. “Athena, Sophia and the Logos.” Bulletin of the
much less surprise. Thus Philo had used the presence or ab-
John Rylands Library 7 (July 1922): 56–72.
sence of the article to distinguish the “true” God from the
Ringgren, Helmer. Word and Wisdom: Studies in the Hypostatiza-
Logos god (On Dreams 1.39.229–230), and had marked out
tion of Divine Qualities and Functions in the Ancient Near
the Logos as being “the second god” (Questions and Answers
East. Lund, 1947.
on Genesis 2.62). Before Justin and Hippolytus, Philo sees in
Wolfson, Harry A. “The Trinity, the Logos, and the Platonic
the Logos “another god” (ibid.). The second point to bear
Ideas.” In his The Philosophy of the Church Fathers, vol. 1.
in mind is that the Platonist philosophers of the day also con-
Cambridge, Mass., 1964.
tribute to the movement toward giving the Logos only a di-
minished form of divinity. They refer regularly to a first prin-
New Sources
ciple or a first god, obviously implying the existence of a god
Bonetskaia, N. K. “The Struggle for Logos in Russian in the
Twentieth Century.” Russian Studies in Philosophy 40 (Spring
of second rank. One such Platonist writer, Numenius (later
2002): 6–40.
than Philo but known to Origen), uses the term second god
for the demiurge (fragments 11, 15, 16, 19). It is hard to
Desjardins, Rosemary. The Rational Enterprise: Logos in Plato’s
avoid the conclusion that the Christian theologians of the
Theaetetus. Albany, 1990.
second and third centuries, even theologians of the caliber
Lee, Bernard H. Jesus and the Metaphors of God: The Christs of the
of Origen, were simply prisoners of the Zeitgeist when they
New Testament. New York, 1993.
came to see the Logos as a god of second rank. They were
Montiglio, Silvia. Silence in the Land of Logos. Princeton, N.J.,
as yet unequipped with the conceptual apparatus that their
2000.
successors were going to need so as to share, without loss of
Rauser, Randal. “Logos and Logoi Ensarkos: Christology and a
identity, the divine nature between Persons Three.
Problem of Perception.” International Journal of Systematic
Theology 5 (July 2003): 133–147.
SEE ALSO Archetypes; Hypostasis; Jesus; Kala¯m; Sophia;
Torah.
Roochik, David. The Tragedy of Reason: Toward a Platonic Con-
ception of Logos. New York, 1990.
BIBLIOGRAPHY
Swearingen, C. Jan. Rhetoric and Irony: Western Literary and West-
Aeby, Gervais. Les missions divines de saint Justin à Origène. Fri-
ern Lies. New York, 1991.
bourg, Switzerland, 1958.
Wilcox, Joel. The Origins of Epistemology in Early Greek Thought.
Daniélou, Jean. Gospel Message and Hellenistic Culture, vol. 2 of
Lewiston, N.Y., 1994.
A History of Early Christian Doctrine before the Council of
JEAN PÉPIN (1987)
Nicea. Translated by John A. Baker. London, 1973.
Translated from French by Denis O’Brien
Harl, Marguerite. Origène et la fonction révélatrice du verbe incarné.
Revised Bibliography
Paris, 1958.
Hatch, Edwin. The Influence of Greek Ideas on Christianity (1888).
Reprint, New York, 1957.
LOISY, ALFRED (1857–1940), French scholar who
Holte, Ragnar. “Logos Spermatikos: Christianity and Ancient
held a dual role in the religious history of France: as a Roman
Philosophy according to St. Justin’s Apologies.” Studia
Catholic biblical critic who employed the methods pioneered
Theologica 12 (1958): 109–168.
by German Protestant scholars and as the center of the con-
Kretschmar, Georg. Studien zur frühchristlichen Trinitätstheologie.
flict in Catholicism that would come to be known as the
Tübingen, 1956.
modernist controversy.
Kurtz, Ewald. Interpretation zu den Logos-Fragmenten Heraklits.
Spudasmata, vol. 17. Hildesheim, 1971.
Alfred Firman Loisy was born in Ambrières (Marne) on
Lebreton, Jules. Histoire du dogme de la Trinité des origines au Con-
February 28, 1857, and died on June 1, 1940, in Paris.
cile de Nicée, vol. 1, Les origines, and vol. 2, De Saint Clément
While Loisy was a student in a rural seminary, he undertook
à Saint Irénée. 6th ed. Paris, 1927–1928. This is an essential
the study of Hebrew as an antidote to the mediocrity of his
work for the study of the Logos doctrine in early Chris-
theological education. His familiarity with the language gave
tianity.
him a taste for reading biblical texts for their original sense,
Lebreton, Jules. “La théologie de la Trinité chez Clément
a taste that developed into a lifelong preference for historical
d’Alexandrie.” Recherches de science religieuse 34 (1947): 55–
as opposed to theological approaches to biblical questions.
76, 142–179.
In 1878 he was assigned to the fledgling Institut Catholique
Orbe, Antonio. En los albores de la exegesis iohannea. Analecta Gre-
de Paris to complete his seminary education. There he at-
goriana, vol. 65. Rome, 1955.
tracted the attention of the church historian Louis Duches-
Orbe, Antonio. Hacia la primera teología de la procesión del Verbo.
ne, who encouraged Loisy’s interest in modern methods of
2 vols. Analecta Gregoriana, vols. 99–100. Rome, 1958. The
historical research. There, too, he attended classes of Ernest
two works by Orbe are important for the study of the notion
Renan at the Collège de France; Renan embodied the convic-
of logos in Gnostic traditions.
tion that it was not possible to be both a historian and 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
LOKI
5507
Catholic. Loisy’s youthful ambition was to prove Renan
Loisy was excommunicated in 1907. Earlier that year,
wrong, to demonstrate in his own life and work that, as he
the encyclical Pascendi dominici gregis was issued by Pius X,
put it, “the great march of history did not pass by Renan’s
describing and condemning “modernist” errors; prominent
door.”
among them were the principles of biblical research drawn
from Loisy’s work.
Nevertheless, Loisy’s journals for these years indicate
that he was deeply distressed by what seemed to be the un-
During this controversy, Loisy had begun to teach
courses at the Collège de France and to return to the kind
willingness of the church to understand or explain its past
of technical research he said he preferred. After his excom-
in any but the most doctinaire theological categories. How-
munication, he was appointed to the chair of history of reli-
ever troubled his private thoughts may have been, Loisy ex-
gions, where he remained until his retirement in 1931. Loisy
hibited in his studies the clarity of mind, attention to detail,
continued to publish a remarkable number of books until
and remarkable discipline that would characterize all his later
just before his death at the age of eighty-three. Besides his
work. As a result, he was appointed instructor (1882) and
technical work on aspects of Christian origins, he continued
then professor of New Testament (1890) at the Institut
his interest in the nature of religion and its place in the mod-
Catholique. In that position, Loisy began to expose his stu-
ern world. He understood these latter works as a kind of se-
dents to the requirements of a historical study of Christian
ries that began with L’évangile et l’église in 1902 and conclud-
origins. However, church authorities were wary of scientific
ed in 1937 with La crise morale du temps présent et l’éducation
studies that would alter or overturn traditional doctrines, and
humaine.
it was inevitable in this environment that a controversy
would arise. Loisy soon found himself embroiled in an argu-
BIBLIOGRAPHY
ment over the nature of biblical inspiration that led first to
For analysis of Loisy’s thought and influence, see Maude D.
his demotion and finally to his dismissal.
Petre’s Alfred Loisy: His Religious Significance (Cambridge,
U.K., 1944) and John Ratte’s Three Modernists: Alfred Loisy,
Loisy’s next appointment, to the chaplaincy of a con-
George Tyrrell, William L. Sullivan, New York, 1967.
vent school outside Paris, was probably intended to keep him
Several of Loisy’s works have been translated into English. The
out of higher education. However, unable to do technical re-
Gospel and the Church (1903), Christopher Home’s transla-
search, Loisy began to think about the problem of modern
tion of L’évangile et l’église, has been reissued (Philadelphia,
religion in its wider bearings. He developed an entire pro-
1976) with a good introduction by Bernard Scott, and
gram for teaching the Catholic faith in a way that would be
Loisy’s autobiography, Choses passées (1913), translated by
consistent with the discoveries of modern historical research.
Richard W. Boynton with Loisy’s approval and issued as My
When, in 1902, Adolf von Harnack’s popular book on the
Duel with the Vatican (1924), is still available in a reprint edi-
essence of Christianity, Das Wesen des Christentums (English
tion (New York, 1968). Loisy’s later three-volume Mémoires
pour servir à l’histoire religieuse de notre temps (Paris, 1930–
title, What Is Christianity?), appeared in French translation,
1931) has not been translated. His last major work on Chris-
Loisy saw an opportunity to demonstrate that Catholics
tian origins, La naissance du Christianisme (1933), was trans-
could have the better of an argument with Protestant histori-
lated by L. P. Jacks as The Birth of the Christian Religion
ans simply on historical grounds; one could show, for exam-
(London, 1948) but is currently out of print.
ple, that Harnack’s conclusions were wrong, not because
New Sources
they violated doctrine but because they rested on inadequate
Heaney, John J. “Metaphor and Modernist: The Polarization of
research and hasty conclusions. Loisy’s book L’évangile et
Alfred Loisy and His Neo-Thomist Critics.” Theological
l’église, published that same year, created a sensation. Howev-
Studies 49D (1988): 781.
er, what proved significant about the book was not so much
Hill, Harvey. “French Politics and Alfred Loisy’s Modernism.”
the success of Loisy’s argument with Harnack as his acknowl-
Church History 67, no. 3S (1998): 521–536.
edgment that history allowed for considerably fewer claims
Hill, Harvey. The Politics of Modernism: Alfred Loisy and the Scien-
about Jesus’ divinity and foreknowledge than Catholic theol-
tific Study of Religion. Washington, D.C., 2002
ogy had traditionally made. When Loisy confirmed this posi-
Jodock, Darrell. “Introduction II: The Modernists and the Anti-
tion in a companion volume (Autour d’un petit livre) the next
Modernists.” In Catholicism Contending with Modernity,
year, the issue crystallized into a conflict between historians
pp. 20–27. Cambridge, U.K.; New York, 2000.
who would alter doctrine to suit their vision of history and
Kieran, Patricia Mary Brigid. “New Light on Alfred Loisy: An Ex-
theologians who would refuse historical fact to preserve doc-
ploration of His Religious Science in Essais d’Histoire et de
trine. Loisy spent the next several months defending his posi-
Philosophie Religieuses (1898–1899).” Ph.D. diss., Univer-
tion while trying to avoid condemnation by the church on
sity of London, 1995.
whose behalf he understood himself to be speaking. By the
RICHARD J. RESCH (1987)
end of 1903, he realized that the project to which he had
Revised Bibliography
given so much of his life was failing. When, in March 1904,
Pius X’s accusation that Loisy was not sincere in his wish to
remain in the church was conveyed to him, “something in-
LOKI is an enigmatic figure in Scandinavian mythology.
side came apart.”
There is no evidence for the worship of Loki, nor any evi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5508
LOKI
dence of his being known elsewhere in the Germanic world.
The story goes on in Snorri’s version. Þjazi’s daughter
He turns up only rarely in skaldic poetry and not at all in
Skaði demands compensation for the death of her father.
the Gesta Danorum of Saxo Grammaticus. Even in Eddic po-
The gods agree to allow her to choose a husband from among
etry he turns up less frequently than Óðinn or Þórr. And yet
them, and she chooses Njo˛rðr. But they must also make her
he is something like the lynchpin of the mythology proper
laugh, and it is Loki who meets this challenge. He ties one
in its vernacular Icelandic form.
end of a rope around his testicles and the other around the
According to Snorri Sturluson’s Gylfaginning, part of his
beard of a she-goat, and as both howl, Loki falls on Skaði’s
Edda (c. 1220–1230), Loki is the son of the giant Fárbauti.
knee; then she laughs. Here Loki sacrifices his honor, and
With the giantess Angrboða, Loki is the father of three mon-
perhaps more, to right the original wrong of his giving Iðunn
sters who threaten the gods: the wolf Fenrir, the serpent
and her apples into the hands of the giants. He also helps
Jo˛rmungandr, and the woman Hel. Óðinn, with his fore-
procure for the gods a wife from among the giantesses.
sight, saw the threat and had the monsters brought to him.
Snorri has several stories of this kind. Captured and
The wolf was bound; the serpent was cast into the sea, where
starved in bird form by the giant Geirro˛ðr, Loki agrees to de-
he lies coiled around the earth and hence is known as the
liver Þórr to the giant without his hammer or belt of
Midgard serpent; and Hel was cast down into the under-
strength. Loki accompanies Þórr on the arduous journey,
world, where she rules over the realm of the dead. These
which ends with Þórr killing the giant’s daughters and the
monsters remain checked until Ragnaro˛k, the end of the
giant himself. We have the same myth in a late tenth-century
world.
skaldic poem, Þórsdrápa of Eilífr Goðrúnarson; in it the moti-
Despite his giant heritage and these threatening off-
vation for the journey is not provided, and Þjálfi, not Loki,
spring, Loki lives among the gods in the time before
accompanies Þórr.
Ragnaro˛k. At the end of his catalogue of the Æsir (gods) in
Gylfaginning, Snorri Sturluson wrote that Loki “is also enu-
Perhaps the most important of these stories of Loki’s
merated among the Æsir.” This puzzling expression may in
ambivalent position, all retained in Snorri, begins when he
fact hold the key to understanding Loki. He is numbered
cuts the hair from the head of Sif, the wife of Þórr. How he
among the gods, but is not apparently one of them. Much
does so is unknown, but it is not impossible that he was cuck-
of his activity during the period up to Ragnaro˛k supports the
olding Þórr at the time (as Margaret Clunies Ross suggests).
gods in their struggle against the forces of chaos, but some
To avert Þórr’s rage, Loki agrees to acquire gold hair from
of his actions are ambiguous. One good example involves an-
the dwarfs. He returns with six great treasures, which are di-
other monstrous offspring, Óðinn’s eight-legged horse Sleip-
vided in Dumézilian triads: the spear Gungnir for Óðinn,
nir, best of horses. Loki bore Sleipnir after seducing, in the
the gold hair for Þórr’s wife, and the ship Skíðblaðnir for
form of a mare, the workhorse that a giant was using to con-
Freyr; and the ring Draupnir for Óðinn, Þórr’s hammer, and
struct the wall around Valho˛ll. The giant was to have done
the golden-bristled boar Gullinborsti for Freyr. The second
the work without help, but when he requested the use of his
set was made by Brokkr, with whom Loki had bet his head
horse the gods consented, with Loki’s specific approval. The
that the dwarf could not make better items than those in the
horse did more work than the giant, and it began to appear
first set. Turning himself into a fly, Loki bit the smith merci-
that the giant would fulfill the contract, for which he was to
lessly, but the only effect was that the hammer ended with
receive the goddess Freyja, the sun, and the moon. When the
a short handle. Even so, the gods declared it the greatest trea-
horse ran off to mate with Loki in the form of a mare, the
sure, but when Loki declared that he had wagered his head,
giant was unable to finish the wall on time and had to forfeit
not his neck, the dwarf sewed Loki’s lips shut.
his life. Giving up Freyja and the celestial bodies to the giants
In each of these cases Loki acts to right an initial misbe-
would have meant the end of the gods’ order, so here Loki
havior, and the outcome is favorable to the gods. Every case
caused a problem for the gods, solved it, and protected them,
involves shape-changing, and bearing a foal and having his
and he also produced a valuable treasure for Óðinn.
lips sewn shut represent significant losses of honor for Loki.
In another case, Loki was once captured by the giant
Bodily injury, dishonor, shape-changing, and especially
Þjazi and agreed to deliver Iðunn and her golden apples,
the shortsighted or impulsive behavior that leads to signifi-
which kept the gods young. Loki did so, but then the gods
cant cultural acquisition make Loki look much like the com-
forced him to retrieve her. This he did in the form of a fal-
mon narrative and mythological type of the trickster. Georges
con. The myth, which is found in skaldic poetry as well as
Dumézil (1948) contrasts this impulsive intelligence with
in Snorri’s Edda, highlights Loki’s ambivalence. He begins
that of Hœnir, who cannot speak without counsel, but the
the myth traveling together with Óðinn and Hœnir. His
better comparison would be with the deep-thinking Óðinn.
agreement to deliver Iðunn nearly leads to the demise of the
Both Óðinn and Loki are shape-changers and both are sexu-
gods; his retrieval of Iðunn restores order and reinforces the
ally ambiguous.
mythological rule that females move only from giants to
gods, never in the opposite direction, and in the end of the
While Loki clearly plays the trickster and shows impul-
story the gods kill Þjazi, thus reinforcing their hierarchical
sive behavior in many myths, he by no means does so in
supremacy over the giants.
every case. In the Eddic poem Þrymskviða, for example, 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
LOKI
5509
helps Þórr to retrieve his hammer from the giant who has
master of wisdom. The rest of the poem is a series of poetic
stolen it. Although both he and Þórr must dress as women
dialogues, usually Óðinn’s arena, in which Loki humiliates
(Þórr as Freyja, whom the giant has demanded in exchange
the gods by telling home truths, including his own role in
for the hammer), there is no indication that Loki had any-
the death of Óðinn’s son Baldr. In the end only the threat
thing to do with the loss of the hammer, and Loki’s wise re-
of Þórr’s hammer silences him.
sponses to the giant’s questions make possible the ultimate
The prose colophon tells of the punishment of Loki.
retrieval of the hammer. Similarly, in Gylfaginning Loki is
The gods bind him with the guts of his son with the goddess
one of Þórr’s party when the god visits the giant Útgarðaloki
Sigyn, and another of these sons turns into a wolf. The gods
and helps him wholeheartedly in the contests that follow. In
hang a pot of dripping poison over his face. Sigyn catches
neither case is there indication of any ambivalence in or
it in a bowl, but when she goes to empty the bowl the poison
about Loki.
torments Loki and his writhings cause earthquakes. Accord-
Just as there are stories in which Loki unequivocally
ing to Snorri, the gods visited this punishment on Loki for
works on the side of the gods, so are there stories or indica-
his role in the death of Baldr. In Snorri’s version of the story,
tions of stories in which he opposes them unequivocally.
Loki learns that only mistletoe will kill Baldr; guides the arm
Stanza 37 of the Eddic poem Hymiskviða charges Loki with
of the blind Hóðr when he throws the mistletoe at Baldr; and
having lamed Þórr’s goat. The skald Úlfr Uggason, describ-
then, disguised as the old hag Þo˛kk, refuses to join all cre-
ing the carvings in a chieftain’s hall in western Iceland circa
ation in weeping for Baldr, to meet the condition that Hel
985, left us one stanza about a battle between Loki and the
has set for his release. Snorri’s presentation of Loki, then,
god Heimdallr. It is obscure, but Snorri tells us that the gods
shows that Loki is ultimately a giant and that he shares the
fought in the form of seals, and that they were fighting over
enmity of the giants toward the gods. The fictive kinship im-
the Brísingamen, the precious necklace of Freyja. Since some
plied by an oath of blood-brotherhood or by Loki’s being
kennings (metaphors) call Loki the thief of this object, and
“enumerated among the Æsir” is less strong than the blood
since Freyja has it in the mythological present, it is possible
kinship of Loki’s patrilines. Son of a giant, he arranges the
that the battle between Heimdallr and Loki took place in the
death of Óðinn’s son at the hands of another son. Any ven-
mythic past and that Heimdallr won the battle and got the
geance Óðinn takes must be hollow: he can sire an avenger
necklace back. In the poetic language Heimdallr is known
to kill his own son, Hóðr, or he can have one of Loki’s sons
as Loki’s adversary.
kill another (as Snorri has it) and bind Loki, but the damage
We may conjecture that the battle with Heimdallr and
is done. The first death of a god, as Baldr’s is, must lead to
the siring of the three monsters with the giantess Angrboða
Ragnarók, the end of the world.
both occurred in the mythic past. We have Loki’s own voice
When Ragnarók arrives, all bonds break. Human kin
testifying to his joining the gods during the mythic past as
kill each other and kinship is spoiled. Loki steers a ship full
well:
of giants to the last battle, and he and his monstrous off-
Do you not remember, Óðinn, when we two in days
spring are free to face the gods. The wolf kills Óðinn (and
of yore Blended our blood together? You said you never
is avenged by another son of Óðinn). Þórr and the Midgard
would taste beer, Unless it were served to both of us.
serpent kill each other, as do Loki and Heimdallr according
(Lokasenna 9)
to Snorri. In the new world that springs up after the battle,
According to medieval Icelandic literature, an oath of blood
Baldr and Ho˛ðr return, their enmity annulled. Loki and the
brotherhood meant that the sworn brothers would avenge
other giants are no more.
each other as though they were actual brothers; that is, each
SEE ALSO Eddas; Jötnar; Óðinn; Snorri Sturluson.
would be obliged to revenge the other, and an injury done
to one could be regarded as an injury done to both. On the
obverse side, sworn brothers agreed never to harm each
BIBLIOGRAPHY
other. We have no information on this oath taken in days
The scholarship on this enigmatic figure is vast. Older scholarship
pointed to Loki’s byname, Loptr, which appears to be related
of yore between Óðinn and Loki, but Óðinn and the gods
to the noun lopt (air) to buttress various notions familiar to
would appear to be the beneficiaries, as Loki was the father
nature mythology. Jan de Vries, The Problem of Loki (Helsin-
of monsters and adversary of Heimdallr, and the oath would
ki, 1933), offers the connection with the trickster figure.
have neutralized his natural enmity toward Óðinn and the
Georges Dumézil’s notion of Loki’s impulsive intelligence is
family of gods.
to be found in his Loki (Paris, 1948). In his Gods of the An-
Lokasenna (Loki’s quarrel) puts the oath to the test and
cient Northmen (Berkeley, 1973), Dumézil adduces supposed
Ossetic parallels to Loki’s role in the death of Baldr. Folke
indicates its failure. Loki has been excluded from the feast
Ström’s Loki: Ein mythologisches Problem (Göteborg, Sweden,
which is the scene of the poem because, according to the
1956) argues on the basis of the patent similarities between
prose header, he killed the host’s servants. His appeal to
the two figures that Loki was an hypostasis of Óðinn. Anna
Óðinn matches the context—the gods are drinking—but it
Birgitta Rooth, Loki in Scandinavian Mythology (Lund, Swe-
is ominous, because beer is a weapon Óðinn uses against the
den, 1961), applies a very strict version of folklore mythology
giants; Óðinn obtained the mythic mead of poetry and is a
that regarded everything found elsewhere as not original 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
5510
LOMBARD, PETER
Loki; stripping away these supposed layers, she is left with
lectic and foundations to provide not a theology but an inte-
an original notion of Loki as a spider, a notion that finds no
gral framework in which creative theology could be done.
support in the texts. Jens Peter Scho⁄dt, “Om Loke endnu en
gang,” Arkiv för nordisk filologi 96 (1981): 49–86, offers an
Meanwhile Lonergan was producing theological in-
insightful exploration of Loki as mediator. Anatoly Liber-
struction of considerable importance (though it needs redo-
man, “Snorri and Saxo on Útgarðaloki, with Notes on Loki
ing in the light of his own method) for his Latin-language
Laufeyjarson’s Character, Career, and Name,” in Saxo Gram-
courses, writing articles and reviews, and giving occasional
maticus: Tra storiografica e letteratura, edited by Carlo Santini
lectures. Toward the end of his life he went back to an early
(Rome, 1992), pp. 91–158, speculates on the etymology of
interest in economics and the dialectic of history and had al-
the name and on the relationship between Loki and Útga-
most completed a work that may turn out to be as revolu-
rðaloki. John Lindow, Murder and Vengeance among the
tionary in those two fields as Insight had been in philosophy
Gods: Baldr in Scandinavian Mythology (Helsinki, 1997), dis-
and Method had been in theology.
cusses the fictive kinship between Óðinn and Loki and the
narrative implications of myth told in a society that used
Although his early focus on questions proper to Roman
blood feud to resolve disputes.
Catholic theology left religion in general in the margin,
JOHN LINDOW (2005)
Lonergan’s relentless drive toward a comprehensive view of
things, and his special methodological interest in founda-
tions of thought and conduct, led him eventually to reflec-
LOMBARD, PETER S
tion on religion too. His views on this topic are set forth suc-
EE PETER LOMBARD
cinctly in chapter four of Method, but that account can be
enlarged from other writings and set in the context of his
general concerns.
LONERGAN, BERNARD (1904–1984), Roman
Lonergan comes to the question from the two questions
Catholic philosopher-theologian and methodologist. Ber-
of philosophy and theology. First, a thoroughgoing philoso-
nard Joseph Francis Lonergan was born on December 17,
phy will raise the question of God’s existence and nature.
1904, at Buckingham, Quebec, not far from Ottawa. Of
The question is the key step, and Lonergan raises it in his
Irish-English stock, he was the eldest of three sons. His early
own characteristic way: through inquiry into the possibility
education took place in the local schools and at Loyola Col-
of fruitful inquiry, through reflecting on the nature of reflec-
lege in Montreal. In 1922 he joined the Jesuits and followed
tion, and through deliberating on the worthwhileness of de-
their regular course of study: Greek and Latin classics at
liberation. With the question raised and answered affirma-
Guelph, Ontario, philosophy at Heythrop College in En-
tively, thought may take different routes to arrive at
gland (with an external bachelor of arts degree from the Uni-
complementary aspects of religion. One route starts with the
versity of London in 1930), and theology at the Gregorian
problem of evil, to work out the anticipated general lines of
University in Rome, where he was ordained priest in 1936
the solution that a wise, good, and powerful God may be ex-
and completed his doctoral work in 1940. He taught theolo-
pected to provide: in effect religion as pertaining to the ob-
gy for twenty-five years, thirteen in the Jesuit seminaries at
jective order of the universe; this was the approach of chapter
Montreal and Toronto and twelve at the Gregorian Universi-
twenty of Insight. The second is the route of religious experi-
ty. In 1965 major surgery for lung cancer forced his partial
ence taken in chapter four of Method (though the problem
retirement, but he continued writing, first for a decade as re-
of evil still provides an introduction to the question,
search professor at Regis College in Toronto (with a year’s
p. 288); personal fulfillment is achieved in self-
leave as Stillman professor at Harvard University, 1971–
transcendence, love is the crown of self-transcendence, and
1972) and then as visiting distinguished professor at Boston
love of God is the primary religious experience: in effect, reli-
College from 1975 to 1983. On taking full retirement in
gion as a differentiation of human consciousness.
1983 he returned to his native Canada, where he died at the
Jesuit Infirmary in Pickering, Ontario, on November 26,
The theological approach starts from the Roman Catho-
1984.
lic doctrine that God wills the salvation of the whole human
race and so offers everyone the divine transforming grace
Lonergan’s first major works were studies of Thomas
needed for salvation. On this basis Lonergan proceeds to the
Aquinas generously laced with references at Aristotle: Grace
love of God flooding everyone’s hearts through the Holy
and Freedom (his doctoral dissertation) and Verbum: Word
Spirit given to all and links this as inner word to the outer
and Idea in Aquinas. The latter was a revolutionary study in
word of tradition deriving from the Son. Thus he arrives at
Thomist cognitional theory and a springboard to the inde-
a concretely identifiable charismatic and institutional reli-
pendent Insight: A Study of Human Understanding (published
gion to which philosophical inquiry had pointed in a general
in 1957, but completed in 1953), a monumental work that
way.
went far beyond Thomas into twentieth-century science,
psychology, and social and political theory. Lonergan’s sec-
There remains the question of dialogue, in particular be-
ond major work, Method in Theology (1972), incorporated
tween Christianity and the world religions. Lonergan’s start-
hermeneutics and history and added personal notions of dia-
ing point is not the institutional church as evangelizing 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
LÖNNROT, ELIAS
5511
nations (outer word, Son of God, Christianity), but religious
gan’s work to mystical theology; see, for example, Harvey D.
experience (inner word, Holy Spirit, a community enjoying
Egan’s What Are They Saying about Mysticism? (New York,
God’s love). He does not impose his theological a priori on
1982) and William Johnston’s The Inner Eye of Love: Mysti-
students of religion but leaves it to them to decide whether
cism and Religion (San Francisco, 1978). The elation of
his model of religious experience is verified in the data,
Lonergan’s trinitarian theology to world religions is studied
though he finds support in their writings (Method,
in my own Son of God, Holy Spirit, and World Religions: Ber-
nard Lonergan’s Contribution to the Wider Ecumenism (To-
pp. 108–109). Again, the gift from God that he affirms is
ronto, 1984). A new and important field of application is
fundamentally a reality—experienced, but not thematized.
that of popular religions (Philippines, Africa), but the litera-
It must be thematized and given expression in a process that
ture is scattered; for this material and for Lonergan’s unpub-
has its difficulties for the Christian as well as for others
lished works, the Lonergan Research Institute, Toronto, can
(Method, p. 290). Further, each religion will have its own cat-
be consulted.
egories of expression, so there is then the problem of a com-
F
mon language and communication. He recognizes that his
REDERICK E. CROWE (1987 AND 2005)
own language (God’s love flooding our hearts) is Christian
(Method, p. 240), but he hopes that the core reality as reality
will be a base for cross-cultural discussion (Method, pp. 11,
LÖNNROT, ELIAS (1802–1884), Finnish folklorist
284). That is, the orientation to the otherworldly, the con-
and philologist, the compiler of the Kalevala, the Finnish na-
version to the transcendent, the being seized by the mystery
tional epic. Lönnrot was born in the parish of Sammatti,
of love and awe, the fateful call to a dreaded holiness—
province of Uusimaa, Finland, as a son of a tailor. In a child-
whatever the language, and all these phrases are culturally
hood full of poverty, his schooling was difficult and often in-
conditioned—all this as a reality would bring people together
terrupted. In 1822 he became a student at the University of
in discussion. But then the first and fundamental need is for
Turku, where he supported himself as a private tutor. He re-
self-appropriation (the great thrust of Insight), and the fur-
ceived his M.A. degree at Turku in 1827 with his thesis “On
ther, more specific need is for studies of religious interiority
Väinämöinen, a Divinity of the Ancient Finns.” After the
(Method, p. 290).
university was destroyed in the fire of Turku, Lönnrot under-
took a folklore collecting trip across Finland as far as Finnish
BIBLIOGRAPHY
Karelia. Part of the material he collected was published under
In addition to the works mentioned above, Lonergan’s views on
the title Kantele (The harp, 1829–1831).
religion can be found in various chapters of Collection (New
York, 1967), A Second Collection (Philadelphia, 1974), A
In 1828, Lönnrot resumed his studies, this time in med-
Third Collection (New York, 1985), and in Philosophy of God,
icine at Helsinki University. There he came into close con-
and Theology (Philadelphia, 1973). Since 1988 reference
tact with a number of young literati who were filled with the
must be made to the Collected Works of Bernard Lonergan,
national spirit. In 1831, the Finnish Literature Society was
University of Toronto Press. Twenty-some volumes are pro-
founded to further the development of Finnish culture and
jected, of which numbers 1–7, 10, 15, 18, and 21 have been
to collect and study folklore. Lönnrot became its first secre-
issued as of late 2003.
tary. This society financed Lönnrot’s numerous folklore col-
The difficulty of drawing up a bibliography of secondary literature
lection trips. After defending his thesis, “The Magical Medi-
stems from the fundamental nature of Lonergan’s ideas,
cine of the Finns,” he received the M.D. degree in 1832 and
which involve study of basic generalities before specific appli-
was assigned as the district physician in Kajaani, northern
cation can be made, and allow ramification into many seem-
Finland.
ingly disparate areas. But two dissertations can be men-
tioned: Vernon J. Gregson, Jr.’s “Bernard Lonergan and the
Lönnrot then got the idea of combining the folk songs
Dialogue of Religions: A Foundational Study of Religion as
of Finland into bigger units. Thus came about the cycles of
Spirituality” (Ph.D. diss., Marquette University, 1978),
songs about the major Finnish heroes that constitute the first
somewhat rewritten and published as Lonergan, Spirituality,
stage of the Finnish epic. A journey during which he met the
and the Meeting of Religions (Lanham, N.Y., 1985), and Emil
greatest folk singers of Karelia yielded a rich harvest that was
J. Piscitelli’s “Language and Method in the Philosophy of
incorporated into the first version of the Kalevala, the so-
Religion: A Critical Study in the Development of the Philos-
ophy of Bernard Lonergan” (Ph.D. diss., Georgetown Uni-
called Old Kalevala (1835–1836), which consisted of thirty-
versity, 1977). A more recent publication is Symposium:
six songs comprising 12,078 lines. From extensive additional
Lonergan’s Philosophy and the Religious Phenomenon, pub-
folk song material, recorded partly by Lönnrot himself but
lished as a special issue of Method: Journal of Lonegan Studies
mostly by others in eastern Karelia and eastern Finland,
(Fall 1994). The foundational aspect of Lonergan’s work, es-
Lönnrot prepared a greatly expanded and changed version
pecially in relation to Jungian psychology, is studied in two
of the Kalevala. Published in 1849, it has 22,795 lines and
works of Robert Doran: Psychic Conversion and Theological
is divided into fifty songs. It is this so-called New Kalevala
Foundations: Toward a Reorientation of the Human Sciences
that is considered the Finnish epic.
(Chico, Calif., 1981) and Subject and Psyche; Ricoeur, Jung,
and the Search for Foundations (Washington, D.C., 1977).
In the 1830s, Lönnrot published a few popular books
Considerable interest is emerging in the relation of Loner-
on food substitutes and health care and edited some journals.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5512
LORD OF THE ANIMALS
He compiled a large collection of lyrical songs and ballads,
Fromm, Hans. “Elias Lönnrot als Schöpfer des finnischen Epos
titled Kanteletar (The spirit of the harp; 1840–1841), which
Kalevala.” In Volksepen der uralischen und altaischen Völker,
was followed by books of proverbs (1842) and riddles
edited by Wolfgang Veenker, pp. 1–12. Wiesbaden, 1968.
(1844). In 1844 he was granted a leave for five years for the
A survey of Lönnrot’s work on the compilation of Kalevala.
preparation of a comprehensive Finnish-Swedish dictionary.
Haavio, Martti. “Elias Lönnrot.” In Leading Folklorists of the
North, edited by Dag Strömbäck, pp. 1–10. Oslo, 1971. A
After defending his inaugural thesis on the Vepse lan-
splendid essay about Lönnrot.
guage, Lönnrot was named professor of the Finnish language
and literature at Helsinki University in 1853. In this capaci-
Honko, Lauri.“The Kalevala and Myths.” Nordisk Institut for
Folkedigtning Newsletter (Turku, Finland) 12 (1984): 1–11.
ty, he had greater significance as a practical linguist than a
Discusses the interpretations of the Kalevala and the authen-
theoretical scholar. He retired in 1862 and settled down in
ticity of the epic.
his native parish of Sammatti, to continue his work. He re-
vised Finnish hymns, completed the Finnish-Swedish dictio-
Magoun, Francis P., Jr. “Materials for the Study of the Kalevala.”
nary (1866–1880), and published a collection of Finnish
In The Kalevala, or Poems of the Kaleva District, compiled by
Elias Lönnrot; prose translation with foreword and appen-
charms (1880). His last years were spent in conducting reli-
dixes by Francis Magoun, Jr., pp. 341–361. Cambridge,
gious services in his community, treating people without
Mass., 1963. A concise biography of Lönnrot and discussion
charge, and participating actively in numerous charitable en-
of his work on the Kalevala.
terprises.
New Sources
The Kalevala is not only Lönnrot’s greatest accomplish-
Wargelin Brown, K. Marianne. “Kalevala as Western Culture in
ment; it is the most important work in Finnish literature. It
Finland and America.” In Finnish Americana 7 (1986): 5–12.
is, in its entirety, Lönnrot’s compilation, based on the best
FELIX J. OINAS (1987)
and most complete variants of about thirty folk songs. Lönn-
Revised Bibliography
rot made certain changes and modifications in them, adding
verses from other variants and even from other songs, in-
creasing the parallelism, and creating linking verses. He had
a tendency to reduce the Christian and legendary features
LORD OF THE ANIMALS. The concept of a special
while strengthening the heathen and the historical-realistic
type of deity or spirit that reigns over the animal kingdom
elements. The songs are, however, not copies of reality, but
is common among many Old and New World peoples. The
instead they convey a fictional picture of the ancient Finns’
universality of this conception suggests that formerly some
way of life. While the Kalevala itself cannot be used as mate-
form of cultural contact existed that bridged the continents.
rial for folklore study, its heroes and problems have strongly
As a fundamental element in the life of the human as hunter,
stimulated research into Finnish folklore and mythology.
a lord of the animals is a familiar figure among hunting cul-
tures, but he also occurs, in modified forms, in many agrari-
The Kalevala has been called a shamanistic epic, since
an and pastoral societies. In the latter instance the concept
its great deeds are accomplished by magical means—by the
is often associated with a spiritual herdsman of wild game,
power of words and incantations. All the heroes of the Kaleva
a spirit analogue to human domesticators of animals. But the
group—Väinämöinen, Ilmarinen, and Lemminkäinen—are
idea of an animal lord or spirit can be traced even further
mythic and/or shamanistic figures and, as a group, are op-
back than the development of herding—indeed, as concrete
posed to the people of the North, headed by the witch Louhi.
evidence shows, into the Old Stone Age.
The plot, created by Lönnrot, centers on fights over the pos-
session of a fertility-promoting object, the Sampo, and com-
The lord of the animals often appears as a lord of the
petition for the Maiden of the North.
forest, mountain, or sea—natural areas that may possibly
have been inhabited by individual spiritual sovereigns that
The Kalevala, according to Martti Haavio, was not only
eventually blended together to form a lord of animals. For
“the symbol of Finnish nationalism, but it was actually its
many cultures, the forest (or tree), the mountain, and the
crown symbol.” The Kalevala gave faith and confidence to
cave are the preferred residence of the animal lord, though
the people living under Russian rule. It influenced the devel-
for hunters of sea mammals and fish, the sea floor and the
opment of the Finnish language, literature, and arts, and it
deep sea are conceived as his abode. Occasionally the lord
played a substantial role in the adoption of Finnish as the
is associated with the sun, the moon, a star, or a constel-
language of the country.
lation.
BIBLIOGRAPHY
The lord of the animals is often a helper of mankind.
Anttila, Aarne. Elias Lönnrot: Elämä ja toiminta. 2 vols. Helsinki,
He guides the animals to the hunter or helps him discover
1931–1935. A detailed and very broad survey of Lönnrot’s
the trail of his prey. In addition, he often provides a magical
life and work, presented against the background of his time.
weapon or a mystical spell that assures success in finding
An excellent work.
game. Such assistance, however, often assumes that certain
Anttila, Aarne. Elias Lönnrot. 2d ed. Helsinki, 1962. An abbreviat-
conditions are fulfilled or specific regulations observed: the
ed version of the preceding work.
lord of the animals punishes the malicious, those who wan-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LORD OF THE ANIMALS
5513
tonly kill more game than is needed and those who are disre-
the anthropomorphic form. In this respect, frequent observa-
spectful of the dead game, especially in handling the bones,
tion of ceremonies performed for the ritual handling of slain
which must be meticulously saved, for from the bones, the
large game (bear, lion, elephant, etc.), and even prehistoric
same type of animal will be re-created (with or without the
testimony about such ceremonies, have proved to be of great
intervention of the lord of the animals). It is most often as-
importance. The reverence shown to large game is closely as-
sumed that the soul of the dead animal returns to its spiritual
sociated with the original form of the lord of the animals and
master, from whom it will receive another body. Frequently,
deserves further study.
the lord of the animals is held to be the creator of the game
A distinctive characteristic of the animal lord is the fact
and is therefore often named “Father” or “Mother.” At the
that, despite his role as protector of wild game, he makes cer-
very least, he gives the animals their names or other distin-
tain concessions when considering the needs of the hunter.
guishing features. In cases of misbehavior on the part of the
To the extent that this is true, the animal lord functions as
hunter, the animal lord either retains the game (which is
a god of the hunt, which in some cases is the predominant
often believed to reside with him) or strikes the guilty hunter
role. This aspect has caused many researchers to seek his ori-
down with sickness, or punishes him by withdrawing his
gin outside a purely zoological sphere. The question remains
luck in the hunt. To win his favor, the lord of the animals
open, however, whether or not this hunting-god aspect is
must be called upon before the hunt with a plea to release
connected with the anthropomorphic aspect of the lord of
some of the game, and afterwards must be given thanks. Fre-
the animals. An ethno-religious order can be arranged as fol-
quently a small offering is also made before the expedition,
lows. In many cases, particularly among hunting peoples,
some tobacco for example, while after the hunt a portion of
past as well as present, the lord of the animals is clearly a real
the game might be left behind as an offering.
god, distinctively named and sovereign over his realm. In
Precise physical descriptions of the lord of the animals
other cases, however, he is merely a game spirit, who is
vary considerably from culture to culture. He may appear in
named solely by his association with a particular animal spe-
anthropomorphic as well as zoomorphic form, as a mixture
cies. Such a game spirit is sometimes outwitted because of
of these or as some other fabulous creature, or as a giant or
his awkwardness and may be characterized by unpredictabili-
dwarf. In the majority of instances the lord of the animals
ty, arbitrariness, and tomfoolery (i.e., he is a trickster); in
is masculine, but we often find a feminine conceptualization
many conceptions he has the ability to transform himself
and in some instances a bisexual character. When envisioned
into many forms and thereby confuse the hunter. In still
in zoomorphic form, the lord of the animals often combines
other cases, the lord of the animals may have shrunk to a
various parts or markings of different types of animals, there-
mere mythological or legendary figure disengaged from the
by emphasizing and enhancing his authority over all game.
immediate life of the society.
In addition to belief in a lord of all animals, a corre-
The distinctions between these different categories are,
sponding or supplementary belief may exist in an individual
of course, not rigid. The relationship between the lord of the
master or lord of each separate kind of animal. Such a being
animals and other supernatural beings varies also. He may
is classified ethnologically as a “species spirit.” This spirit,
be incorporated within the character of a tribal father or of
when envisioned theriomorphically, may also represent an-
the supreme being that creates life and provides subsistence.
other animal type besides its own—a relationship that is
Many ethnologists of the Vienna school, following Wilhelm
often alleged to exist naturally. Many scholars maintain that
Schmidt, viewed the lord of the animals as an offshoot of the
the belief in species spirits is a more recent manifestation of
supreme being. This theory contradicts an understanding of
older, more general conceptions of the lord of the animals.
the lord of the animals as an older, independent god who
served as a fundamental element in the construction of the
When the lord of the animals is associated with an indi-
idea of a supreme being. In the opinion of the notable histo-
vidual representative of a specific kind of animal, a different
rian of religions, Raffaele Pettazzoni, the supreme being him-
situation develops. Such instances occur among hunting
self was the lord of the animals.
groups when a defined game animal plays a predominant role
The primary areas of diffusion for the concept and ven-
in tribal subsistence patterns. Frequently, the lord of the ani-
eration of a lord of the animals include northern Eurasia, an-
mals must be propitiated when a member of that particular
cient Europe, and Africa, as well as the regions occupied by
species is killed. This expression of the idea of an animal lord
the indigenous inhabitants of the Americas, from the ex-
can be accepted as a more ancient form, especially when it
treme north to the southernmost tip. Such beliefs are also
appears concurrently with the conceptualization of this deity
found elsewhere, but only occasionally.
as a prototypical or exaggerated version of that animal spe-
cies. In such cases the spirit is often envisioned as an excep-
It is in ancient Greece that one encounters the most fa-
tionally large, and therefore supernatural, member of the spe-
miliar animal deity, Artemis, whose double role as goddess
cies in question. Sometimes he is conceived in human form
of the hunt and mistress of the animals was never fully under-
riding the animal with which he is particularly associated. In
stood. In Homer’s Iliad and other sources from antiquity,
general, scholars hold the theriomorphic version of the lord
she is described in an obviously preexisting formula as potnia
of the animals to be older, in cultural-historical terms, than
th¯ero¯n, or “mistress of the wild animals.” Although she cares
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5514
LORD OF THE ANIMALS
for the animals as a mother does her children, she also hunts
To ascertain the antiquity of such bear cults, we must
them with bow and arrow. The deer is her devoted compan-
return to Europe. Caves in Switzerland, southern Germany,
ion, consistently appearing beside her in works of art, and
France, Silesia, Hungary, and Yugoslavia, dating from the
she is sometimes referred to as the “deer huntress” in the Ho-
middle to early Stone Age, have revealed small manmade
meric Hymns. She is also mistress over the entire wild animal
stone chambers containing the skulls, teeth, and long bones
kingdom, which includes not only land animals but the birds
of bears, arranged in orderly fashion. In addition to these
in the sky and fish in the waters.
bear burial sites, however, particularly important evidence of
Artemis herself is depicted as wild and uncanny and is
a bear cult dating from the early Paleolithic period has been
sometimes pictured with a Gorgon’s head. The rituals by
obtained from a cave near Montespan in Haute-Garonne,
which she was venerated also took on an archaic character.
France. In a vault at the end of a tunnel, a clump of molded
Reverence was displayed by the hunter’s hanging the skin of
clay was found that obviously represented a bear. Although
the animal, including the antlers, on a tree or special pole.
headless, the animal figure was distinguishable by its legs and
Besides the deer, Artemis had other favorite animals, includ-
high, rounded withers. In the flat surface at the top of the
ing the lion and, especially, the bear, which has led some re-
figure, a hole was bored, apparently to support a forward-
searchers to the opinion that, although this was not under-
projecting pole. Instead of a clay head, which was sought in
stood by the Greeks, she originally appeared as a female bear.
vain, a bear skull was discovered between the front legs. This
In keeping with this interpretation, Artemis has been associ-
led to the conclusion that the figure was a base constructed
ated with the lord of the animals in the Northern Hemi-
to support the head and skin of the animal on ceremonial
sphere, where bear rituals were an essential religious element.
occasions.
Even among the ancient Greeks, Artemis was the central fig-
This conclusion found substantial support in a similar
ure at the bear feast, and her tradition can be traced to a Cre-
animal figure reported among the Mande in the western
tan or Minoan goddess of animals. Diana was her counter-
Sudan. A slain lion or leopard, either of which is equivalent
part among the Roman goddesses. During the period in
to the bear in Europe, was skinned with the head attached.
which the Romans occupied Gaul, the goddess who was in-
This skin was then laid over a headless clay figure of the ani-
terpreted as the indigenous parallel to Diana was known as
mal. Such a figure was placed within a circular hedge of
Artio (from the Celtic artos, “bear”; arta “female bear”). This
thornbushes especially constructed for ceremonial purposes.
information comes down to us in the form of a bronze votive
The existence of a Eur-African hunting culture has become
offering with a Latin inscription found in Muri (near Bern,
an accepted doctrine among many ethnologists, most nota-
Switzerland), an area occupied by the Helvetii. It depicts a
bly Hermann Baumann (1938). This example, along with
sitting female who is being approached by a bear that has
many others, fits quite appropriately into a scheme of unify-
come out of a tree. The veneration displayed in Gaulish cere-
ing factors that suggest connections between the two conti-
monials to the slain bear as a lord of the animals closely re-
nents.
semble the rites dedicated to this animal over an extensive
area. According to A. Irving Hallowell (1926), bear ceremo-
The conceptual figure of a lord of the animals, appear-
nials are widespread among peoples of northern Eurasia,
ing among less advanced hunting cultures like the San and
from the Finns, Saami (Lapps), and Mansi (Voguls) in the
the Pygmies in Africa, remains to this day a functional belief;
west, eastward through Siberia to the Yakuts and the
one example should suffice. The creator god Khmwum is the
Tunguz, further east to the Paleosiberian Nivkhi (Giliaks),
supreme being among the Pygmies of Gabon. He lives in
the Chuckchi and the Ainu, and across the Bering Sea to the
heaven and appears to humans as a rainbow in the eastern
northern regions of North America. Although it cannot be
sky when he sees that they need his help. A singer raises his
generalized, the most suggestive interpretation of the intent
bow in the direction of this heavenly “bow” and intones:
of such ceremonies is that of the Japanese ethnologist Kyo-
“Most powerful bow of the hunters that follows a herd of
suke Kindaichi concerning the bear feast of the Ainu. Kin-
clouds that are like startled elephants, rainbow, give him
daichi suggests that the bear itself is god. All animals are dei-
[Khmwum] our thanks” (R. P. Trilles, Les pygmées de la forêt
ties that live in human form in another world. When these
équatorial, Paris, 1931, p. 78). In this way the supreme deity
deities occasionally come to this world, they appear in the
is identified with the lord of the animals. Khmwum also
form of animals. The bear is the highest of these gods. Any
manifests himself to humans in dreams, appearing as a huge
animal that is not captured, killed, and eaten by the Ainu has
elephant who reports the location of an abundance of game.
the unfortunate fate of wandering aimlessly throughout the
This gigantic elephant is called Gor, and he towers over the
world. The killing of an animal is therefore a sacred act, since
tallest tree in the forest. Blue in color, he supports the sky
the god himself has come into their midst. And with his
on his shoulders, and since he is immortal, no one can kill
coming he brings presents to mankind: his meat and fur.
him. Gor is the chief of all elephants; he is responsible for
This divine animal, however, is satisfied, since it will now be
giving them life and preserves them from the threat of extinc-
able to return to its eternal home (“The Concepts behind the
tion. He directs the elephants to those paths that the hunters
Ainu Bear Festival,” Southwest Journal of Anthropology 5,
take care to follow. A slain bull elephant is decorated with
1949).
a bright blue liana, and the chief of the Pygmies dances 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
LORD OF THE ANIMALS
5515
the carcass and sings to “father elephant.” This song is a sol-
This masked figure accompanies the hunters a short distance
emn incantation in which the chief expresses the conviction
into the woods, during which time a spokesman drops six
that the elephant should not be outraged at being killed but
pinches of tobacco in each of two fires while begging Mising-
pleased that he is going to the land of the spirits; he also says
halikun to seek out deer and help the hunters.
that the spear that erroneously took the elephant’s life was
Numerous examples of the conceptual form of the lord
misguided. Such excuses are made to the hunted animal out
of the animals in North America could be mentioned. Josef
of fear of revenge and a guilty conscience at having killed the
Haekel (1959) collected all available material source con-
animal; this is a widespread phenomenon, typical of a hunt-
cerning the lord of the animals among the ancient, culturally
ing mentality.
advanced peoples of Mesoamerica and their descendants. Al-
In northern Eurasia we encounter the concept of a lord
though the concept arose prior to the full development of
of the animals who either is anthropomorphic or has affini-
these cultures, it becomes apparent that the lord of the ani-
ties with predominant animals other than the bear. Although
mals also possessed qualities of an agrarian deity of the earth
such a concept occurs among numerous peoples in Eurasia,
and master over cultivated plants. Even among the descen-
specific examples need not be mentioned here.
dants of the advanced Andean cultures—the Quechua, Ay-
In the New World there exists, among the central and
mara, and others—this combined conceptual variation is
eastern Inuit (Eskimo), an extraordinary deity named Sedna,
known to occur. These characteristics are displayed in Pacha-
who is known as the goddess of the sea animals. She is an
mama, the Quechua earth mother who is at the same time
old woman who lives on the ocean floor and sends sea ani-
the maternal progenitor of plants and of humans and ani-
mals to the world above as long as humans do not aggravate
mals. She is viewed as the actual owner of all llamas and al-
her. If she does become angry, however, the shaman must
pacas, which she lends to humankind; if they are mishandled
venture on a dangerous journey to visit her below. Such an
by humans, she repossesses them. A part of the ritual slaying
undertaking is made to pacify her so that she will release the
of the llama involves the interment of the bones of that ani-
animals once again. To accomplish this, the shaman must
mal in a burial ground near the area in which the sacrifice
comb Sedna’s hair, which has become soiled by humans—
took place. Such an act expresses trust that the earth mother
particuarly women—whose violation of taboos causes her
will create a new animal from the bones of the old one—a
anger. Through combing, the shaman cleanses her hair of
notion typical of hunters.
dirt and parasites, an act that Sedna herself cannot perform,
Sometimes, however, Pachamama also functions as the
since she has no fingers. According to the mythology, Sedna
mistress of the wild animals; thus, creatures like the guanaco,
lost her fingers as a young girl because of an undesirable suit-
vicuña, and deer are referred to as “animals of the earth.”
or, the storm bird. He appeared as a human and followed
This is reflected in practices like the offering (by burial) of
Sedna and her father, who fled in a kayak across the water.
a sacrifice to Pachamama before the start of a vicuña hunt.
In his fear Sedna’s father threw her into the water, but she
held on tightly to the side of the boat. Her father then cut
Ideas and rites such as these, which either evolve in a
off all her fingers, and as they fell into the water they turned
hunting culture and are then superimposed on a pastoral
into seals and walruses. Sedna in turn sank to the ocean floor,
one, or vice versa, are also found in the Old World; they have
where she took up her abode and became the mother of sea
been observed, for instance, among the people of the Hindu
animals. The souls of these sea animals reside with her for
Kush, particularly when the animals are conceived as being
a short period after their deaths; then, when the time has
related. Like the Peruvians, the people of the Hindu Kush
come, she restores them to life once again.
associate the wild and domesticated animals—in this in-
stance, goats.
Among the Inuit of western Alaska, a male moon spirit
replaces Sedna as lord of the animals. When the shaman is
European chroniclers of the sixteenth and seventeenth
called upon to represent the moon spirit, he wears a mask
centuries in the tropical lowlands of the Amazon continually
encircled by miniature figures of reindeer, seals, and salmon,
encountered mention of a lord of the animals and a wild
which symbolically depict authority over the animals when
game spirit known as Korupira or Kaapora, a familiar figure
the spirit is implored.
among the Tupi-Guaraní tribes and comparable to a deity
of other agricultural Indians. Among the mixed population
The lord of the animals plays an important role among
of Brazil, belief in Korupira has likewise remained alive. Ko-
many North American Indians, as for example the Algon-
rupira’s characteristic traits were collected and recorded in
quin tribes of the eastern woodlands. According to the Dela-
1920 by Theodor Koch-Grünberg, a renowned researcher of
ware, Misinghalikun (“living solid face”), the “boss” or mas-
the Indians of the Amazon whose primary source materials
ter of the deer, who himself rides a deer, is the mentor of
included the sixteenth- and seventeenth-century chronicles.
those placed under his protection. His position was obtained
directly from the creator. When a hunter is leaving for the
Among the hunting and planting tribes of eastern Bra-
hunt, Misinghalikun will appear to him in person, wearing
zil, the Sun is often viewed as the protector of hunted game.
a bearskin with a large oval mask that is painted red on the
The Ge-speaking Indians of this region turn to this male
right side and black on the left, a form that reflects his name.
deity with a plea for the maintenance and increased abun-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5516
LORD’S PRAYER
dance of the various animal species. An appearance of Father
deals exclusively with the lord of the animals and related
Sun to a hunter ensures a successful expedition. Similarly,
manifestations in South America.
the hunting and gathering tribes of Tierra del Fuego conceive
OTTO ZERRIES (1987)
of a masculine sun (Kran or Lem), who is the “owner” of the
Translated from German by John Maressa
animals; he is called upon by the Selk’nam (Ona) and Yag-
han peoples to help them acquire subsistence. Watauineiwa
of the Yaghan, who is viewed by many researchers as the su-
preme deity of these people, is in actuality the creator and
LORD’S PRAYER. When his disciples asked Jesus to
owner of all animals. He entrusts his animals to humans for
teach them to pray, Luke 11:2–4 records the Master’s reply
food and other essential uses, but only to the extent to which
in words similar to the teaching in the Sermon on the Mount
they are needed for survival. He watches out for his animals
at Matthew 6:9–13. In a slightly simplified tabulation, the
and assures that they are not killed wantonly, lest the meat
two versions of the text may be compared as follows, with
be wasted. All these traits can be identified most precisely in
the Matthean surplus and variations in brackets and two par-
describing a lord of the animals, and have also been used by
ticularly difficult expressions in parentheses:
Pettazzoni in describing a supreme being.
[Our] Father [who art in heaven], Hallowed be thy
SEE ALSO Animals; Artemis; Bears; Bones; Lady of the Ani-
name, Thy kingdom come, [Thy will be done, On earth
mals; Sedna; Supreme Beings; Tricksters.
as it is in heaven]. Give us [this day] our (daily) bread,
And forgive us our sins [Mt.: debts], For [Mt.: As] we
BIBLIOGRAPHY
[have] forgive[n] our debtor[s], And lead us not into
Baumann, Hermann. “Afrikanische Wild- und Buschgeister.”
(temptation) [But deliver us from evil].
Zeitschrift für Ethnologie 70 (1938): 208–239. A basic work
USE IN CHRISTIAN WORSHIP. The church has taken the
on the lord of the animals and related deities in Africa.
Lord’s Prayer as indicating both the spirit of Christian prayer
Dirr, Adolf. “Der kaukasische Wild und Jagdgott.” Anthropos 20
and a formula to be employed in worship. The Matthean
(1925): 139–147. A specific study, incorporating what was
form is at almost all points the more usual in the liturgy. Li-
then groundbreaking research, of belief in the lord of the ani-
turgical use is the probable source of the concluding doxolo-
mals in the Caucasus.
gy, “For thine is the kingdom, the power, and the glory for
Friedrich, Adolf. “Die Forschungen über das frühzeitliche Jäger-
ever,” which is found—though not yet with the addition of
tum.” Paideuma 2 (1941): 20–43. An exceptionally good
the word kingdom—in a text that is as early as the first- or
overview of the topic, including the lord of the animals in
second-century church manual the Didache (8.2). The
Siberia among ancient hunting cultures.
Lord’s Prayer has been used, formally and informally, in
Haekel, Josef. “Der Herr der Tiere im Glauben der Indianer Me-
daily worship as well as in the eucharistic liturgy. In the latter
soamerikas.” Mitteilungen aus dem Museum für Völkerkunde
case, its place has usually been between the great prayer of
in Hamburg 25 (1959): 60–69. A study of the relevant con-
cepts of the pre-Columbian peoples of Mesoamerica. Haekel
thanksgiving and the communion, whither it was doubtlessly
also writes extensively on the basic phenomena of the lord
attracted by the bread to be consumed.
of the animals.
CLASSICAL COMMENTARIES. The early Fathers taught the
Hallowell, A. Irving. “Bear Ceremonialism in the Northern Hem-
prayer’s meaning to their catechumens, and it has remained
isphere.” American Anthropologist 28 (1926): 1–175. The
a favorite subject of exposition by spiritual writers. Tertullian
doctoral thesis of this well-known American anthropologist
and, in his wake, Cyprian both wrote pastoral tracts entitled
presents a comprehensive investigation of bear ceremonials
On (the Lord’s) Prayer. Origen dealt with it in his theological
and is of great importance for the concept of the lord of the
treatise On Prayer (chaps. 18–30). Cyril of Jerusalem ex-
animals.
pounded it to the newly baptized in his Mystagogical Cateche-
Hultkrantz, A˚ke, ed. The Supernatural Owners of Nature. Stock-
sis 5.11–18, while Augustine of Hippo preached sermons
holm Studies in Comparative Religions, vol. 1. Stockholm,
56–59 on it to the competentes (candidates for baptism) and
1961. An article presented at a symposium for Northern
also treated it as part of his commentary The Sermon on the
studies, about the religious conceptualization of “master spir-
its” of places and animal types.
Mount (2.4.15–2.11.39) and elsewhere. John Chrysostom
devoted to the Lord’s Prayer his Nineteenth Homily on the
Paulson, Ivar. Schutzgeister und Gottheiten des Wildes (der Jagdtiere
Gospel of Matthew. Gregory of Nyssa discoursed on it in his
und Fische) in Nordeurasien. Stockholm Studies in Compara-
tive Religions, vol. 2. Stockholm, 1961. A standard work
five Sermons on the Lord’s Prayer. Conferences on it are as-
concerned with the lord of the animals and the species spirits
cribed to Thomas Aquinas. Luther explained the prayer in
of the animals of northern Asia.
his Large and Small Catechisms and in other writings, such
Schmidt, Leopold. “Der Herr der Tiere in einigen Sagenland-
as A Simple Way to Pray, written in 1535 for his barber. Cal-
schaften Europas und Eurasiens.” Anthropos 47 (1952): 509–
vin presented it in the first edition of his Institutes of the
538. A study that traces the motif of the restoration of life
Christian Religion (1536; cf. 3.20.34–49 in the final edition
to slain animals from their bones, in Eurasia.
of 1559) and commented on it in his Harmony of the Gospels
Zerries, Otto. Wild und Buschgeister in Südamerika. Studien zur
(1555). Teresa of Ávila used the Lord’s Prayer to instruct her
Kulturkunde, vol. 11. Wiesbaden, 1954. The only work that
religious communities in The Way of Perfection (chaps. 27–
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LORD’S PRAYER
5517
42). John Wesley devoted to the prayer one of his Standard
4. Give us this day our daily bread. The adjective
Sermons (numbered variously 21 or 26) and versified it in
qualifying bread (Gr., epiousios) is otherwise practically un-
the hymn “Father of All, Whose Powerful Voice.” Karl Barth
known. Suggested possibilities for its meaning include: food
treated it in his 1947–1949 seminar notes entitled Prayer and
“suited to our spiritual nature” (Origen); the bread “we
developed the address and the first two petitions in the un-
need” for our “everyday” lives (Syriac and Old Latin tradi-
finished part 4.4 of his Church Dogmatics. Simone Weil’s
tions—cf. Mt. 6:34); an “excellent” bread surpassing all sub-
thoughts on the subject are contained in her Waiting on God.
stances (the Vulgate’s supersubstantialis). The original escha-
A CONTEMPORARY EXEGESIS. The best contemporary exege-
tological tone of the prayer favors the reading “tomorrow’s
sis of the Lord’s Prayer is that of Raymond E. Brown, who
bread,” as in some Egyptian versions and in Jerome’s report
interprets it as an eschatological prayer. Jesus announced the
on the “Gospel of the Hebrews” wherein he employs the
coming of the kingdom of God. His followers prayed for the
Latin word crastinus (“for tomorrow”); it is an urgent prayer
definite establishment of God’s eternal rule and intimated
for the feast of the age to come. Whatever their interpreta-
their own desire to be part of it. They requested a place at
tion of epiousios, commentators regularly emphasize the gra-
the messianic banquet and asked for forgiveness in the divine
ciousness of the divine provision and the human obligation
judgment as well as for deliverance from the mighty struggle
to share the blessings of God, and most of them make a link
with Satan that still stood between the community and the
with the eucharistic Communion.
final realization of its prayer. As hopes for the imminent ad-
vent of the final kingdom faded, interpreters adapted the
5. Forgive us our sins. The parable of the unforgiving
prayer to continuing life in the present age with the assurance
servant in Matthew 18:23–35 suggests that the final execu-
that God’s kingdom had at least begun its entry into the
tion of God’s will to forgive sinners depends on the sinner’s
world through the life, death, and resurrection of Jesus.
readiness to forgive others (cf. Mt. 6:14f., Lk. 6:37). While
humans cannot compel God’s gracious forgiveness, they can
RECURRENT THEMES OF ANALYSIS. The Lord’s Prayer opens
be prevented from receiving it by their own unforgiving spir-
with a bold filial salutation. To address almighty God as
it.
“Abba, Father” (Rom. 8:14, Gal. 4:6) is to share by grace a
privilege that Jesus enjoyed by nature (Mk. 14:36, cf. Mt.
6. Lead us not into temptation. Commentators have
11:25–27). Liturgically, believers do in fact proclaim that
stressed the indirect character of God’s testing of humans
they “make bold to say” (audemus dicere) this prayer. The
(Jas. 1:12–14) and insisted that God “will not let you be
heavenly Father is near. Moreover, to address the Father as
tempted beyond your strength” (1 Cor. 10:13). Some mod-
“our Father” is to acknowledge that the Christian faith is a
ern liturgical translations have restored the strictly eschato-
communal matter with brothers and sisters who are, at least
logical character of the petition: “Save us from the time of
potentially, as numerous as the human race. After this open-
trial” (cf. Rv. 3:10). In the present, the devil still “prowls
ing address six petitions follow, which typically attract the
around like a roaring lion, seeking whom he may devour”
kind of comments next summarized.
(1 Pt. 5:8; cf. Eph. 6:11–13, 1 Jn. 5:19), but his defeat has
1. Hallowed be thy name. God is by definition holy,
already been assured by Christ, and the deliverance of believ-
and strictly speaking, only God can hallow the divine name:
ers is certain (2 Thes. 3:3, Jn. 17:15).
he does so in history by vindicating his holiness (Ez. 36:22–
27, Jn. 12:28). But humans join in by not despising the
BIBLIOGRAPHY
Lord’s name (Ex. 20:7 and, identically, Dt. 5:11), by praising
Studies on the Jewish background to the Lord’s Prayer can be
the name of the Lord (1 Chr. 29:13 and often in Psalms), by
found in Jean Carmignac’s Recherches sur le “Notre Père”
calling on the name of the Lord for salvation (Jl. 2:32, Acts
(Paris, 1969) and in The Lord’s Prayer and Jewish Liturgy, ed-
2:21, Rom. 10:13), and by living in accord with the name
ited by Jakob J. Petuchkowski and Michael Brocke (New
put upon them in baptism (Augustine, sermon 59; cf. 1 Cor.
York, 1978). Raymond E. Brown’s “The Pater Noster as an
6:11).
Eschatological Prayer” is contained in his New Testament Es-
says, 3d ed. (New York, 1982), while other contemporary ex-
2. Thy kingdom come. Instead of “Thy kingdom
egesis includes Ernst Lohmeyer’s The Lord’s Prayer (New
come” a minor variant reads “May thy Holy Spirit come
York, 1965), Joachim Jeremias’s The Prayers of Jesus (Lon-
upon us and purify us.” Here outcrops the common view
don, 1967), and Heinz Schürmann’s Das Gebet des Herrn,
that God’s rule may at least begin in the present in human
4th ed. (Leipzig, 1981). The tightly packed lectures of
lives. Yet the primary agency in establishing the kingdom re-
Thomas Aquinas are accessible in a translation by Lawrence
mains God’s.
Shapcote under the title The Three Greatest Prayers: Com-
mentaries on the Our Father, the Hail Mary and the Apostles’
3. Thy will be done. In the garden of Gethsemane,
Creed by St. Thomas Aquinas (London, 1956). Modern devo-
Jesus accepted the Father’s will (Mk. 14:36, Mt. 26:39,
tional works include William Barclay’s The Plain Man Looks
26:42; cf. Jn. 6:38, Heb. 10:7–10). Thereby God’s eternal
at the Lord’s Prayer (London, 1964), Gerhard Ebeling’s On
will for salvation was implemented (Eph. 1:5, 1:9, 1:11). Hu-
Prayer: Nine Sermons (Philadelphia, 1966), Romano
mans benefit through faithful and obebient participation.
Guardini’s The Lord’s Prayer (New York, 1958), Alexander
The scope of God’s plan is no less than heaven and earth.
Schmemann’s Our Father (Crestwood, N.Y., 2002), 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
5518
LOTUS
Kenneth Stevenson’s The Lord’s Prayer: A Text in Tradition
from Hermopolis, the highest deity appeared, self-begotten,
(London, 2004).
on a lotus. In the temple at Edgu, built during the Greco-
G
Roman period, an inscription equates the First Primeval
EOFFREY WAINWRIGHT (1987 AND 2005)
One, who “caused the Earth to be when he came into exis-
tence,” with the Great Lotus. Egyptian mythology connects
the lotus especially with the creation of the sun.
LOTUS. A poem from a twelfth-century anthology of
Sanskrit court poetry, in which the poet visualizes the whole
The lotus opens not only as the world but also within
world in the form of a spreading lotus, suggests how compre-
each person. In both Hindu and Buddhist symbolism, a lotus
hensive and intricate a symbol the lotus can be. In it, the
encloses the center of one’s being, which is located in the
lotus encompasses the worlds of gods and humans:
heart. The lotus is thus not only a bridge between precreation
Its seed is the god Brahma¯, its nectar are the oceans and
and creation but also a symbol linking the macrocosm and
its pericarp Mount Meru, its bulb the king of serpents
the human microcosm. “For this heart lotus,” says the Maitri
and the space within its leaf-bud is the spreading sky;
Upanis:ad, “is the same as space. The four regions and the
its petals are the continents, its bees the clouds, its pol-
four intermediate regions constitute its leaves. The vital
len are the stars of heaven: I pray that he, the lotus of
breath and the sun move downward toward its base” (6.2).
whose navel forms thus our universe, may grant you his
This symbolism of an inner lotus corresponding to the outer
defense. (Ingalls, 1965, p. 107)
world is elaborated in Tantric yoga. Forms of this yoga iden-
It is especially in Indian art, literature, and religion that the
tify five or seven lotiform centers in the body; these centers
lotus has been a frequent and central symbol. Indeed, lotus
correspond to bodily locations and functions, to particular
symbolism has accompanied Indian cultural influence wher-
deities, and to aspects of the macrocosm. Likewise, in the
ever it has spread, especially in Southeast Asia and East Asia,
Indo-Tibetan man:d:alas, the opening of the lotus symbolizes
where it is part of the symbolic language of Buddhism. But
the manifestation of divine powers, the world, the mind, and
the lotus also appears as a symbol in East Asia without any
insight. In a typical man:d:ala, a principal deity occupies the
obvious Indian connection, and in ancient Egypt.
center. Arranged around this center are four or eight other
deities, who are visualized as emerging from it, like petals
The lotuses considered in this article are aquatic plants
spreading out from the center of a lotus. Indeed, the fields
belonging to the Nymphaeaceae (water lily) and Nelumbo-
on which their images or symbols appear are occasionally de-
naceae families. They grow from rhizomes in the mud, and
picted as lotus petals. The lotus symbolism is also carried to
their leaves and blossoms float on the water or rise above its
the outer part of the man:d:ala which includes at least one cir-
surface. Because the lotus grows out of water, early Indian
cle of lotus petals. These confirm the lotus form of the whole
tradition identified it with the waters (cf. S´atapatha
man:d:ala and represent, among other possible meanings, the
Bra¯hman:a 7.4.1.8), with the creative and life-giving poten-
extension of divine power from the center.
tial of the waters, and even with creation itself. So, for exam-
ple, the Taittir¯ıya Bra¯hman:a (1.1.3.5–6), relates that at the
Because the opening and closing of the lotus follows the
beginning of time the creator, Praja¯pati, existed alone amid
rising and setting of the sun, the lotus is also a solar symbol.
the primordial waters. As he was wondering how to create,
According to Indian iconographic texts, Su¯rya, the Sun,
he saw a lotus leaf, the sole other existing object. Diving
should stand on red lotuses placed in his chariot or on a sin-
down, he found the mud from which it was growing and
gle lotus, and he may carry a lotus in his hand. Such solar
brought some to the surface. He then spread the mud on the
symbolism was developed especially in ancient Egypt. Ac-
lotus leaf, and this, supported by the lotus leaf, became the
cording to one tradition, the newborn sun, identified with
surface of the earth. The later Indian tradition envisioned the
the child Horus, arose from the lotus. Corresponding to this
world as having the shape of a lotus blossom (cf. Matsya
conception, Horus was often depicted in the Greco-Roman
Pura¯n:a 41.86). In either case, the lotus, rising out of the mud
period as a sun-child on a lotus blossom. In another tradi-
and the waters, is a mediating symbol, bridging the amor-
tion, the lotus, deified as the god Nefertem, gave life to the
phous waters and the created earth.
sungod Re and, by means of his fragrance, continues to give
In classical Indian mythology, the lotus as the bridge of
vitality to Re every day. Therefore, Re is, according to the
creation is preserved in another expression, which forms the
Book of Going Forth by Day 15, the “golden youth, who came
basis for the poem quoted above. At the beginning of a new
forth from the lotus.” Elsewhere Nefertem also identified
world cycle, the god Vis:n:u lies on a serpent amid the primor-
with Re and hence with the sun.
dial waters. From his navel grows a lotus, which blossoms to
In addition to the Sun, various other Hindu deities have
reveal Brahma¯, the agent of creation. Here, the growth and
special connections to the lotus. The Moon is symbolized by
unfolding of the lotus is both the vehicle for the generation
the night-blooming white lotus. The lotus is also one of the
of Brahma¯ and the image of the emergence of creation from
characteristic signs of Vis:n:u. Of all the Indian deities, how-
the mind and body of Vis:n:u.
ever, the one most closely associated with the lotus is S´r¯ı, or
The association of the lotus with the concept of creation
Laks:m¯ı, the goddess of prosperity, good fortune, and wealth.
appears also in ancient Egypt. According to one tradition
The S´r¯ısu¯kta, which became her principal hymn of praise,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LOTUS
5519
surrounds her with lotuses and merges the image of the god-
traditions have legends of virgin births that occurred after
dess and the lotus. There, she is called “moist”; she is gar-
young women bathed in lotus ponds or ate lotus blossoms.
landed and surrounded by lotuses; she is lotus-colored, is
A dramatic Indian image of a lotus-headed goddess in a
perceptible by her scent, and stands within the lotus. Her son
birthing position has been identified by Stella Kramrisch
is Slime (Kardama), who is asked to dwell with the poet and
(1983) as the divine Mother, who has given birth to all crea-
to make S´r¯ı dwell with him. The widespread image of
tures. In ancient Egypt, too, the lotus was a symbol of birth
Gaja-Laks:m¯ı, the elephant Laks:m¯ı, also portrays the god-
or, more especially, of rebirth. The god Osiris was reborn
dess’s close connection with the lotus. Standing on a lotus,
from a lotus after he was killed. Such rebirth is the hope of
she holds two lotuses (or a woodapple and a lotus) and is
humans as well, and for this reason the lotus appears as a dec-
sprayed with water by two elephants. This image of Laks:m¯ı
oration on Egyptian tombs and mummy cases. Because it
is interpreted in the Puranic accounts of her origins. Accord-
was a symbol of regeneration, the lotus was a funerary flower
ing to the Vis:n:u Pura¯n:a (1.9.100ff.), for example, S´r¯ı
also among the Greeks, Romans, and early Christians. One
emerged from the Ocean of Milk seated on a blossoming
reason for this symbolism may be that the seedpods, open
lotus and bearing a lotus in her hand. The Ocean himself ap-
flowers, and buds of a lotus are all visible at the same time.
peared in human form and presented her with a garland of
The flower thus contains past, present, and future life.
never-wilting lotuses, and Indra, king of the gods, praised
her, saying, “I bow down before S´r¯ı, the mother of all, who
But if the lotus is a symbol of sensual beauty, it can also
resides on the lotus, who has eyes of blossoming lotuses, and
be a symbol of transcendence or purity. It grows from the
who reclines on the heart of Vis:n:u.” In all these representa-
mud, but shows nothing of its origins. Nor are its leaves or
tions, the lotus blends with the waters and the goddess herself
petals affected by water, which beads and falls away. Un-
to symbolize fertility, prosperity, and bounty.
touched and breaking the surface of the water, the lotus is
a natural symbol for rising above the world. It is, in this
The lotus also underscores the beauty of the goddess,
sense, applied especially to the Buddha in a well-known pas-
for it is a strikingly lovely flower that has become a conven-
sage from the Pali texts Sam:yutta Nika¯ya (vol. 3, p. 140) and
tional sign of beauty. According to Indian texts on erotica,
Anguttara Nika¯ya (vol. 2, pp. 38f.): “Likewise, monks, the
the ideal woman is the Padmin¯ı, the woman of lotus scent.
blue lotus, the pink lotus, or the white lotus, born in the
The hands, feet, and face of a beautiful woman are like lotus
water and grown in the water, rises beyond the water and re-
blossoms. Her eyes, especially the pupils of her eyes, are like
mains unsoiled by the water. Thus, monks, the tatha¯gata,
lotuses. The lotus also possessed even more specifically erotic
born in the world, grown up in the world, after having con-
connotations. Iconographically, Ka¯ma, the personification of
quered the world, remains unsoiled by the world.” This met-
sexual desire, is ornamented by the conch shell and the lotus,
aphor is usually taken to mean that the Buddha, after his en-
both symbols of the vulva. Lotuses were used in aphrodisiacs,
lightenment, lives within the world but is not affected by it
in concoctions to ensure potency and fertility, and in scents
or by the passions that normally govern human life. Within
to attract a lover. The “lotus position” is not only a yogic pos-
the Buddhist tradition, however, different sects have inter-
ture but a sexual one as well. Such simultaneous religious and
preted the passage in various ways. The “supernaturalist”
erotic connotations were exploited particularly by the Tan-
sects, as Étienne Lamotte calls them (e.g., the
tric traditions of Buddhism and Hinduism to show the inter-
Maha¯sa¯m:ghikas and the Vibhajyava¯dins), interpret it to
penetration of the two realms.
mean that the Buddha’s birth is purely apparent. Because his
In China, too, the lotus was an erotic symbol. In the fol-
existence is a fiction, his body spiritual, and his human acts
lowing song by Song Huangfu, the lotus helps create an erot-
and qualities actually foreign to his true nature, the purity
ic atmosphere:
of the Buddha is absolute. The lotus as a symbol of purity
also occurs in Hinduism. Two passages from the Upanis:ads
Water lilies and fragrant lotus across the vast stretch of
(Cha¯ndogya 4.14.3 and Maitri 3.2) reverse the Buddhist met-
water, A young girl exuberant and playful, picks lotus
until late; Evening comes, the splashing water dampens
aphor. In them the self is compared to a drop of water on
her in the boat, Making her remove her red skirt and
a lotus leaf; it does not cling to the leaf, even while it remains
wrap up the ducks. The boat glides, the lake shines,
upon it. In China, too, the white lotus is a symbol of purity.
overflowing with autumn. With desire she watches a
young boy letting his boat drift, Impetuously across the
The lotus is associated not only with Gautama Buddha
water she throws lotus seeds, As the news spreads and
but with other figures in the Buddhist pantheon, espe-
people hear of it, she is bashful for half a day. (Wagner,
cially Prajña¯pa¯ramita¯, Avalokite´svara (Chin., Kuan-yin), and
1984, p. 146)
Amita¯bha. In connection with Prajña¯pa¯ramita¯ (Perfection of
Wisdom), the lotus signifies purity, transcendence, and
The lotus exemplifies the beauty and passion of the young
beauty. Avalokite´svara and Amita¯bha belong to a Buddha
girl. The lotus seeds she throws are love tokens.
“family” whose characteristic mark is the lotus. Here, the
The lotus also represents birth as well as beauty and sen-
lotus functions both as an auspicious sign and as a reminder
suality. In the folk traditions of India and China, the lotus
that these beings act compassionately while remaining unat-
has the power to make a person potent or fertile: both folk
tached.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5520
LÖW, YEHUDAH BEN BETSALDEL OF PRAGUE
Like other central symbols of religious traditions, there-
Kramrisch, Stella. “An Image of Aditi-Utta¯napad.” In Exploring
fore, the lotus has many possible meanings within a cultural
India’s Sacred Art, edited by Barbara Stoler Miller,
sphere; for that reason, it may not have a determinate mean-
pp. 148–158. Philadelphia, 1983. This article is a study of
ing in a specific context. For example, the lotus is encoun-
an image of a goddess who has a lotus blossom in place of
tered frequently in art as a pedestal or throne for Buddhist
her head and who appears to be giving birth.
and Hindu deities. Those viewing such an image might un-
Lauf, Detlef Ingo. Tibetan Sacred Art: The Heritage of Tantra.
derstand many of the associations outlined above: it could
Berkeley, 1976. This introduction to Tibetan art mentions
suggest purity, transcendence, the unfolding of a vision of
the lotus frequently, although in passing.
divinity, beauty, the power to create, the centrality of the
Siegel, Lee. Sacred and Profane Dimensions of Love in Indian Tradi-
deity in the world, or the auspiciousness of the image. More-
tions as Exemplified in the G¯ıtagovinda of Jayadeva. Oxford,
over, the lotus is a surprisingly complex symbol, which is able
1978. On pages 195 and following, Siegel offers a short but
to express the contradictory realities of divine and human
helpful discussion of the lotus as an erotic and religious sym-
life. It is both an erotic symbol and a symbol of purity. It
bol.
signifies the creation of the world as well as the transcen-
Wagner, Marsha L. The Lotus Boat: The Origins of Chinese Tz Du
dence of it. The same lotus is the world and is within each
Poetry in T’ang Popular Culture. New York, 1984. According
person. It is the unformed waters and the visible world. And
to Wagner, tz Eu poetry originated in the popular songs sung
it is much else besides, for having established itself as a cen-
by courtesans and other musical entertainers. The lotus ap-
pears as a symbol of love and erotic desire.
tral symbol, the lotus gives rise to further interpretation. Blo-
feld (1978, p. 151), for example, gives a list of the principal
Zimmer, Heinrich. Myths and Symbols in Indian Art and Civiliza-
emblems of Kuan-yin and their meanings taken from the
tion. Edited by Joseph Campbell. New York, 1946. See pages
Chinese edition of the Heart of the Dha¯ran¯ı of Great Compas-
90–102 for Zimmer’s study of the development of lotus sym-
bolism in connection with goddess figures of Hinduism and
sion Sutra. In this su¯tra, four lotuses of four different colors
Buddhism.
serve as the emblems of Kuan-yin: the white lotus signifies
the attainment of merit, the blue lotus signifies rebirth in a
JOEL P. BRERETON (1987)
Pure Land, the purple lotus signifies that one will behold bo-
dhisattvas, and the red lotus signifies that one will attain re-
birth in a heaven of the gods. Here, the meanings of the lotus
LÖW, YEHUDAH BEN BETSALDEL OF
pass beyond ideas directly suggested by its colors and parts.
PRAGUE (1520?–1609), known by the acronym MaHa-
SEE ALSO Man:d:alas.
RaL (Morenu ha-Rav Leib, “our teacher Rabbi Löw”). Löw
was a Jewish teacher, preacher, and mystic, a social and reli-
BIBLIOGRAPHY
gious reformer, and a community leader in Poland, Bohe-
References in this article to the Nida¯yas are to the text edited by
mia, and Moravia.
the Pali Text Society.
In the course of his long, eventful, and often controver-
Anthes, Rudolf. “Mythology in Ancient Egypt.” In Mythologies of
sial life, Löw served as chief rabbi of Moravia, of Poznán in
the Ancient World, edited by Samuel Noah Kramer,
Poland, and of Prague. Celebrated as a wonder-worker in
pp. 15–92. Garden City, N. Y., 1961. A useful introduction
both Jewish and Czech legend, Löw was deeply immersed
and overview of Egyptian mythology and symbolism.
in rabbinic and qabbalistic tradition. His enormous literary
Blofeld, John. Bodhisattva of Compassion: The Mystical Tradition
output articulates a comprehensive although unsystematic
of Kuan Yin. Boulder, 1978. A study of the Chinese transfor-
mystical theology. His popularization of recondite qabbalis-
mation of the bodhisattva most closely associated with the
lotus.
tic notions establish him as a forerunner of Hasidism.
Bosch, F. D. K. The Golden Germ: An Introduction to Indian Sym-
In Löw’s epistemology, Jewish tradition, particularly
bolism. The Hague, 1960. This work studies the cosmic lotus
Jewish mystical tradition, is both the essential source of and
and the world tree; according to Bosch, Indian and Southeast
the only promising gateway to truth. Philosophical specula-
Asian artists envisioned the genesis and structure of the mac-
tion can merely offer what tradition has already established.
rocosm and the human microcosm through these symbols.
Löw sharply attacked the Jewish philosophical enterprise for
Coomaraswamy, Ananda K. Elements of Buddhist Iconography
its dependence on rational analysis and empirical observa-
(1935). New Delhi, 1972. Part 1 presents the symbolism of
tion, which he deemed epistemologically subordinate to tra-
the tree of life, the earth-lotus, and the word-wheel; part 2
dition in the quest for truth. Moreover, Löw considered phi-
treats the development of the lotus-throne in Buddhist art.
losophy faulty, predicated on assumptions considered
Ingalls, Daniel H. H., trans. An Anthology of Sanskrit Court Poetry:
anathema by tradition (e.g., the eternity of the world), and
Vidya¯kara’s “Subha¯s:itaratnako´sa.” Cambridge, Mass., 1965.
therefore potentially heretical in its conclusions. For Löw,
These poems show the mature development of Indian poetry
the higher truth of tradition measures the truth of philoso-
and literary symbolism.
phy; philosophy cannot evaluate tradition.
Ions, Veronica. Egyptian Mythology. Rev. ed. New York, 1983.
This is a splendidly illustrated, easily accessible introduction
In his discussion of the nature of the Torah, Löw used
to Egyptian symbolism.
a theory of complementary and contradictory opposites.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LOWIE, ROBERT H.
5521
Complementary opposites fulfill and complete one another.
used the blood of Christian children in religious rites). The
For example, male and female are incomplete when apart
golem legend seems to have influenced Mary Shelley in
and are individually complete only when they are both to-
the composition of Frankenstein, Goethe in the writing of
gether. Contradictory opposites conflict with one another
the Sorcerer’s Apprentice, and Karel C
ˇ apek in his drama
and cannot coexist unresolved. The conflict may, however,
R.U.R, in which the term robot was first coined. The golem
be resolved through a synthesis of the two opposing factors.
legend has been developed in contemporary literature in the
God and the world are such contradictory opposites. The
works of Halper Leivick, Max Brod, Gustav Meyrink, and
Torah represents a synthesis of the spiritual God and the ma-
Jorge Luis Borges, among others.
terial world and therefore effectively mediates between God
and the world.
BIBLIOGRAPHY
Most of Yehudah Löw’s works are contained in Kol sifrei Maharal
Utilizing a notion of “natural place,” Löw argued that
mi-Prag, 12 vols. (New York, 1969), and Gur Aryeh, 5 vols.
until the Jews are restored to the Land of Israel—their natu-
(Benei Beraq, 1972). Comprehensive works on Yehudah
ral place and origin—the world remains in disorder. This
Löw’s life and works are Ben Zion Bokser’s From the World
physical, geographic restoration will occur only in the messi-
of the Kabbalah: The Philosophy of Rabbi Judah Loew of
anic era after disturbances in the natural order have been rec-
Prague (New York, 1954) and both my Mystical Theology and
tified through a penultimate process of restoration. The goal
Social Dissent: The Life and Works of Judah Loew of Prague
of this process, according to Löw, is to restore the Jewish peo-
(London, 1982) and my The Golem Legend: Origins and Im-
ple to its proper and essential nature, thus fulfilling the nec-
plications (Lanham, Md., 1985).
essary conditions for the act of divine grace that will initiate
New Sources
the messianic era. Löw maintained that proper study and ob-
Jacobson, Yoram. “The Image of God as the Source of Man’s
servance of the Torah, which he felt were lacking in his time,
Evil, according to the Maharal of Prague.” Binah 3 (1994):
are necessary for the Jewish people to realize its essential na-
135–158.
ture. Therefore, this restoration process entails a reformation
Neher, André. Mishnato shel ha-Maharal mi-Prag. Jerusalem,
of Jewish life. These theological assumptions served as the
2003. (Translation of the French edition, Le puits de l’exil:
premise for Löw’s program of social and religious reform.
tradition et modernité: la pensée du Maharal de Prague [1512–
Most noteworthy in this regard are his plans for the reforma-
1609], 1991.)
tion of rabbinic leadership and Jewish education.
Winkler, Gershon. The Golem of Prague: A New Adaption of the
Documented Stories of the Golem of Prague. Illustrated by
Löw considered the poor rabbinic leadership and faulty
Yochanan Jones. New York, 1997.
education during his time as conditions vitally requiring rec-
tification. For Löw, the rabbi is to his community what the
BYRON L. SHERWIN (1987)
Revised Bibliography
heart is to the body. A rabbi was ideally a “saint-scholar”
serving on the authority of his scholarship and piety, rather
than a “political” figure, appointed and sustained through
the influence of secular government authority and account-
LOWIE, ROBERT H. (1883–1957), American an-
able to a board of Jewish laymen. Löw’s educational reforms
thropologist. Lowie was born in Vienna and emigrated to
included the intensified study of the Bible (neglected in his
New York in 1893. After graduation from City College with
day) and the restoration of study of the Mishnah as the basis
honors in classics and an interlude of public-school teaching
for subsequent studies in rabbinics, as opposed to the domi-
and additional training in science, he enrolled at Columbia
nant emphasis upon pilpul (hairsplitting dialectical reason-
for graduate study in anthropology under Franz Boas. His
ing). He advocated curricular reforms that correlated content
student cohort included Edward Sapir, Alexander Golden-
studied and methods utilized to the intellectual and psycho-
weiser, Frank Speck, and Paul Radin, all of whom were to
logical development of the student and he favored a com-
exert continuing influence on Lowie’s ideas and approach to
plete rejection of “secular” studies in the curriculum—a reac-
anthropology. Clark Wissler served as Lowie’s principal
tion to the Italian Jewish trend in response to the influence
fieldwork mentor and directed his formative research among
of the Renaissance, of including such studies in Jewish edu-
the Shoshoni and various Plains tribes. He obtained his doc-
cation. Löw called for reliance upon the entire scope of Jew-
torate in 1908 with a comparative dissertation, “The Test-
ish legal tradition rather than only upon legal codes in the
Theme in North America Mythology.”
process of decision making in matters of Jewish law and re-
While employed by the American Museum of Natural
jected contemporary trends that permitted socioeconomic
History (1907–1917), Lowie conducted extensive fieldwork
factors to intrude upon the processes of legal adjudication.
among the tribes of the Great Basin, the Southwest, and the
Löw is popularly identified with the Jewish legend of the
Plains, eventually focusing on the Crow Indians of Montana.
golem, an artificial man created by magical means. Those ver-
From this rich and varied data base he produced an impres-
sions of the legend that connect Löw with the golem, main-
sive corpus of detailed ethnographic writings.
tain that Löw created the golem to defend the Jews of Prague
After holding a visiting professorship in 1917–1918,
during pogroms related to a “blood libel” (a claim that Jews
Lowie received a permanent appointment at the University
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5522
LOYOLA, IGNATIUS
of California, where he remained for the rest of his academic
along with an acute modern appraisal of his theories, is sensi-
career. At Berkeley he proved a beloved teacher and an able
tively filled out in Robert F. Murphy’s Robert H. Lowie (New
administrator, and he broadened his theoretical horizons and
York, 1972), which also reprints some of Lowie’s articles, in-
range of ethnological expertise. In the 1930s he developed
cluding a posthumously published essay titled “Religion in
an interest from afar in the Ge-speaking Indians of eastern
Human Life.” Lowie’s major statement on religion, Primitive
Brazil, an interest that was expressed through his promotion
Religion, rev. ed. (New York, 1948), is summarized above.
The flavor of Lowie’s ethnographic description of religion
and translation of the valuable researches of Curt Nimuen-
can be sampled in his classic monograph, The Crow Indians
dajú. Near the end of his career Lowie studied complex socie-
(1935; reprint, New York, 1956), and in the chapter on reli-
ties and published two books on postfascist Germany.
gion in his popular survey Indians of the Plains (New York,
Lowie’s reputation rests primarily on his substantive
1954), reissued, with an introduction by Raymond J. De
Mallie, in 1982.
contributions to ethnography and to theoretical issues in kin-
ship and social organization, but he maintained an abiding
RAYMOND D. FOGELSON (1987)
interest in problems of religion. Although a freethinker, he
came to view religion sympathetically as a vital and perdur-
ing force in human culture and society. His approach to reli-
LOYOLA, IGNATIUS SEE IGNATIUS LOYOLA
gion was essentially psychological. Influenced by the work
of the German critical empiricist Ernst Mach (1838–1916),
Lowie felt it possible to reach objective analyses of such sub-
jective phenomena as magical thinking, symbolic associa-
LUBA RELIGION. The woodlands south of the Afri-
tions of meaning, and individual religious experience.
can equatorial forest have been the homeland of different
Lowie’s Primitive Religion (1924; rev. ed., 1948) is a
Luba tribes and subtribes since the first half of the first
loosely integrated composite treatment of the subject. In his
milennium, according to the latest archaeological evidence.
autobiography (1959), he comments that the book “met
The area stretches roughly from 5° to 10° south latitude and
with a cold reception and I doubt whether it has exerted any
from 22° to 29° east longitude. Most of the peoples living
influence.” Nevertheless, Primitive Religion repays careful
in this region of central Africa share certain cultural traits and
study as an exemplary document of the Boasian approach to
a more or less common language. In terms of political orga-
religion. After a cautious consideration of the problem of de-
nization, however, there are fundamental differences. Four
fining religion, Lowie plunges directly into particularistic
main groups can be distinguished according to political
ethnographic data by offering synthetic sketches of four trib-
structure. The political centerpiece of the entire region is the
al religions from different regions of the world. Next he of-
ancient Luba empire, situated west of the Kongo River be-
fers philosophically informed critiques of major anthropo-
tween the Lomami and Lualuba rivers. Political structure in
logical theories of religion, taking direct aim at E. B. Tylor,
the area of the Luba empire is based on the sacred authority
James G. Frazer, and Émile Durkheim. The final section of
of a paramount chief, an individual who is crucial to the sur-
the book comprises an uneven yet suggestive treatment of
vival of the people and success of the land. Several minor
such diverse topics as individual variability in religious mat-
kingdoms derived their structure from the central empire;
ters, religious movements, the role of women in religion, and
sometimes these kingdoms were vassals to the larger Luba
relations of religion to art and economics.
state. The second group in terms of political structure is best
represented by the matrilineal Hemba-speaking groups east
Lowie’s main legacy to the study of religion consists in
of the Lualuba. The Luba Hemba, the most important of the
his own rich corpus of field materials and his critical assess-
Hemba-speaking groups, were part of the central Luba em-
ments of the theories of others. His significance lies in the
pire (at least temporarily) and pretended to derive their polit-
questions he posed rather than in any synthesis he achieved.
ical institutions from the central royal court. The third group
is composed of the western Luba groups that lack overriding
BIBLIOGRAPHY
political authority: the Luba Kasai, the Bene Luluwa, and the
Details of Lowie’s life and work are readily available in his enter-
Bakwa Luntu. In contrast to the central and eastern groups,
taining autobiography, Robert H. Lowie, Ethnologist: A Per-
the western Luba peoples constitute a strict segmentary soci-
sonal Record (Berkeley, 1959). This volume contains his vita,
ety. The fourth group, known as the Luba Songye, lives in
outlining his professional career and listing the many honors
big, well-organized villages on the southern fringe of the for-
he received, as well as a nearly complete bibliography of his
est, north of the central empire. Although the Songye and
many publications. A representative collection of Lowie’s ar-
the central Luba have clearly influenced each other, when the
ticles, including some of his more technical essays on myth,
Songye reached the peak of their power as allies of the Swahi-
ceremonialism, and comparative religious ethnology, can be
found in Lowie’s Selected Papers in Anthropology, edited by
li ivory and slave traders coming inland from Zanzibar in the
Cora DuBois (Berkeley, 1960); DuBois’s introductory essay
nineteenth century, they liked to entertain a sense of superi-
lends valuable perspectives on his work, and the volume con-
ority toward the other Luba groups. All of the Luba peoples
tains a fascinatingly detailed syllabus for a graduate seminar
believe in a more or less common origin, more for the sake
that Lowie led on his own work. The biographical picture,
of prestige than on historical grounds.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LUBA RELIGION
5523
LUBA CONCEPTS OF BODY AND SOUL. The Luba concept of
it gives rise to sexual taboos and the avoidance of physical
the human being provides an excellent vantage point for un-
contact in certain situations; it also leads to the belief that
derstanding their religious worldview. Basically the Luba be-
a blessing can be bestowed by touching a person or that the
lieve that each human being (muntu) has a single essence.
power of the soul can be depleted by coming into contact
However, this essence has many manifestations. For in-
with ill-intentioned people.
stance, empirical reality is the manifestation of a deeper level
The unity between humans and their environment
of being that is tied to the Luba concept of spirit (vidye). The
manifests itself in a much more complicated way in the pat-
essential part of each human being is the life shadow (umvwe
terns of dependence within the human community. The re-
wa bumi), the soul (that is, the seat of thinking and feeling).
lationship between father and son or mother and daughter
The distinction between physical and spiritual reality, or
seems to be a universal model to express the essence of most
body (umbidi) and soul (muja), is also fundamental to the
relationships (whether the society is matrilineal or patrilineal,
Luba vision of reality as such. According to circumstances
the same parent model is used—that of initiator and initi-
and context, a person’s inner spiritual reality, which shows
ate). Among the Luba, the chief is seen as the father of his
through external appearances and constitutes the human
subjects. The parents are spirits in relation to their children
being, can be symbolized in various ways: shadow, life
while the husband is the wife’s spirit as well. The social fabric
breath, blood, voice, and so on. The two elements (body and
is rooted in this unified spiritual interdependence. Vital ties
soul for the sake of simplicity) are interdependent. Whoever
between members of the community not only support the
destroys the body also destroys the soul—that is, weakens the
essential institution of the social group, that is, the lineage:
whole person until finally the soul departs. Anyone who de-
they are the real substance of group dynamism, group re-
stroys the soul—for example, by casting a spell—at the same
straint, and group cohesion.
time attacks the physical person of the victim. However,
there is no special link between body and soul. A slight parti-
WORLDS OF THE LIVING AND THE DEAD. The Luba believe
cle of bodily matter can be sufficient to support and transfer
that when people die they go to the invisible world of the
the soul without endangering the life force of the person con-
dead. This world of the shades, located under the earth, is
cerned. If an individual seeks to kill his neighbor and is suc-
structured according to the world of the living. There the
cessful in forcing his neighbor’s soul to leave its bodily abode,
dead live as they did on earth: in family groups, in villages,
the neighbor’s life is endangered. However, if the same indi-
with forests and gardens and so on. From the world of the
vidual performs the same ritual with the intention of protect-
dead, the ancestors watch over their children, contacting the
ing his neighbor’s life against attacks by evildoers, then the
living through dreams, in divination sessions, and by making
neighbor will feel safe and his life will flourish. The outcome
all sorts of strange and unusual things happen. The dead
depends upon the intention of the ritual performer. The
come back to the world of the living, giving their names to
Luba conception of a human being as a dual entity, coupled
newborn children. The Luba Songye are unique in that they
with changing modes of interpreting how the body relates
believe in the transmigration of the soul. This soul “seems
to the soul, leads to a wide variety of symbolizations. Hence
normally to return three times to earth in a human body and
one hears of hiding a soul in the bush for protection or tying
the fourth time in the body of an animal before it goes to
up a soul in the bush to destroy a person or transferring the
Efile Mukulu to remain indefinitely” (Merriam, p. 298).
soul of an enemy into the body of an animal so that this per-
The dead constantly interact with the living. Their atti-
son starts acting like an animal. The soul of a person who
tude toward their descendants is ambiguous. The living must
dies in a modern city can be buried in ancestral ground by
remember the dead and honor them through the perfor-
transferring some hair, nail clippings, or some other particle
mance of rituals because the survival of the dead depends on
from the dead body to the village.
the devotion of their relatives. If their descendants neglect
to show filial piety, the dead will withhold their favor and
UNITY OF SPIRITUAL AND PHYSICAL WORLDS. Anything be-
show their anger by causing crop failures, disease, bad
longing to the body or having been in contact with it can
dreams, and evil omens. Of course, the duty to remember
be used as a reduced and sufficient support for the soul. But
bears most directly upon recently deceased lineage members
conversely, any form of intimate contact with the body im-
(deceased parents or grandparents). Those people who have
pregnates an object, piece of clothing, tool, or utensil with
died in the more distant past are referred to as a collectivity
that person’s spiritual reality. Getting hold of any such ele-
under the vague title ancestors; among this group, only the
ment gives a person power over the owner of the object. De-
most important people and former political leaders are di-
stroying such an object with the intention of harming its
rectly named.
owner represents a direct attack against the owner’s life.
Property, land, crops, dust sticking to a person’s body, any-
Beyond the world of human involvement, the Luba
thing associated with the physical reality of a person is
have an almost innate idea of the world as a unified whole;
stamped with the owner’s personal being. The dirt on a road
transcending the various Luba representations of human in-
retains something vital of the people walking over it. A gift
stitutions is the idea of a creator god. There is only one cre-
is always more than a simple transfer of material objects. This
ator god and he made this one world, man and woman, and
view of reality has a wide range of applications. Principally,
nature and all it contains, including the curative qualities 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
5524
LUBA RELIGION
herbs and roots. The creator owns all the world—all the
created things, just as humans communicate something of
countries, as the Luba say. The human species is one and so
themselves to the things they create and manipulate. To
the human mind is one; it transcends empirical reality. From
know the name and the inner life force of things, so as
whatever angle the Luba look at their world, they always end
to be able to use them safely for the good of humanity, is
up, from perception to perception, at the concept of a uni-
to know medicine or witchcraft, that is, power based on
versal. When the Luba declare, time and again, that vidye
knowledge and creative skills. For the central Luba, God is
udiko (spirit does exist), they mean exactly that: spirit tran-
Shamanwa (the father of skills). Sorcery—using the forces
scends and founds all other reality and, above all, the reality
hidden in things with an evil intention to kill people or de-
of the ancestors. God is not a sublimation of the idea of the
stroy things—is bad. Just as people mold their world by the
ancestors; on the contrary, the ancestors can exist only be-
power of their words and through the skills of their hands,
cause there was first the concept of a creator god. In the old
so too they try to master the invisible life force behind all ma-
stereotyped prayers God is always the father of all and every-
terial appearances. They try to get on top of this invisible re-
thing, the one “who carved the fingers in our hands” (or a
ality, the hidden forces, to mold them into visible material
similar praise-name is used).
forms. They give them names and animal or human figures
C
to bring them within the reach of the human imagination,
REATOR GOD. Human life can only be conceived of as a
part of a universal concept of an absolute. The Luba call this
vision, and language. They carve them into stone or wooden
absolute Vidye, Mvidie, Efile Mukulu, Maweja, or Mulopo.
statues and so doing, give them individuality, so that they
Usually they use these names in combination with one or
may be talked to, aroused, praised, or even cursed. The world
more of the praise names that are so abundant in Luba
of medicine, amulets, and other ritual objects is the link be-
prayers and invocations. Although God is ever present in the
tween spiritual realities and the empirical world.
back of their minds as the great creator spirit, the Luba do
RITUAL LIFE. Ritual activities such as prayers, invocations,
not have shrines where prayers or sacrifices can be offered to
and offerings can be performed by individuals or by officials.
God. God is in no place—God is everywhere. Wherever
Officials derive their ability to officiate from their function
there is power, there is spirit; be it a mighty tree or a thunder-
and position in the group (e.g., head of the household, lead-
ing waterfall, the Luba will say here is spirit. From consulting
ing elder of a lineage, head of a village) or from a special initi-
the dead in divination to the ancient poison ordeal, from
ation as a diviner and traditional healer. The prophetic type
chasing the rain to stopping the sun from setting, there is one
of performer takes over from the official one at particular oc-
vision at work. Mythic language gives this visible world its
casions for a variety of reasons: divination, healing, the
true dimension.
cleansing of defiled persons or villages, and so on. These ritu-
It is not as if there was a fundamental opposition be-
al actions take place when the dead interfere with the living
tween ancestors, lineage founders, and political institutions
by claiming attention or demanding to be consulted; rituals
on the one hand and the creator god on the other. Worship
can also be required because the ancestors want to be hon-
of the ancestors or lesser spirits does not mean that the cre-
ored through prayer and sacrifice.
ator god is consigned to oblivion. Indeed, the ancestors,
The main characteristic of the duly initiated traditional
whatever their status and function, are linked to the supreme
healer is spirit possession accompanied by prophetic utter-
being; they are sons of the spirit. Their lives continue to be
ances. Diviners and traditional healers constitute a kind of
the existential feeding ground of the living generations. They
informal guild, one initiating the other, but this guild should
are heroes, mediators between God and their descendants.
not be confused with the secret societies that formerly were
At the beginning God worked through agents known as cul-
abundant in Lubaland. Spirit possession usually occurs at
ture heroes who received responsibility for certain domains.
shrines. The shrines themselves consist of tiny huts contain-
These towering figures are the focus of myths and legends.
ing different kinds of receptacles in which simple objects,
The distinction between culture heroes and ancestors is not
symbolizing the presence of the spirit during rituals, are
always very clear. The Songye developed a well-defined trick-
placed. Sometimes the shrine is a tree planted to honor an
ster figure in Kafilefile, God’s opponent from the beginning.
ancestor. Ritual objects, usually receptacles of medicine, can
Elsewhere the trickster figure took on less dramatic features.
also be placed at the entrance of a village (e.g., hunting spir-
MEDICINE, WITCHCRAFT, SORCERY. The Luba believe in a
its) or can be hidden together with special medicine under
general spiritual force that pervades all nature. Here again,
the roof of the main hut. A man’s principal wife will then
the Songye take an outspoken leading position: “Efile
be entrusted with the keeping of the sacred objects. At cer-
Mukulu is considered to exist in everything, and to be every-
tain times standardized rituals take place: first-fruit rituals,
thing, and thus everything is a part of Efile Mukulu” (Mer-
fertility rituals at the full moon, rites of passage, burial, and
riam, p. 297). This concept might not be as clearly phrased
so on. Luba traditional religion forms a well-balanced whole
by other groups, but the idea that a shadow or soul operates
in which the living and the dead can find peace and rest from
in everything is present in all Luba thought. This hidden
the anxieties of human existence and through which the
force is created by God himself in the works of God’s own
Luba find themselves inserted into the universal world of re-
hands. It is as if God left something of his own being in all
ligious quest and spiritual concern.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LUDI SAECULARES
5525
BIBLIOGRAPHY
LUBAVITCH SEE HASIDISM, ARTICLE ON
Burton, W. F. P. “Luba Religion and Magic in Custom and Be-
HABAD HASIDISM
lief.” Annales du Musée Royal de l’Afrique Centrale, Sciences
Humaines, vol. 8, no. 35. Tervuren, Belgium, 1961. Written
by a member of the Congo Garanganze Mission after many
years of living and traveling among the central Luba.
LUCK SEE CHANCE
Colle, R. P. Les Baluba. 2 vols. Collection de Monographies Eth-
nographiques, vol. 10. Brussels, Belgium, 1913. Also written
by a missionary. Still one of the basic sources, especially for
LUDI SAECULARES, the centennial games of ancient
the Luba Hemba.
Rome, were rites celebrated in fulfillment of a vow pro-
Göhring, Heinz. BaLuba: Studien zur Selbstzuordnung und Her-
nounced at the beginning of the previous saeculum. Because
rschaftsstruktur der baLuba. Studia Ethnologica, vol. 1.
a saeculum, in the wider sense of the term, was a period of
Meisenheim am Glan, Germany, 1970. A wonderful synthe-
time longer than the longest human life, no one could attend
sis; a scholarly work offering with an extensive bibliography;
the games twice. It seems that initially the games went on
the indispensable introduction to any further research.
for three nights; in any case, from the time of Augustus on-
ward they lasted three days and three nights and were held,
Merriam, Alan P. “Death and the Religious Philosophy of the Ba-
songye.” Antioch Review 21 (Fall 1961): 293–304. Excellent.
in principle, every 100 or 110 years, depending on the com-
putation. The functioning and arrangement of this festival
Mukenge, Leonard. “Croyances religieuses et structures socio-
changed in the course of time, but its purpose remained the
familiales en société luba: ‘Buena Muntu,’ ‘Bakishi,’ ‘Mi-
same: to purify the res publica at the beginning of a new era,
lambu.’” Cahiers économiques et sociaux 5 (March 1967):
by putting a hopeful end to a given period of time.
6–94. The thèse de license of a Luba student at the Lovani-
um University (now Unaza). Outstanding.
We do not know how far back the centennial games go.
The ancients, followed by some modern scholars, sometimes
Reefe, Thomas Q. The Rainbow and the Kings: A History of the
claimed an early date: the fifth century
Luba Empire to 1891. Berkeley, Calif., 1981. Essential to any
BCE; it is certain at
further study of Luba culture. Outstanding.
any rate that centennial games were celebrated in 249 BCE
at the urging of the Sibylline Books; these games included
Theuws, J. A. (Th.). “De Luba-mens.” Annales du Musée Royal de
nocturnal sacrifices in honor of Dis Pater (god of the under-
l’Afrique Centrale, Sciences Humaines, vol. 8, no. 38. Ter-
world) and Proserpina, to which were added chariot races.
vuren, Belgium, 1962. Göhring called this work by a mis-
It may be, however, that in one or another manner these
sionary an “intuitive synthesis.” The information is based on
games replaced a cult of the Valerian gens, which clearly was
prolonged field research in central Lubaland.
of greater antiquity but was celebrated on the same site as
van Caeneghem, P. R. La notion de Dieu chez les BaLuba du Kasai.
the centennial games: in the Campus Martius (Field of
Memoires de l’Académie Royale des Sciences Coloniales, Classe
Mars), near the Tiber River, level with the modern Ponte
des Sciences Morales et Politques, vol. 9, fasc. 2. Brussels, Bel-
Vittorio Emmanuele, in that part of the Field of Mars known
gium, 1956. The best work of a missionary priest who lived
as the Tarentum (though the connection with the Tarentum
for years among the Luba Kasai.
is doubtful).
van Overbergh, Cyrille. Sociologie descriptive: Les Basonge. Collec-
At the beginning of the reign of Augustus, in 17 BCE,
tion de Monographies Ethnographiques, no. 3. Brussels, Bel-
centennial games were celebrated with great pomp in order
gium, 1908. Based on early reports of travelers and civil ser-
vice members. Still worthwhile.
to mark the end of a period of destruction and bloodshed
and the beginning of a golden age. It was in the form the
Verhulpen, Edmond. Baluba et Balubaïsés du Katanga. Anvers,
games acquired at this time that they were subsequently cele-
Belgium, 1936. A detailed study of Luba groups by a former
brated in 88 and 204 CE. (A parallel series of festivities was
civil service member. As a first orientation, the administrative
held on April 21 of the years 248, 147, and 47 BCE to com-
information is still useful.
memorate the centenaries of the foundation of Rome; the
New Sources
rites were simpler but also went by the name of centennial
Kalulambi Pongo, Martin. Etre Luba au XXè Siècle: Identité Chré-
games.) The new liturgy comprised a complex series of noc-
tienne et Ethnicité au Congo-Kinshasa. Paris, 1997.
turnal and diurnal rites. The nocturnal rites, which opened
each day’s festival after midnight and were regarded as a pro-
Mudimbe, V. Y. Parables and Fables: Exegesis, Textuality, and Poli-
tics in Central Africa. Madison, Wis., 1991.
longation of the games of antiquity, marked the close of the
preceding century with a sacrifice to the Fates (June 1), the
Petit, Pierre. “Hunters, Mediums and Chiefs: Variations on the
Ilithyiae, goddesses of childbirth (June 2), and Mother Earth
Theme of the Luba Ritual Object” in Mireille Holsbeke, ed.
(June 3). The daytime sacrifices were offered to Jupiter Opti-
The Object as Mediator: On the Transcendental Meaning of
mus Maximus (June 1, on the Capitoline), Juno Regina
Art in Traditional Cultures. Antwerp, Belgium, 1996.
(June 2, on the Capitoline), and Apollo and Diana (June 3,
J. A. THEUWS (1987)
on the Palatine). During the three nights, after the sacrifices,
Revised Bibliography
sellisternia or religious banquets were celebrated on the Capi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5526
LUGBARA RELIGION
toline in honor of Juno and Diana; 110 matrons of senatorial
keep some cattle and other livestock. Their land is about
and knightly rank took part, and then plays were presented
4,000 feet above sea level, well watered and fertile, with a
on the Campus near the Tiber. During the daytime these
population density of over two hundred people to the square
plays were continued from June 1 to 3 after the sacrifices to
mile in the central areas. The Lugbara have a politically un-
Apollo and Diana; other plays were added, known as Latin
centralized society in which traditional authority is held by
plays, and there were more banquets in honor of Juno and
the elders of small patrilineal lineages. Such lineages are the
Diana. The climax of the entire festival came on the third
bases of local settlements and are linked into a segmentary
day after the sacrifice to Apollo and Diana: 27 boys and 27
lineage system of the classic kind. Above the elders, ritual and
girls of senatorial rank, whose fathers and mothers were still
political authority is exercised by rainmakers, one to each
living, recited a Carmen saeculare on the Palatine and the
clan, and occasionally by prophets. Since colonial rule was
Capitoline (the centennial ode for 17 BCE was composed by
established by the Belgians in 1900 and the British in 1914,
Horace). After the celebration of the banquets and other
there have been administrative chiefs and headmen, but these
rites, the plays ended, and chariot races, held in a temporary
stand very much outside the religious system. Catholic Vero-
arena, brought the liturgy proper to an end.
na Fathers and the Protestant African Inland Mission have
Along with the festivals of the Arval Brothers, the cen-
been active since World War I and have had considerable
tennial games of the emperors Augustus and Septimius Seve-
success in education and conversion; there are relatively few
rus (193–211) are the Roman religious liturgies best known
Muslims. In the 1950s, when the main anthropological re-
to us, thanks to the discovery of extensive records in epi-
search was carried out, the mass of the people adhered to the
graphic form.
traditional religion. Since then this situation may have
changed, due mainly to the political upheavals and popula-
BIBLIOGRAPHY
tion movements under presidents Amin and Obote: the tra-
Brind’amour, P. “L’origine des jeux séculaires.” In Aufstieg und
ditional lineage system has been severely weakened, and the
Niedergang der römischen Welt, vol. 2.16.2, pp. 1334–1417.
cults associated with it have lost their importance.
Berlin and New York, 1978.
Gagé, Jean. Recherches sur les jeux séculaires. Paris, 1934.
MYTH. The Lugbara have a corpus of myth that tells of the
creation of the world and the formation of their society. One
Pighi, Giovanni Battista. De ludis saecularibus populi Romani
Quiritium libri sex. 2d ed. Amsterdam, 1965.
myth tells that at the beginning humans dwelt and conversed
with the Deity in the sky, coming daily down a rope or tower
New Sources
to farm; a woman who was hoeing cut it down, and since
Altheim, Franz. “Poetry and Cult: The Secular Hymn of Horace.”
then people have lived on earth, ignorant of divine will and
In A History of Roman Religion, translated by H. Mattingly,
pp. 394–407. London, 1938.
subject to change and death. Another myth states that the
Deity (Adroa—the diminutive form of the word adro, con-
Gagé, Jean. La reforme apollinienne des jeux et le chant séculaire
notating his distance from humankind, not lack of power)
d’Horace; l’achèvement suprème du ‘ritus graecus’ à Rome des
origines à Auguste. Paris, 1956. See pages 629–637.
created a man and a woman far to the north. The woman
was created pregnant and gave birth to animals and to a son
Guittard, Charles. “Les prières dans la célébration des jeux
and a daughter. This sibling pair gave birth to another, and
séculaires augustéens.” In Dieux, fêtes, sacré dans la Grèce et
la Rome antiques, edited by André Motte and Charles M.
several such generations followed. Each is credited with the
Ternes, pp. 205–215. Turnhout, 2003.
invention of processes of transformation of natural products
into domestic ones: smithing, potmaking, hunting, and so
Pavis d’Escurac, Henriette. “Siècle et Jeux Séculaires.” Ktèma 18
(1993): 79–89.
on. Finally there were born two sons, the culture heroes who
formed society as it ideally is today. Each of the two culture
Poe, Joe Park. “The Secular Games, the Aventine, and the
Pomerium.” Classical Antiquity 3 (1984): 57–81.
heroes hunted with his sons, killing and eating a son each
day; this filial cannibalism led to their expulsion, and each
Schnegg-Köhler, Bärbel. Die augusteischen Säkularspiele. Munich
hero (accompanied by a sister’s son and a bull) was com-
and Leipzig, 2002 (a monographic issue of Archiv für Reli-
gionsgeschichte, 4).
pelled to cross the Nile and to go to the mountains in the
middle of the country. There the two heroes hunted and
JOHN SCHEID (1987)
killed buffalo but lacked fire to cook the meat. Each hero
Translated from French by Matthew J. O’Connell
Revised Bibliography
then descended to the plains and found there a leper woman
with fire. After cooking and eating the meat, each hero cured
one of the leper women (thus making her physically com-
plete) and impregnated her. The armed brothers of the leper
LUGBARA RELIGION. The Lugbara are a Sudanic-
women forced the heroes to marry the women and provide
speaking people of northwestern Uganda and the northeast-
cattle bridewealth. Each hero eventually did the same with
ern portion of the Democratic Republic of the Congo, cul-
some thirty women, whose sons were the founders of the
turally related to the Azande and Mangbetu to the north-
present sixty or so clans. The heroes then retired to their
west. They are largely peasant farmers who grow grains and
mountains and died.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LUGBARA RELIGION
5527
The myth explains the existence of social groups and
tions they are moved outside, a sign that their incumbents
settlements, of marriage and the legitimacy of offspring, and
have merged spiritually with the Deity. The forms, distribu-
of feuds (the traditional basis for the maintenance of social
tion, and details of oblation with regard to these many
order). The preheroic period is timeless, asocial, amoral, and
shrines cannot be given here.
marked by lack of order and authority; the postheroic period,
structured by the passing of time, is both social and moral,
Sacrifice at the ghost shrines is part of the process by
with order maintained by genealogically sanctioned authori-
which lineage authority is exercised by the elders. Hence, it
ty. The periods are bridged by the heroic mediators. The
lies at the heart of the maintenance of social order within the
same pattern may be seen in spatial terms, with related lin-
community. Sacrifice follows on the invocation of the ghosts.
eages in a settlement’s neighborhood, then a belt of people
It is believed that an elder whose authority is flouted by a
feared as magicians, and beyond them an amoral wilderness
dependent sits near the shrines in his compound and ponders
of strange, incestuous, and cannibalistic people. The myths
the offense; the ghosts hear him and decide to send sickness
explain the form of society, its relationship with the Deity,
to the offender to show him the error of his behavior; the
and the distinction that runs through Lugbara cosmology be-
offender then falls sick; the elder consults oracles that state
tween the inside of home and settlement and the outside of
which ghost is responsible and what oblation is demanded.
the bushland, where spirits and other manifestations of the
In actuality a person falls sick and the process only then be-
extrahuman power of the Deity dwell. Lugbara ritual is con-
gins. If the patient recovers, then a sacrifice is made (if he
cerned essentially with the maintenance of the boundary be-
or she dies, then the Deity is responsible and nothing can
tween these two moral spheres.
be done). The animal (ox, sheep, goat, or fowl) is consecrated
and slaughtered. Part of the meat and blood is placed in the
SACRIFICE TO THE DEAD AND SPIRITS. Sacrifice is not made
shrines; part is cooked and eaten later by the congregation.
to the Deity. The central cult is that of the dead, who are
Some of the cooked meat is divided and taken home by the
considered senior members of their lineages and who bridge
members of the congregation, who are members of lineages
the main cosmological boundary. The Lugbara concept of
that share the same ghosts. The elder and others concerned
the person is important here. Men are considered persons
discuss the case until a consensus has been reached that the
of the home and women things of the bushland, having the
original offense or dispute has been settled and atoned; they
potentially dangerous power of procreation that links them
bless the patient with their breath and spittle, and the assem-
with the Deity. A person is composed of physical elements
bled kin, seated by generation and so representing the unity
such as body and blood and the mystical ones of soul, spirit,
of normally competitive lineages, consume the cooked meat
and influence. Only men have souls (orindi), the seat of lin-
and beer. The stated purpose of this rite is to purify the
eage authority, although those women born first of a set of
home, to remove conflict and ensure unity and continuity.
siblings may have souls when they grow old; both men and
Sacrifice is also made, usually on behalf of junior kin, to the
women have spirit (adro), the seat of idiosyncratic and anti-
collectivity of lineage ancestors and to matrilateral ancestors.
social behavior; and both have tali, the seat of influence
gained over others. At death the soul goes to the deity in the
Offerings are also made to many kinds of spirits (adro),
sky and may later be redomesticated by a diviner as a ghost
invisible powers that are of a different order of existence than
(ori) as well as an ancestor (a Dbi). Only the heads of lineage
that of humans. Such spirits are beyond the understanding
segments who leave sons are usually made into ghosts; others
or control of normal people. Spirits are held to be innumera-
join a collectivity of ancestors. The spirit goes to the bush-
ble. At one time or another, some are attached to prophets;
land, where it dwells with the immanent and evil aspect of
others represent expressions of divine power (lightning,
the Deity (Adro); the tali merges with a collectivity of tali.
winds). All have as a central attribute the ability to possess
a living person and to make the victim tremble or shake, a
Death is marked by elaborate mortuary rites, which are
condition curable only by a diviner. Initial communication
the only important rites of transition. The corpse is buried
with a spirit is by its possession of a living person; almost all
and dances are held at which men of lineages related to the
cases are of women, in particular those in an ambiguous
deceased dance competitively and aggressively to demon-
moral situation (such as that of a persistently barren wife).
strate their relative seniority within the total lineage struc-
The possessed woman consults a diviner to discover the iden-
ture. When death occurs, it is said that disorder has entered
tity of the offended spirit, then places a small shrine for it
the community, and clan incest is permitted as a sign of this
where she periodically makes offerings of grain and milk.
disorder; after a certain period has elapsed, order is reestab-
There are no spirit cults as such; offerings are only made by
lished by more dances and the distribution of food and
individuals.
arrows.
DIVINATION. The need for the living to know the identity
Ghosts are given individual shrines (in the shape of min-
of the dead and the spirits with whom they come into con-
iature huts) where they may be offered sacrifices; other patri-
tact requires divination. There are several kinds of oracles
lineal ancestors have collective shrines; and there are shrines
and diviners. Oracles, operated by men in the public space
for matrilateral ancestors. The ghost shrines for the recently
of the open air, consist essentially of material artifacts that
dead are located in the compound, but after a few genera-
select names put to them by those consulting them. Diviners
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5528
LUGH
are postmenopausal or barren women, who divine under
elders for his help in removing further epidemics and Euro-
possession in the darkness of their huts with only the client
peans. He established a cult known as Dede (grandmother,
present. They confirm the identity of a spirit or of a witch
as it protected people) or Yakan (from the root ya, to make
or sorcerer (which oracles cannot do) and also redomesticate
tremble). Adherents drank water from a sacred pool in which
the soul when it has gone outside of the social realm to live
dwelt the power of the Deity; this would drive away the Eu-
with the Deity in the sky. Their power is thought to come
ropeans and bring back ancestors and dead cattle. Members
directly from the Deity and is feared as being spiritual and
of the cult attempted to establish a new egalitarian commu-
dangerous.
nity and no longer recognized differences of descent, age, or
sex. After the threat of revolt Rembe was deported by the
EVIL. Evil is represented as the work of harmful human be-
British colonial authorities and hanged in the Sudan. Today
ings assumed to be witches and sorcerers. Using the classic
he is still remembered and given mythopoeic attributes of sa-
distinction made for the Azande by Evans-Pritchard, witches
credness and inversion, and it is said that he can never die
are believed to harm others by an innate mystical power;
and will one day return.
among the Lugbara they are older men who bewitch their
own kin because of envy or anger. Sorcerers use material ob-
jects or medicines, and among the Lugbara they are women
BIBLIOGRAPHY
and young men who lack the authority that witches have to
Middleton, John. Lugbara Religion: Religion and Authority among
an East African People. New ed., Oxford, England, 1999.
pervert power for their own ends; because of this lack, sorcer-
ers must turn to material means (including both poisons and
JOHN MIDDLETON (1987)
nonpoisonous objects). Sorcerers are especially held to be
Revised Bibliography
women who are jealous of their co-wives. Both witches and
sorcerers are believed to cause sudden and painful sicknesses,
and their identities may be discovered by diviners who can
also cure the affliction, usually by sucking its essence from
LUGH. The pagan Irish deity Lugh (Shining One)—the
the victim’s body. Whereas witchcraft is traditional and, al-
model of kingly leadership and master of all arts and crafts—
though evil, not particularly morally reprehensible (since the
corresponds to the Gaulish god Lugus as well as to the Welsh
witch merely has the innate power and may not always be
Llew Llaw Gyffes. Lugus—who had widely scattered sites
able to control it), sorcery is seen as a modern phenomenon
dedicated to him, from Loudun and Laon in France, and
and an abomination because it is deliberate and malign in
Leiden in Netherlands (from Lugu-dunum, or fort of Lugus)
its purpose.
to Carlisle in Britain—is taken to be the Gaulish Mercury
whom Julius Caesar identifies as the god most worshipped
RAINMAKERS AND PROPHETS. Each subclan has one rain-
by the Gauls, a patron of prosperity and inventor of all the
maker, the senior man of the senior descent line. He is be-
arts. Both Lugh and Lugus were honored on or near August
lieved to be able to control the rainfall by manipulating rain
1, the beginning of the harvest quarter. Celebration of Lugh-
stones kept in a pot buried in his rain grove. In the past he
nasa, the August festival honoring Lugh in Ireland, may have
was expected to end interlineage feuds by cursing the antago-
commemorated his symbolic ritual marriage to the land of
nists with impotence if they crossed a line drawn by him be-
Ireland. It included fairs and assemblies; hilltop gatherings;
tween their territories. He tells his community the times for
the first meal from the new crops; games and trials of
planting and harvesting. And he is thought to be able to end
strength; and horse racing. Traditions about Lugh may have
epidemics and famines by beseeching the Deity. In brief, he
survived in legends of the many Irish saints with the names
is able to regulate the rain that links sky and earth, to control
Lugh or Lughaidh, as well as in legends about Saint Patrick,
the fertility of human beings and of crops, to mark territorial
and early sites associated with his cult may have become asso-
and moral space, and to establish the orderly passage of time.
ciated with these Christian saints.
He is held to be a repository of some of the secret truth and
knowledge of cosmic categories held by the Deity. A rain-
In the detailed picture of the Irish gods and their society
maker is symbolically buried at his initiation by other rain-
found in The Second Battle of Mag Tuired, a text that includes
makers, and later, at his actual death, he is buried silently at
language from as early as the ninth century, Lugh appears
night in a manner opposite to that of ordinary people.
among the gods (called the Tuatha Dé Danann) as the
unique practitioner of all the arts (samildánach, meaning
Prophets have appeared among the Lugbara on rare oc-
skilled in many arts together). When Lugh arrives, the
casions, as emissaries of the Deity with a message to reform
Tuatha Dé are anticipating an attack by the supernatural
society in the face of disasters. The most famous was Rembe,
Fomhoire, who are trying to restore the reign of Bres, whose
a man of the neighboring Kakwa people. In the 1890s the
greed and incompetence forced him to leave Ireland. Bres is
Lugbara approached Rembe requesting that he give them a
the son of the Fomhorian king Elatha and of Ériu (Ireland),
sacred water. This water was intended to remove the epidem-
a woman of the Tuatha Dé. When his misdeeds drive him
ics that were killing both humans and cattle, as well as the
from his kingship of the Tuatha Dé, Bres flees to his father’s
Arabs and Europeans who were entering the region at the
people, the Fomhoire, to gather an army. In response, the
same time. In 1916 Rembe entered Lugbaraland, called by
Tuatha Dé invite Lugh to lead their defense. Lugh is 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
LUKE THE EVANGELIST
5529
half-Fomhorian, but on his mother’s side: Eithne, daughter
BIBLIOGRAPHY
of Balar was given in marriage to Cian, son of the divine phy-
Gray, Elizabeth A., ed. Cath Maige Tuired: The Second Battle of
sician Dian Cécht, to form an alliance between the two
Mag Tuired. Naas, Ireland, 1982. Provides text and transla-
peoples.
tion; contains extensive indices of references to the Tuatha
Dé Danann and Fomhoire in early and later medieval Irish
Asking what contribution each god will make to the bat-
literature.
tle, Lugh coordinates the work of the tribe’s professionals
Gray, Elizabeth A. “Lug and Cú Chulainn: King and Warrior,
and artisans—from weapon makers to physicians, druids,
God and Man.” Studia Celtica 24/25 (1989–1990): 38–52.
and witches—making the tribe stronger through collabora-
Explores key facets of the mythological dossier of Lugh and
tive effort. A master strategist, Lugh sends Eochaidh Ol-
his heroic offspring.
lathair, called the Daghdha (the Good God), to the Fom-
Mac Cana, Proinsias. Celtic Mythology. New York, 1970. Succinct,
horian camp to arrange a truce until Samhain (November 1),
authoritative, and comprehensive survey, extensively illus-
the beginning of winter and the start of the Celtic new year,
trated with photographs of significant items of Celtic materi-
so that the timing of the conflict will be favorable to the
al culture; includes chapters on the Tuatha Dé Danann and
on the Irish heroic tradition.
Tuatha Dé. Once the battle begins, Lugh’s skill at arms tips
the balance in favor of the Tuatha Dé. He defeats his Fom-
MacNeill, Máire. The Festival of Lughnasa: A Study of the Survival
horian grandfather Balar in single combat and deprives the
of the Celtic Festival of the Beginning of the Harvest. 2 vols.
Dublin, 1982. Provides an extensive discussion of both
Fomhoire of their greatest weapon, the magical power of
learned and popular literary sources related to Lugh and
Balar’s baleful eye. Lugh assumes the responsibilities of a
details folk customs associated with the celebration of
king after Bres’s successor Nuadhu is slain, and he arranges
Lughnasa.
the peace treaty between the two peoples. Lugh’s bargain for
Rees, Alwyn, and Brinley Rees. Celtic Heritage: Ancient Tradition
the life of the Fomhorian poet Loch wards off Fomhorian
in Ireland and Wales. London, 1961. Far-reaching and ahead
aggression forever, and Lugh’s decision to spare the captured
of its time; explores the range of Celtic mythic tradition in
Bres brings the Tuatha Dé knowledge of the most favorable
the Indo-European context, including reference to the work
days in the agricultural cycle: when to plant, when to sow,
of Georges Dumézil, with exhaustive notes that provide ac-
when to reap. By his judicious decisions, Lugh establishes a
cess to both specialist studies and more general works.
lasting peace and gives the Tuatha Dé access to Bres’s power
ELIZABETH A. GRAY (2005)
over agricultural prosperity.
In the later, related tale Oidheadh Chloinne Tuireann,
Lugh appears as his father’s avenger, exacting from the kins-
LU HSIANG-SHAN SEE LU XIANGSHAN
men who murdered Cian a wergild that includes having to
win magical weapons that will be used against the Fomhoire.
The guilty cousins are killed completing the final task of the
wergild, but Lugh himself commits no act of violence and
LU HSIU-CHING SEE LU XIUJING
thus avoids perpetuating a cycle of kinslaying. In the epic tale
Táin Bó Cuailnge (The cattle raid of Cooley), a tale known
from manuscripts that include language from as early as the
LUKE THE EVANGELIST, according to Christian
eighth century, Lugh appears as the father of Cú Chulainn,
tradition the author of both the third canonical gospel and
the preeminent Ulster hero whose single combats determine
Acts of the Apostles. The Gospel of Luke and Acts are linked
victory for his province against forces drawn from the rest
by similarities of style and theology, by their dedications to
of Ireland. In Baile in Scáil, a ninth-century text associated
a certain Theophilus, and by reference to a first book, almost
with the political claims of Irish kings, Lugh foretells and le-
certainly the Gospel of Luke, in Acts 1:1. Unlike the other
gitimizes an extended succession of Uí Néill rulers.
evangelists, Luke indicates that he was not an eyewitness to
Lugh is said to be the originator of assemblies and to
the events of Jesus’ ministry that he describes (Lk. 1:1–3).
the inventor of an Irish game of strategy resembling chess
Luke is mentioned three times in the New Testament
(fidhchell), as well as ball-playing and horseracing. He is also
in letters ascribed to Paul (Col. 4:14, 2 Tm. 4:11, Phlm. 24).
said to have founded an assembly held on Lughnasa at Tail-
Although a Lucius (a variant of the same name) appears in
tiu in honor of his foster mother. Lugh’s marriages link him
Acts 13:1 and Romans 16:21, there is no explicit link between
symbolically to the land of Ireland, and his queens include
this figure and Luke. In Colossians 4:14, Luke, who is with
Buí, a goddess of Munster, and Nás, eponym of a site in
Paul, is called “the beloved physician.” In the same context
Leinster. He dies at Uisnech when he drowns fleeing grand-
colleagues only are to be identified as Jewish; apparently
sons of the Daghdha, who seek to avenge their father, slain
Luke was a Gentile. Only the reference to Luke in Philemon
by Lugh through jealousy over one of his queens.
can be certainly ascribed to Paul, inasmuch as 2 Timothy is
probably, and Colossians quite possibly, pseudonymous. In
SEE ALSO Celtic Religion, overview article.
any event, each reference supports a traditional association
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5530
LULL, RAMÓN
of Luke with Paul. That association may also be attested to
p. 327, finds the traditional ascription to Luke “not impos-
by the so-called “we-passages” of Acts. In four separate in-
sible.”
stances (Acts 16:10–17, 20:5–15, 21:1–18, 27:1–28:16) the
D. MOODY SMITH (1987 AND 2005)
narration of Paul’s travels unaccountably switches from third
person to first person plural, creating the impression that the
narrator accompanied Paul. Although other explanations are
possible, the traditional one, that Luke had joined Paul’s
LULL, RAMÓN (c. 1232–1316), Catalan philosopher,
party at those points, is a reasonable one. Since Luke is other-
poet, and missionary. Lull was born in Majorca shortly after
wise not a prominent figure in early Christianity, the attribu-
the Arab occupation of the island had ended. He certainly
tion of two major New Testament books to him becomes
was acquainted with spoken Arabic, but must have known
understandable if it is, indeed, historically grounded. (A
classical Arabic as well. In his youth he was interested in chiv-
Timothy or Titus would otherwise have been a more obvious
alry and courtly occupations, but the visions of Christ that
choice for such an attribution.) That Luke’s understanding
he experienced around 1265 transformed him into an ardent
and presentation of Pauline theology is in some respects in-
missionary whose aim was to create an understanding be-
adequate scarcely disproves a personal relationship between
tween Christianity, Judaism, and Islam and to resolve their
them in Acts. Acts was written a couple of decades after Paul’s
differences. To this end he composed a great number of
death.
books in his native Catalan and is said to have traveled to
various Islamic countries. Among Lull’s works, his Libre del
Irenaeus (c. 180) names Luke as the third evangelist and
contemplacio en Deu (originally written at least partly in Ara-
a companion of Paul and describes Luke as having recorded
bic; see Obres, vol. 8, p. 645) is a seven-volume encyclopedia
the gospel as preached by Paul (Against Heresies 3.1.1). The
in which he sets forth his idea that by contemplation the
Muratorian canon (probably late second century) gives a
truth of the Christian religion would be revealed to everyone.
rather full description of Luke that agrees with Irenaeus and
with the slim biblical evidence. Eusebius (c. 325) reports that
In a vision in 1272 Lull saw the whole universe reflect-
Luke was “by race an Antiochian,” a physician, and a com-
ing the divine attributes, a vision reminiscent of Islamic tra-
panion of Paul (Church History 3.4.6).
ditions. There has been much scholarly debate on the extent
to which Lull was conversant with Arabic sources. His great
Luke’s vocabulary was once thought to reflect his medi-
novel, Blanquerna, best expresses his attitude to and under-
cal training, but comparative studies have shown that his
standing of Islam. Here, as in other early works, he expresses
medical terminology does not surpass what might be expect-
his concern for those who are lost despite many good aspects
ed of a Hellenistic author. According to an ancient, anti-
of their faith and life; he praises the Muslims’ faith in the
Marcionite prologue to the gospel, Luke remained unmar-
unity of God, which he views as the basis on which the three
ried and lived to a ripe old age. While this is entirely possible,
“Abrahamic” religions could understand one another; he ac-
there is no way to confirm such a report. The same goes for
knowledges the importance of the S:u¯f¯ı practice of dhikr
the tradition that he was from Antioch, or that his remains,
(“recollection of God”) and describes it as a useful step on
with those of the apostle Andrew, were interred in the
the way to God; finally, he expresses the opinion that Mus-
Church of the Holy Apostles in Constantinople in 357.
lims are closer to Christians than are other nonbelievers be-
Luke’s feast is celebrated on October 18. The evangelist’s
cause Muslims accept the virgin birth of Mary. The novel
symbol, the ox, can be traced back to the late second century;
Blanquerna closes with the “Book of the Lover and the Be-
it has been thought to mirror the importance of the Jerusa-
loved,” a collection of 365 aphorisms, many of which can be
lem temple and its sacrifices in Luke’s presentation of Christ.
found verbatim in Arabic S:u¯f¯ı sources and may come partly
from al-Ghaza¯l¯ı, whose works Lull apparently knew well (he
BIBLIOGRAPHY
is even said to have translated one of his books) and who may
Aside from the New Testament the most important primary
source is Eusebius’s Church History, which brings together
have strengthened Lull’s aversion to “philosophy,” that is, to
earlier testimony of Christian writers on the origin and au-
Averroism. Again, some of the symbols, his images, letter
thorship of the Gospels. The most convenient edition is the
mysticism, and the use of prose rhyme are reminiscent of
two-volume “Loeb Classical Library” text and translation of
Arabic S:u¯f¯ı works, especially of some of Ibn al-EArab¯ı’s
Kirsopp Lake, J. E. L. Oulton, and Hugh J. Lawlor (Cam-
writings.
bridge, Mass., 1926).
On the other hand, Lull was very critical of the Muslims
Werner G. Kümmel’s Introduction to the New Testament, rev. ed.
in other regards and repeated the traditional medieval accu-
(Nashville, 1975), pp. 147–150, 174–185, finds the difficul-
sations against them, such as the sensual image of Paradise,
ties of Lucan authorship insurmountable. On the other
polygamy, and so forth. His attitude hardened over the years,
hand, The Gospel According to Luke, I-IX, translated and ed-
ited by Joseph A. Fitzmyer, volume 28 of the Anchor Bible
and in the place of his earlier irenic attitude an increasingly
(New York, 1981), pp. 35–53, makes a guarded defense of
militant missionary zeal fills his later works. He requested the
the Luke tradition, in part because Fitzmyer does not regard
church to emphasize the study of Arabic so that disputations
the objections to it as entirely cogent. Raymond E. Brown,
with Muslims could be carried out more successfully and he
in his Introduction to the New Testament (New York, 1997),
succeeded in persuading James II of Aragon to establish 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
LUPERCALIA
5531
school of oriental languages in Miramar on Majorca. Later,
were the officiants and were divided into the Luperci Quinc-
in 1312, the Council of Vienne decided to found chairs for
tiales (or Quintiliani; Paulus-Festus, ed. Lindsay, 1913,
Arabic in several universities to train missionaries. In 1316,
p. 78 L.) and the Luperci Fabiani; the former bound them-
on one of his trips to North Africa, Lull was imprisoned and
selves to Romulus, the latter to Remus (Ovid, Fasti 2.375–
probably stoned to death. Many years later, in 1376, some
378). For a long time the word was thought to have come
of his teachings were condemned by Gregory XI.
from lupus (“wolf”) and arceo (“to keep off”) and so to mean
Lull was a complex figure, and he himself complained
“protectors against wolves” (Servius, Ad Aeneidem 8.343;
of not being properly understood; this attitude is typically
Wissowa, 1912, p. 209). But Luperci is more a derivative of
expressed in his Disputatio clerici et Raymundi phantastici, in
lupus with the ending -ercus (analogous to the formation of
which he portrays himself as the eccentric idealist. Lull’s phi-
noverca, “mother-in-law”) and so means “wolf-men.” The
losophy is based on the mystery of the Trinity: the three
Luperci, appearing naked (Servius, Ad Aeneidem 8.663), or
powers of the soul reflect the trinitarian principles. He tried
rather “nude except for a simple loincloth” (Plutarch, Romu-
to achieve a reduction of all knowledge to first principles so
lus 21.7, Quaestiones Romanae 68), brought to mind a pre-
as to establish perfect unity as the underlying structure of the
civilized state and constituted a “truly savage brotherhood”
universe. Among his numerous books, the Ars magna; the
(fera quaedam sodalitas; Cicero, Pro Caelio 26).
Arbor scientiae (The Tree of Knowledge), with its mysterious
When the Luperci ran around the Palatine in the midst
diagrams; and the Liber de ascensu et descensu intellectus
of a crowd of people, the act had a purifying purpose that
(Book of Intellectual Ascent and Decline) best reflect his
Varro (De lingua Latina 6.34) sums up thus: “[in February]
philosophical ideas and his way of using the various branches
the people are purified [februatur], insofar as the old fortress
of medieval science, from mathematics to alchemy. Some of
on the Palatine was circled by nude Luperci for purposes of
his ideas were later taken over and elaborated by Nicholas
lustration [lustratur].” This ceremony began with a sacrifice
of Cusa.
in the grotto of Lupercal, located at the southwest corner of
In each of his writings Lull strove to show that faith and
the Palatine (Plutarch, Romulus 21.5); the offering was a she-
intellect must work together to prove that Christianity is the
goat (Ovid, Fasti 2.361; see also Plutarch, Romulus 21.6) or
true religion. His ardent striving to lead to the true faith
a he-goat (Servius, Ad Aeneidem 8.343). During their run,
those who knew it only fragmentarily, and to whom he him-
they would carry lashes, called februa, made from hides of
self was indebted to a certain degree, is summed up in an
she-goats or of he-goats (Paulus-Festus, op. cit., p. 76 L.).
aphorism from the “Book of the Lover and the Beloved,”
With these lashes they would strike the spectators, especially
which translates an old S:u¯f¯ı saying: “The ways in which the
women, “in order to ensure their fertility” (Servius, Ad Aen-
lover seeks his Beloved are long and dangerous; they are pop-
eidem 8.343). Ovid (Fasti 2.441) proposes a strange etiology
ulated by meditation, sighs, and tears, and illuminated by
for this rite: it would be the application (discovered by an
love.”
“Etruscan augur”) of an order from Juno, “Let a sacred he-
goat . . . penetrate Italian mothers” (“Italidas matres . . .
B
sacer hircusi-nito”).
IBLIOGRAPHY
Lull’s works have been printed from the sixteenth century onward;
Other unusual or unexplained elements enter into the
the latest edition is Obres: Edició original, 20 vols. (Palma de
ceremonial. According to Plutarch (Romulus 21.8; Quaes-
Mallorca, 1906–1936). The best biography is still E. Allison
tiones Romanae 68, 111), who seems to be our only source,
Peers’s Ramon Lull: A Biography (London, 1929). Peers has
the Luperci also sacrificed dogs. Stranger still, he tells how
also translated Blanquerna: A Thirteenth Century Romance
(London, 1925), and its last chapter, published separately,
“two young people from noble families are led forth: some
The Book of the Lover and the Beloved (New York, 1923). Jean
touch their foreheads with bloody knives while others wipe
Henri Probst’s La mystique de Ramon Lull et l’arte de contem-
them with wool soaked in milk. Once they are wiped, they
plació (Münster, 1914) and Otto Keicher’s Raymundus Lullus
start to laugh” (Romulus 21.6–7). Another problem is far
und seine Stellung zur arabischen Philosophie (Münster, 1909)
from being clarified: what divinity was patron of this feast?
are both critical of the extent of Lull’s knowledge of classical
Vergil (Aeneid 8.344) does not hesitate to designate Pan of
Arabic. A good selection from Lull’s works is Selected Works
Arcadia. Ovid (Fasti 2.423–424) interprets Lupercus as trans-
of Ramon Llull, edited and translated by Anthony Bonner
position of the “Arcadian” Lycaeus: the cult was supposedly
(Princeton, 1985), which is well-balanced and readable.
established by the hero Evander on behalf of Pan-Faunus.
ANNEMARIE SCHIMMEL (1987)
This late syncretism leaves open the patronage question, for
the Latin equivalent of Pan in the third century BCE was not
Faunus but Silvanus (Plautus, Aulularia 674, 766).
LUPERCALIA. The Lupercalia, inscribed in the calen-
BIBLIOGRAPHY
dar on February 15, belongs by virtue of its suffix to the cate-
Dumézil, Georges. La religion romaine archaïque. 2d ed. Paris,
gory of Roman feasts that have names ending in -alia, such
1974. See pages 352–356. This work has been translated
as the Feralia on February 21. The word is a derivative of
from the first edition by Philip Krapp as Archaic Roman Reli-
Lupercus and is semantically related to Lupercal. The Luperci
gion, 2 vols. (Chicago, 1970).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5532
LURIA, ISAAC
Latte, Kurt. Römische Religionsgeschichte. Munich, 1960. See pages
ther’s death his mother took him to Egypt, where he lived
84–87 and especially note 4 on page 84.
in the home of his uncle, a wealthy tax gatherer. In Egypt,
Michels, Agnes Kirsopp. “The Topography and Interpretation of
Luria studied with two prominent rabbis, David ibn Abi
the Lupercalia.” Transactions of the American Philological As-
Zimra and BetsalDel Ashkenazi, and collaborated with the lat-
sociation 84 (1953): 35–59.
ter on legal works. During this period Luria apparently im-
Wissowa, Georg. Religion und Kultus der Römer. 2d ed. Munich,
mersed himself in the study of the Zohar and other qabbalis-
1912. See pages 209–212.
tic texts. In late 1569 or early 1570, Luria traveled to Safad
and began studying with Mosheh Cordovero, the principal
New Sources
master of esoteric studies in this community. Luria quickly
Bannon, Cynthia J. Brothers of Romulus. Fraternal Pietas in
attracted a circle of students to himself that included H:ayyim
Roman Law, Literature and Society. Princeton, 1997.
Vital, his chief disciple, as well as Yosef ibn T:abu¯l and
Bianchi, Ugo. “Luperci.” In Dizionario Epigrafico di Antichità Ro-
Mosheh Yonah.
mane 4.3 (1980): 2204–2212.
It appears that Luria possessed the traits of a genuinely
Capdeville, Gérard. “Jeux athlétiques et rituels de fondation.” In
Spectacles sportifs et scéniques dans le monde étrusco-italique.
inspired and charismatic individual. He became known in
Actes de la table ronde organisée par l’Équipe de recherches étrus-
Safad as an extraordinarily saintly person who had been priv-
co-italiques de l’UMR 126 (CNRS, Paris) et l’École française
ileged to experience personal revelations of qabbalistic
de Rome. Rome, 3–4 mai 1991, pp. 141–187. Rome, 1993.
knowledge from the Holy Spirit, the prophet Elijah, and de-
Holleman, A.W.J. Pope Gelasius I and the Lupercalia. Amsterdam,
parted rabbis. He was regarded as having knowledge of such
1974
esoteric arts as metoposcopy and physiognomy and the abili-
ty to understand the language of animals. He was able to di-
Holleman, A.W.J. “Lupus, Lupercalia, lupa.” Latomus 44 (1985):
agnose the spiritual condition of his disciples and others and
609–614.
provided them with specific acts of atonement for restoring
Marchetti, Patrick. “Autour de Romulus et des ‘Lupercalia.’ Une
their souls to a state of purity.
explication préliminaire.” Les Etudes Classiques 70 (2002):
77–92.
To his formal disciples, who numbered about thirty-
Piccaluga, Giulia. “L’aspetto agonistico dei Lupercalia.” Studi e
five, Luria imparted esoteric wisdom, vouchsafing to each
Materiali di Storia delle Religioni 33 (1962): 51–62.
one mystical knowledge pertinent to his particular soul, such
as its ancestry and the transmigrations through which it had
Pötscher, Walter. “Die Lupercalia-Eine Strukturanalyse.” Grazer
gone. He also gave his disciples detailed instructions on the
Beiträge 11 (1984): 221–249.
meditative techniques by which they could raise their souls
Ulf, Christopher. Das römische Lupercalienfest. Ein Modellfall für
up to the divine realm, commune with the souls of departed
Methodenprobleme in der Altertumswissenschaft. Darmstadt,
rabbis, and achieve revelatory experiences of their own.
1982.
Luria developed an intricate mystical mythology that
Wiseman, Timothy Peter. “The God of the Lupercal.” Journal of
Roman Studies 85 (1995): 1–22.
served to explain, on a cosmic level, the meaning of the exile
of the Jewish people, which was felt especially strongly after
ROBERT SCHILLING (1987)
their expulsion from Spain in 1492. The three elements of
Translated from French by Paul C. Duggan
this myth correspond to three dramatic events within the life
Revised Bibliography
of God. In an attempt to explicate how the world could come
into being if God originally filled all space, Luria taught that
God had withdrawn into himself, so to speak, thereby creat-
LURIA, ISAAC (1534–1572), known also by the acro-
ing an “empty space.” This divine act of self-withdrawal,
nym ARiY (ha-Elohi Rabbi Yitsh:aq, “the godly Rabbi
known in Hebrew as tsimtsum, made possible the existence
Isaac”); Jewish mystic. Isaac Luria was the preeminent qab-
of something other than God. The second part of the cosmic
balist of Safad, a small town in the Galilee where a remark-
process, called the “breaking of the vessels” (shevirat ha-
able renaissance of Jewish mystical life took place in the six-
kelim), concerns the emanation or reemergence of divinity
teenth century. Not only did Luria’s original mythological
back into the primordial space produced by tsimtsum. Dur-
system and innovative ritual practices achieve great populari-
ing this process of emanation, some of the “vessels” contain-
ty in Safad itself; they also exerted profound influence upon
ing the light of God were shattered. While most of the light
virtually all subsequent Jewish mystical creativity. By the
succeeded in reascending to its divine source, the remainder
middle of the seventeenth century, Lurianic theology and rit-
fell and became attached to the now-broken “vessels” below.
ual practices had permeated much of the Jewish world. It has
The result of this chaotic and catastrophic dispersal of divine
been observed that Lurianism was the last premodern theo-
light was the imprisonment of holy sparks in the lower
logical system to enjoy such widespread acceptance within
world, the realm of material reality.
Judaism.
Since these sparks of divine light seek to be liberated and
Luria was born in Jerusalem, where his father had settled
returned to their source, the human task, according to Isaac
after migrating from Germany or Poland. Following his fa-
Luria, is to bring about such liberation through proper devo-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LURIA, SHELOMOH
5533
tional means. Known as tiqqun, the “mending” or “restitu-
distinctive commitment to relentless exactitude in the inter-
tion” of the life of God, this effort is, at its core, a contempla-
pretation of sacred texts. His idiosyncratic method of study
tive one. Every religious action requires contemplative
caused him to part company with many of the rabbinical au-
concentration in order to “raise up the fallen sparks.” The
thorities of his age and established his reputation as a bril-
successful struggle on the part of the community will result
liant, if demanding, Talmud scholar.
in the final separation of holiness from materiality, and a re-
turn of all divine light to the state of primordial unity that
Shelomoh Luria appears to have held several rabbinical
preceded the creation of the world. Lurianic mysticism exer-
posts in Lithuania before settling first in the town of Brest-
cised great influence and had enduring appeal long after
Litovsk, then in the important community of Ostrog, and
Safad itself ceased to be a prominent center of Jewish life.
finally in Lublin, where he died in 1574. In all of these cen-
It gave mythic expression to the notion that collective reli-
ters Luria established academies that met opposition from
gious action could transform the course of history to redeem
the disciplines of his erstwhile teacher and colleague, Shalom
both the people of Israel and God.
Shakhna of Lublin, the primary exponent in Poland of the
regnant method of Talmudic hermeneutics known as pilpul
SEE ALSO Qabbalah.
(dialectic reasoning). Luria fiercely condemned this approach
as contrary to the true meaning of the text and argued instead
BIBLIOGRAPHY
for a “return to the Talmud,” a careful explication of the
A general introduction to the teachings of Isaac Luria is found in
sources, diction, and plain meaning of the Talmud and its
Gershom Scholem’s Major Trends in Jewish Mysticism (1941;
later, especially Ashkenazic, interpreters. Particularly irksome
reprint, New York, 1961), as well as in Scholem’s Kabbalah
to Luria were the corruptions that had recently crept into the
(New York, 1974), especially pp. 128–144. An important
study of Lurianic rituals is Scholem’s essay “Tradition and
Talmudic text through scribal errors and that had become
New Creation in the Ritual of the Kabbalists,” in his book
accepted as a result of the new technology of printing; in his
On the Kabbalah and Its Symbolism (New York, 1965). Those
H:okhmat Shelomoh he set about to correct these errors and
able to read Hebrew will want to consult a lucid study of
offered bold emendations and alternate readings that would
Lurianic ideas by Isaiah Tishby, Torat ha-ra E ve-ha-qelippah
be celebrated by critical scholars centuries after his death.
be-qabbalat ha-Ariy (Jerusalem, 1942). Special customs and
rituals practiced by Isaac Luria are found in my study Safed
In line with this basic stance toward textual criticism,
Spirituality: Rules of Mystical Piety; The Beginning of Wisdom
Luria also insisted on a firm command of Hebrew grammar
(New York, 1984), and for the techniques he taught, see my
and the Bible and opposed the study of Jewish philosophy.
articles “Maggidic Revelation in the Teachings of Isaac
Perhaps most important, he not only rejected the codifica-
Luria,” in Mystics, Philosophers, and Politicians: Essays in Jew-
tions of Jewish law published in his own time, by Yosef Karo
ish Intellectual History in Honor of Alexander Altmann, edited
by Jehuda Reinharz and David Swetschinski (Durham,
of Safad and by Luria’s relative and friend Mosheh Isserles
N.C., 1982), and “The Contemplative Practice of Yih:udim
of Kraków, but he rejected Maimonides’ code, the Mishneh
in Lurianic Kabbalah,” in History of Jewish Spirituality, edited
Torah, as well. Objecting vehemently to both the form and
by Arthur Green (New York, 1986).
the goal of these codes, Luria decided to write his own sum-
New Sources
mary of rabbinic law in order to correct their errors. In his
Fine, Lawrence. Physician of the Soul, Healer of the Cosmos: Isaac
Yam shel Shelomoh, he cited all relevant authorities, examined
Luria and His Kabbalistic Fellowship. Stanford Studies in
the differing interpretations, and then selected the most co-
Jewish History and Culture. Stanford, Calif., 2003.
gent view, not necessarily the consensus. This ambitious task
Magid, Shaul. “From Theosophy to Midrash: Lurianic Exegesis
proved too massive even for Luria, and he was able to com-
and the Garden of Eden.” AJS Review 22 (1997): 37–75.
plete work on only a few tractates. Nonetheless, his contribu-
Wineman, Aryeh. “The Dialectic of ‘Tikkun’ in the Legends of
tions to jurisprudence and Talmudic scholarship marked
the Ari.” Prooftexts 5 (1985): 33–44.
him as one of the most important rabbis of his age and per-
haps the leading eastern European Jewish scholar until the
LAWRENCE FINE (1987)
Revised Bibliography
eighteenth century.
BIBLIOGRAPHY
LURIA, SHELOMOH
There is no complete critical study of Luria or his works. The most
(c. 1510–1574), known by the
useful analyses are two essays in Hebrew: Simha Assaf’s
acronym MaHaRSHaL (Morenu ha-Rav [“our teacher the
“Mashehu le-toledot ha-Maharshal,” in the Sefer ha-yovel li-
rabbi”] Shelomoh Luria); Polish Talmudist and scholar.
khvod Levi Ginzberg, issued by the American Academy for
Luria was born in Poznan to a family that claimed descent
Jewish Research (New York, 1945), pp. 45–63, and Haim
from the great medieval Jewish exegete Rashi and that in-
Chernowitz’s essay on Luria in Toledot ha-posqim, vol. 3
cluded many of the luminaries of the Ashkenazic rabbinical
(New York, 1947), pp. 74–91. For an English source, parts
world. He was trained as a rigorous exponent of the Ashke-
of Moses A. Shulvass’s Jewish Culture in Eastern Europe: The
nazic tradition in Talmudic exegesis, to which he added a
Classic Period (New York, 1975) may also be consulted.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5534
LUSTRATIO
New Sources
censors, after inspecting and setting to rights the affairs of
Rafeld, MeDir. “Ha-Maharshal veha-EYam shel Shelomoh.” Ph.D.
the Roman people, celebrated a solemn lustrum in the Cam-
diss., Bar-Ilan University, Ramat Gan, Israel, 1991.
pus Martius (Field of Mars) by walking the suovetaurilia
M
around the citizens, who were organized in voting units (cen-
ICHAEL STANISLAWSKI (1987)
Revised Bibliography
turiae). The effect of this lustration was not only to ascertain
and assert the perfection of the civic body but also to draw
around it a strict boundary that Mars was to defend. The
danger threatening the citizens was above all the danger of
LUSTRATIO. Lustrations, or purifications by sacrifice,
war; it is not surprising, therefore, that in a critical situation
played a primordial role in Roman religion, both public and
the generals led the sacrificial suovetaurilia around their le-
private, inasmuch as they were celebrated every time there
gions or vessels.
was a transition or the likelihood of a transition in the life
of an individual or a city, and every time there was need to
SEE ALSO Purification.
repel aggressions or at least threats from outside. Lustration
rites were celebrated either in a complex liturgy that repeated
BIBLIOGRAPHY
the act of lustration at length or in a single ritual that effected
Volume 13 of the Real-Encyclopädie der classischen Altertums-
the desired separation. Whatever the degree of ritual com-
wissenschaft, edited by Georg Wissowa (Stuttgart, 1927), in-
plexity, however, a lustration was always an act of definition.
cludes two articles of particular interest: “Lustrum,” by Hel-
It was a definition, first, in that it distinguished and delimit-
mut Berve, and “Lustratio,” by Fritz Boehme. Also recom-
ed in time and space two realities that are opposed, such as,
mended are W. Warde Fowler’s The Religious Experience of
for example, living and dead, civilized and savage, good and
the Roman People from the Earliest Times to the Age of Augustus
bad, peaceful and hostile, pure and defiled. A lustration was
(London, 1911), pp. 209–218; Carl Koch’s Gestirnverehrung
a definition, second, because this act of disjunction was usu-
im alten Italien: Sol Indiges und der Kreis der Di Indigetes
(Frankfurt, 1933); and Georges Dumézil’s Archaic Roman
ally accompanied by a reflection on the reality in question,
Religion (Chicago, 1970).
an inspection, a clear and definite ordering, a verification.
This twofold defining that a lustration accomplished may ex-
New Sources
plain why the (still disputed) etymology of lustrum/ lustrare
Gagé, Jean. “Les rites anciens de lustration du populus et les attri-
points in the direction of “inspection, gaze, light shed on”
buts triomphaux des censeurs.” Mélanges Ecole Française de
as well as that of “purification.”
Rome 82 (1970): 43–71.
Munier, Frédérique. “La lustration du peuple d’Iguvium.” In
Lustrations therefore had a central place in the rites of
Hommage à René Braun, vol. 1: De la préhistoire à Virgile:
birth and death, whereby the family firmly asserted the sepa-
philologie, littératures et histoires anciennes, edited by Jean
ration between what was not yet (or no longer) living and
Granarolo and Michèle Biraud, pp. 117–135. Paris, 1990.
the world of the living, using rituals that enabled it to accom-
Versnel, Henk S. “Sacrificium lustrale. The Death of Mettius
pany the deceased or newly born person in his crucial passage
Fufetius (Livy I, 28). Studies in Roman Lustration-Ritual I.”
without itself being adversely affected. At the community
Mededelingen van het Nederlands Instituut te Rome 37 (1975):
level certain festivals, and even the entire month of February,
97–115.
were given over to the lustration of families; in this way the
city established a clear and definite break between its past
JOHN SCHEID (1987)
Translated from French by Matthew J. O’Connell
and its future.
Revised Bibliography
The most typical lustrations were those practiced in re-
gard to fields, territory, city, or citizens. In these cases the
lustration took a precise form, that of a procession, a circu-
LUTHER, MARTIN (1483–1546), German theolo-
mambulation by the sacrificial victims around the object to
gian and reformer of the Christian church. Luther was born
be purified, the integrity of which was verified (i.e., empha-
in Eisleben on November 10, the son of Hans Luder, who
sized), as were the threats—human, natural, or supernatu-
was engaged in copper mining. After moving to nearby
ral—that impended. The victims were sacrificed at the end
Mansfeld, the family increasingly acquired modest prosperi-
of the procession. There were a variety of victims for a variety
ty. Because Hans Luder appears prominently in Luther’s
of divinities, as for instance a sow for Ceres. But in a lustra-
later recollections as a stern and oppressive presence, the
tion proper the victims were a boar, a ram, and a bull (or
question has arisen whether the son’s development was sig-
what was called suovetaurilia) and they were offered solely to
nificantly affected by intense conflict with his father. No sat-
Mars, who was invoked as defender of the city and territory
isfactory answer to this question has been given.
or of an individual’s fields (an interpretation denied by some
scholars). The most spectacular lustrations, however, were
After initial schooling in Mansfeld, Martin Luther at-
those whose object was a group of citizens either under arms
tended the cathedral school in Magdeburg from 1497 to
or in civilian dress but ready to form an army. Every five
1498, where he came into contact with the Brethren of the
years (but under the empire, only sporadically) one of the
Common Life, one of the most spiritual of late medieval 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
LUTHER, MARTIN
5535
gious movements. Between 1498 and 1501 he attended
church in Wittenberg and was appointed district vicar of his
school in Eisenach, and, in 1501, he matriculated at the Uni-
order. The latter position entailed the administrative over-
versity of Erfurt to pursue the customary study of the seven
sight of the Augustinian monasteries in Saxony.
liberal arts. Luther was declared ineligible for financial aid,
In his later years Luther spoke of having had a profound
an indirect testimonial to the economic successes of his fa-
spiritual experience or insight (dubbed by scholars his “evan-
ther. The philosophical climate at the university was that of
gelical discovery”), and intensive scholarly preoccupation has
Ockhamism, which undoubtedly exerted its influence upon
sought to identify its exact date and nature. Two basic views
the young student. Upon receiving the master’s degree in
regarding the time have emerged. One dates the experience,
1505, Luther began the study of law in the summer of that
which Luther himself related to the proper understanding of
year, in accordance with the wishes of his father. Less than
the concept of the “righteousness of God” (Rom. 1:17), as
two months later, however, the experience of a terrifying
having occurred about 1514, the other in about 1518. The
thunderstorm near Stotterheim prompted his vow to Saint
matter remains inconclusive, partly because nowhere do Lu-
Anne to become a monk, resulting in the abandonment of
ther’s writings of the time echo the dramatic notions that the
his legal studies.
reformer in later years associated with his experience. The
Undoubtedly, spiritual anxiety and uncertainty about
import of the issue lies both in the precise understanding of
his vocational choice combined to precipitate the determina-
what it was that alienated Luther from the Catholic church,
tion to carry out the vow. On July 17, 1505, Luther entered
and in understanding the theological frame of mind with
the Monastery of the Eremites of Saint Augustine in Erfurt.
which Luther entered the indulgences controversy of 1517.
His choice of this monastic order is explained not only by
The dating of the experience before or after 1517 is thus im-
its strictness but also by its philosophical and theological ori-
portant. Placing the experience in 1518 seems to be the most
entation, to which Luther had been exposed during his earli-
viable interpretation.
er studies.
The Ninety-five Theses of October 31, 1517 (the tradi-
Two years later, on February 27, 1507, Luther was or-
tional notion that Luther nailed them to the door of the Wit-
dained to the priesthood. In his later recollections his first
tenberg castle church has recently been questioned) catapult-
celebration of the Mass stood out as an awesome experience.
ed Luther into the limelight. These theses pertained to the
Afterward, at the behest of his monastic superior, Johann von
ecclesiastical practice of indulgences that had not as yet been
Staupitz, Luther began graduate studies in theology, first at
dogmatically defined by the church. Luther’s exploration of
Erfurt and then, in the fall of 1508, at the recently founded
the practice was therefore a probing inquiry.
university at Wittenberg, because of his transfer to the Au-
Almost immediately after the appearance of the Ninety-
gustinian monastery there. In accordance with custom, he
five Theses, a controversy ensued. Undoubtedly it was
served as philosophical lecturer in the liberal arts curriculum.
fanned by the fact that Luther had focused not merely on
In 1509 he received his first theological degree, the baccal-
a theological topic but had also cited a number of the popular
aureus biblicus.
grievances against Rome, thus touching upon a political
In the fall of 1509 Luther was transferred back to Erfurt,
issue. In addition to sending copies of the theses to several
where he continued his theological studies. Sometime there-
friends, Luther sent a copy to Archbishop Albert of Hohen-
after (the exact date is uncertain) he was sent to Rome on
zollern, whom he held responsible for a vulgar sale of indul-
monastic business. In his reflections of later years, he attri-
gences in the vicinity of Wittenberg, together with a fervent
buted great significance to that trip: the Rome that he had
plea to stop the sale. Luther was unaware that the sale was
presumed to be the epitome of spiritual splendor had turned
part and parcel of a large fiscal scheme by which Albert
out to be terribly worldly. Soon after his return from Rome,
hoped to finance his recent elevation to the politically impor-
Luther transferred a second time to Wittenberg, completing
tant post of archbishop of Mainz. Albert’s response was to
his doctorate in theology there in October 1512. He then
ask the University of Mainz to assess the theses and, soon
assumed the lectura in Biblia, the professorship in Bible en-
thereafter, to request the Curia Romana to commence the
dowed by the Augustinian order.
processus inhibitorius, the proceedings by which Luther’s or-
thodoxy would be ascertained. Thus the theses and Luther
The first academic courses that Luther taught were on
became an official matter for the church. The commence-
Psalms (1513–1515), Romans (1515–1516), Galatians
ment of official proceedings against Luther added far-
(1516–1517), Hebrews (1517–1518), and another on Psalms
reaching notoriety to the affair, as did the related accusation
(1519). His lecture notes, which have been analyzed inten-
of heresy by several theological opponents. The ensuing de-
sively, chronicle his theological development: his shift from
bate therefore became a public one, eventually allowing for
the traditional exegetical method, his increasing concentra-
the formation of a popular movement.
tion on questions of sin, grace, and righteousness, his preoc-
cupation with Augustine of Hippo, and—last but by no
In April 1518 Luther presented a summary of his theo-
means least—his alienation from scholastic theology. At the
logical thought, which he called the “theology of the cross,”
same time Luther acquired increasing responsibilities in his
at a meeting of the Augustinian order in Heidelberg. In pre-
monastic order. In 1515 he became preacher at the parish
senting a caricature of scholastic theology, Luther appropri-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5536
LUTHER, MARTIN
ately emphasized its one-sidednesses. Soon afterward he was
Testament from Greek into German. He returned to Wit-
ordered to appear in Rome in conjunction with the proceed-
tenberg in March 1522 to calm the restlessness that had sur-
ings against him, but the intervention of his territorial ruler,
faced there over the nature of the reform movement. In a se-
Elector Frederick, caused the interrogation to take place in
ries of sermons he enunciated a conservative notion of
Augsburg, Germany. With Cardinal Legate Cajetan repre-
ecclesiastical reform, and his stance left its imprint on the
senting the Curia, the meeting proved unsuccessful, since
subsequent course of the Reformation.
Luther refused to recant. Luther fled from Augsburg and,
Luther resumed his professorial responsibilities and con-
upon his return to Wittenberg, issued an appeal to a general
tinued his prolific literary activities, clarifying theological
council.
themes and offering guidelines for undertaking ecclesiastical
Overwhelmed by the unexpected notoriety of the affair,
reform. His own theological formation was essentially com-
Luther agreed to refrain from further participation in the
plete by 1521; his theological work thereafter consisted in
controversy. All the same, he was inadvertently drawn into
amplification and clarification.
a disputation held in Leipzig in July 1519. In the context of
a wide-ranging, if tedious, discussion of the fundamental is-
The year 1525 proved to be a major theological and per-
sues in the controversy, Luther’s opponent, Johann Eck, pro-
sonal watershed for Luther: he became embroiled in two
fessor of theology at Ingolstadt, was intent on branding him
major controversies—with Erasmus and Thomas Müntzer—
a heretic and succeeded in eliciting Luther’s acknowledg-
that resulted in a marked division in the reform movement.
ment that the church’s general councils had erred. Luther
On June 13 of that same year he married Katharina von
posited a difference between the authority of the church and
Bora, a former nun who had left her convent the previous
that of scripture, a notion that late medieval thinkers had
year. Even though the marriage—coming as it did on the
never seen as problematic.
heels of the German Peasants’ War—was a subject of notori-
ety among Luther’s enemies, it set the tone for a Protestant
After the election of Charles V as the new emperor,
definition of Christian marriage for which the term “school
which had preoccupied the Curia for some time, official pro-
for character” was aptly coined.
ceedings against Luther were resumed. In June 1520 the
papal bull Exsurge Domine (Arise, O Lord) condemned forty-
The next several years were overshadowed by Luther’s
one sentences from Luther’s writings as “heretical, offensive,
growing controversy with Huldrych Zwingli over Commu-
erroneous, scandalous for pious ears, corrupting for simple
nion. The controversy reached its culmination in October
minds and contradictory to Catholic teaching.” Luther was
1529 with a colloquy held at Marburg at the instigation of
given sixty days to recant. His response was to burn the bull
Landgrave Philipp of Hesse, who viewed the split of the Ref-
in a public spectacle on 10 December 1520. On January 3,
ormation movement over this issue as a major political liabil-
1521, the bull Decet Romanum Pontificem (It Pleases the
ity. Luther was a reluctant participant in the colloquy, for
Roman Pontiff) excommunicated Luther. It was now incum-
he saw the theological differences between Zwingli and him-
bent upon the political authorities to execute the ecclesiasti-
self to be so fundamental as to make conciliation impossible.
cal condemnation, but Luther was given the opportunity to
The major issue debated at Marburg was the bodily presence
appear before the German diet at Worms in April 1521.
of Christ in the Communion elements. It is unclear whether
for Luther the politically more prudent course of action
Several factors converged to bring about the unusual ci-
would have been theological conciliation (which would have
tation. Luther had begun to precipitate a popular movement,
presented a unified Reformation movement) or intransi-
in part playing on prevailing anti-Roman and anticlerical
gence (which by its separation from Zwingli would have un-
sentiment. There was apprehension about popular restless-
derscored the proximity of the Lutheran and the Catholic
ness. Moreover, Luther claimed persistently that he had not
positions). No agreement was reached at Marburg; as a re-
received a fair hearing. To invite Luther to appear at Worms,
sult, at the diet at Augsburg the following year, the Protes-
and, indeed, give him an opportunity to recant, seemed to
tants appeared divided.
be to everyone’s advantage. When he appeared before the
diet, Luther acknowledged that he had been too strident in
As a political outlaw, Luther was unable to be present
tone, but he refused to recant anything of theological sub-
at Augsburg. He stayed at Coburg (as far south as he was able
stance. After several weeks of deliberation, and despite some
to travel on Saxon territory), and his close associate Philipp
reluctance, a rump diet promulgated an edict that declared
Melanchthon functioned as spokesman for the Lutherans.
Luther (and all of his followers) political outlaws and called
Several of Luther’s most insightful publications appeared
for the suppression of his teachings.
during that summer—a tract on translating, an exposition
of Psalm 118, and Exhortation That Children Should Be Sent
By that time, however, Luther had disappeared from the
to School.
public scene. At the instigation of his ruler Elector Frederick,
he had been taken on his return to Wittenberg to a secluded
The unsuccessful outcome of the discussions at Augs-
castle, the Wartburg, where he was to spend almost a full year
burg and the subsequent formation of the League of Smal-
in hiding. A period of self-doubt, it was also an exceedingly
cald (1531) were accompanied by Luther’s reconsideration
creative time, part of which he spent in translating the New
of his views on the right of resistance to the emperor, 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
LUTHER, MARTIN
5537
he had previously rejected. The 1530s brought Luther’s ex-
Late medieval theology had formulated the issue of authority
tensive involvement in the reorganization of the University
in terms of the possible divergency of pope and council. A
of Wittenberg (1533–1536). His extensive participation in
related theme in Luther’s theology was the relationship of
the academic disputations that were now resumed were evi-
law and gospel, which provided the key to the understanding
dence of the richness and fullness of his thought.
of scripture. God reveals himself as both a demanding and
a giving God, two qualities that Luther loosely assigned to
Luther’s final years were overshadowed by his growing
the Old and New Testaments respectively; but in truth, so
antagonism toward the papal church, and the consequences
Luther asserted, grace is found in the Old Testament even
of his well-meant but misunderstood counsel to Landgrave
as law is found in the New.
Philipp of Hesse that bigamy was permissible under certain
circumstances. In addition, the Lutheran movement was
The notion of justification by faith is traditionally cited
torn by several internal conflicts, and Luther was concerned
as the heart of Luther’s thought. It is, in fact, his major legacy
about the increasing role of the political authorities in eccle-
to the Protestant tradition. In contradistinction to the medi-
siastical affairs.
eval notion of a cooperative effort between man and God,
between works and grace, Luther only stressed grace and
Luther’s recognition that his norm of authority—
God. Such grace is appropriated by faith, which affirms the
scripture—did not preclude disagreement in interpretation
reality of the grace of forgiveness, despite the reality of sin.
and that the papal church was unwilling to accept the prima-
Luther’s “theology of the cross” affirmed that God always
cy of the word of God undoubtedly serve to explain—along
works contrary to experience.
with his increasing physical ailments—the vehemence of his
last publications, especially those against the papacy and the
These themes must be considered in the context of Lu-
Jews. He was plagued by insomnia and, from 1525 onward,
ther’s general affirmation of traditional dogma. His sacra-
by kidney stones, which in 1537 almost led to his demise.
mental teaching repudiated the medieval notion of transub-
In February 1546 Luther traveled, together with two of his
stantiation and affirmed a “real presence” of Christ in the
sons and Philipp Melanchthon, to Luther’s birthplace, Eisle-
bread and wine of Communion. Besides the sacrament of
ben, to mediate in a feud among the counts of Mansfeld.
Communion, only that of baptism was affirmed. At least in
There, having succeeded in that assignment, he died on 16
his early years, Luther advocated a congregationally oriented
February.
concept of the church, with the “priesthood of all believers,”
another key motif, as an important corollary. Luther’s teach-
Not surprisingly, Martin Luther has received consider-
ing of the “two kingdoms” sought to differentiate the Chris-
able scholarly and theological attention throughout the cen-
tian principles applicable in society.
turies. Assessments of Luther have always been staunchly
partisan, with a clear demarcation between Protestant and
SEE ALSO Reformation.
Catholic evaluations. The former, while uniformly positive,
have tended to follow the intellectual or theological currents
BIBLIOGRAPHY
of their particular time, such as the eighteenth-century En-
The definitive Weimar edition of Luther’s works, D. Martin Lu-
lightenment or nineteenth-century German nationalism.
thers Werke: Kritische Gesammtausgabe, edited by J. K. F.
Knaake and others (Weimar, 1883–1974), in more than a
In the twentieth century, particularly in the latter part,
hundred volumes, continues to be the basic tool for Luther
the biographical and theological evaluation of Martin Luther
research. An exhaustive sampling of Luther in English can be
focused on a number of specific aspects. There was a preoc-
found in his Works, 55 vols., edited by Jaroslav Pelikan (Saint
cupation with the “young” Luther, that is, Luther between
Louis, 1955–1976). The Luther-Jahrbuch (Munich, 1919–)
1512 and 1518, and particularly with Luther’s “evangelical
publishes an annual bibliography, as does, less comprehen-
discovery,” his formulation of a new understanding of the
sively, the Archiv für Reformationsgeschichte (Leipzig and
Berlin, 1903–). A useful general introduction to facets and
Christian faith. This new understanding has generated much
problems of Luther scholarship is found in Bernhard Lohse’s
speculation about Luther’s relationship to the late Middle
Martin Luther: Eine Einführung (Munich, 1981). Of the nu-
Ages, the medieval exegetical tradition, the significance of
merous Luther biographies, the following deserve to be men-
Augustine, Ockham, and mysticism. The “older” or “ma-
tioned: Roland H. Bainton, Here I Stand (Nashville, 1955);
ture” Luther, generally defined as Luther after 1526, is only
Heinrich Bornkamm, Martin Luther in der Mitte seines Le-
beginning to receive widespread attention; this part of his life
bens (Göttingen, 1979); H. G. Haile, Luther (Garden City,
has not attracted much scholarly interest because it lacks the
N. Y., 1980); and Eric H. Erikson, Young Man Luther (New
excitement of Luther’s earlier years. The general question is
York, 1958), a controversial psychoanalytic study. Two use-
whether the “older” Luther should be seen in continuity or
ful collections of sources are Martin Luther, edited by E. G.
in discontinuity with the young Luther.
Rupp and Benjamin Drewery (New York, 1970), and Wal-
ther von Löwenich’s Martin Luther: The Man and His Work
A key theme in Luther’s theology is that of the sole au-
(Minneapolis, 1983).
thority of scripture, formulated as the notion of sola scriptura;
Important studies on specific aspects of Luther’s life and thought
this notion, because it implied the possibility of a divergence
are Erwin Iserloh’s The Theses Were Not Posted (Boston,
of tradition from scripture, raised a startling new question.
1968); Wilhelm Borth’s Die Luthersache (causa Lutheri)
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5538
LUTHERANISM
1517–1524 (Lübeck, 1970); and Mark U. Edwards, Jr.’s Lu-
strengthens and sustains Christians in a world of sin, death,
ther and the False Brethren (Stanford, Calif., 1975) and Lu-
and evil. Luther changed little in the liturgy of the Roman
ther’s Last Battles (Ithaca, N. Y., 1983). A creative statement
Mass, removing only what he called the “sacrifice of the
of Luther’s theology is Gerhard Ebeling’s Luther (Philadel-
Mass,” namely, the prayers of thanksgiving that surround the
phia, 1970).
act of consecrating bread and wine. He found these prayers
HANS J. HILLERBRAND (1987)
too self-righteous, too full of words intended to appease
God, rather than offering joyful thanks for what God did in
Christ.
LUTHERANISM. Martin Luther’s Roman Catholic
Following Luther’s careful liturgical reforms in Witten-
opponents were the first to label the sixteenth-century re-
berg, Lutherans have insisted on the use of the vernacular in
form movements “Lutheran.” His supporters first called
the liturgy, introduced congregational singing, and stressed
themselves “evangelical” (from the Greek euaggelion, “gos-
preaching. Worship is thus the basic response to baptism,
pel”) and then, after 1530, “the churches of the Augsburg
which discloses God’s unconditional promise to be forever
Confession.”
with those who trust God in Christ. Lutherans retained the
practice of baptizing infants not only because it had been the
TEACHING AND WORSHIP. Lutheran teachings, which have
custom from the beginning of Christianity but also because
remained determinative for Lutheranism until today, are pre-
infant baptism demonstrates that God’s grace is not condi-
served in the Book of Concord of 1580. By prefacing this
tioned by human response.
collection of teachings with the three ecumenical creeds (Ni-
cene, Apostles’, and Athanasian), Lutherans demonstrate
Lutherans recognize only two sacraments, baptism and
their basic agreement with the ancient trinitarian tradition.
the Lord’s Supper, because Luther could find no clear evi-
The collection includes Luther’s Large and Small Catechisms
dence that Christ instituted any other sacraments. Baptism
of 1529, his Smalcald Articles of 1537, Philipp Melanch-
commissions all believers to a common ministry, but for the
thon’s Augsburg Confession of 1530 and its Apology of
sake of enduring witness and good order in the church, there
1531, and the Formula of Concord, drafted in 1577 by a
is a divinely instituted, special, ordained ministry. Lutherans
group of Lutheran church leaders to resolve intra-Lutheran
have not always agreed on the precise differences between the
controversies in Germany.
ministry of all the baptized (the “common priesthood of all
Luther’s doctrine of “justification through grace by faith
believers”) and the ministry of the ordained, but they have
alone, apart from works of law,” echoing Paul in his letter
nevertheless rejected any notion of a divinely instituted struc-
to the Romans (3:28), forms the core of Lutheranism. A per-
ture of hierarchical priesthood. An ordained Lutheran pastor
son is right with God (i.e., “justified”) by completely trusting
is a baptized Christian who is called to the public ministry
the work of Christ (i.e., “by faith”) and not by making any
of word and sacraments after proper training and examina-
human effort to appease God (i.e., “apart from works of
tion, and the rite of ordination is the solemn commissioning
law”). Christ’s atonement is communicated both verbally, in
to be faithful to this call.
preaching and teaching, and visibly, in the celebration of the
The core of Luther’s reform movement was the proposal
sacraments. Thus to Luther the doctrine of justification was
that the church return to the Christocentric stance that he
not one among many doctrines, as medieval theology taught,
had found in scripture and in the early church fathers. His
but was the “chief article of faith” that establishes the norm
fundamental insights were neither well understood nor satis-
for Christian faith and life. Consequently the word of God
factorily evaluated either by Catholics or by many Lutherans.
must be seen in its careful distinction between “law” and
Nontheological factors seemed to help the spread of Luther-
“gospel.” The law, be it divine (especially the First Com-
anism more than theological factors.
mandment of the Decalogue) or human (as manifested in the
HISTORY. The doctrine of baptism proved to be the most
rule of temporal princes), creates necessary order in the face
revolutionary aspect of Lutheranism, since it allowed Luther
of evil and reveals the human inability to appease God.
to invite territorial princes to become “emergency bishops”
Through Christ, the gospel, which is communicated in
of the new churches. Thus German princes interested in lib-
words and sacraments, reveals God’s unconditional love for
erating themselves from the domination of Rome established
all creatures. Trusting in Christ rather than in one’s own ef-
Lutheranism in their own territories and encouraged it to
forts restores one’s relationship with God. God may indeed
spread, especially to the east. Princes, peasants, patricians,
reward good and punish evil, but believers no longer need
priests, and even bishops joined the Lutheran cause, mainly
worry about God’s justice. Instead, they are free to enjoy
to break from Rome. Danish and Swedish kings declared Lu-
God’s mercy and thus help the “neighbor” in need. So
theranism the religion of their lands between 1527 and 1593.
viewed, all of life is a thanksgiving for what God did in
However, when, in 1525, peasants in Saxony rebelled against
Christ.
their landlords in the name of Luther’s call to Christian free-
In worship, Lutherans have tried to be faithful to the
dom, Luther sided with the princes, who crushed the rebel-
ecumenical tradition of the Mass by regarding its center, the
lion by force; he refused to see his cause identified with liber-
sacrament of Holy Communion, as the means of grace that
ation from the yoke of feudalism.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LUTHERANISM
5539
The pope and the emperor were forced to soften their
ages, instituted educational programs, cared for the mentally
implacable opposition to Lutheranism because they needed
retarded, and advocated prison reform. The University of
the support of German princes to meet the threat of Turkish
Halle trained missionaries for foreign missions, particularly
invasion from the south. At the request of Emperor Charles
for India and the United States. But social and ecumenical
V, the Lutherans submitted a confession of their faith to the
concerns were frequently overshadowed by a narrow-minded
Diet of Augsburg in 1530. The signers of the Augsburg Con-
moralism. Thus both Lutheran orthodoxy and Lutheran Pi-
fession included seven princes and two city magistrates,
etism tended to pervert the original purpose of Lutheranism:
clearly demonstrating the strong political support Lutheran-
to be a reform movement within the church catholic. Both
ism had achieved. But subsequent negotiations between Lu-
orthodox rationalism and pietist moralism had lost sight of
theran and Catholic theologians failed to produce sufficient
the original Lutheran, ecumenical, holistic vision.
agreement to cease hostilities. The Council of Trent (1545–
During the eighteenth-century Enlightenment, Luther-
1563) was finally convened a year before Luther’s death in
1546, but Lutherans were not invited to attend. In 1547,
anism again succumbed to rationalist and secularist tenden-
German Lutherans and Catholics faced each other in mili-
cies. Frederick II of Prussia (r. 1740–1786), for example, ini-
tary battles; the war ended within a year with the defeat of
tiated an attitude of toleration that valued religion only as
the Lutheran Smalcald League. But Emperor Charles V was
it served the general purposes of the state. Lutheran theolo-
willing to compromise, and the resulting 1555 Peace of
gians like Johann Semler (1725–1791) considered the doc-
Augsburg tolerated “the religion of the Augsburg Confes-
trine of justification nonessential and supported the general
sion,” although it took almost a century and the Thirty
notion of Lutheranism as a moral teaching. In Germany and
Years’ War (1618–1648) before the Peace of Westphalia ac-
Scandinavia, however, some Lutheran theological faculties
cepted Lutheranism as a legitimate religion in the empire.
and church leaders reacted against this trend by nurturing
a strong historical consciousness and intensive biblical
The Formula of Concord used medieval scholastic ter-
studies, which led to frequent attempts to revive the spirit
minology and Aristotelian philosophical categories to pro-
of Luther and the Lutheran confessions. These “Neo-
vide a theological system to protect Lutheranism from both
Lutherans” called for a return to strong biblical and confes-
Catholic and Calvinist influences and to resolve the dispute
sional norms to counteract the prevalent cultural Protestant-
between followers of Melanchthon, known as Philippists,
ism that had virtually eliminated Lutheranism’s distinctive
and Gnesio-Lutherans (from the Greek gnesios, “authentic”).
character. By 1817, three hundred years after Luther’s post-
The result was a systematic, rational interpretation of the
ing of the Ninety-five Theses, Neo-Lutherans had produced
doctrines of sin, law, and grace, the cornerstones of a Luther-
a significant revival of old Lutheran norms and ideas. Ger-
an theology grounded in the forensic notion that God de-
man Lutherans founded the Common Lutheran Conference
clared humankind righteous by faith in Christ. The formula
in Prussia in 1868 to provide communication between the
rejected both the Catholic notion of cooperation between
various territorial churches. Danish churchman Nikolai F.
human nature and divine grace through free will and Cal-
S. Grundtvig (1783–1872) promoted an ecumenical Luther-
vin’s doctrine of Christ’s spiritual (not real or bodily) pres-
anism based on the apostolic tradition and on the creeds; he
ence in the Lord’s Supper. The formula also insisted that all
also revived liturgy and church music.
teachings must be subject to the authority of the prophetic
and apostolic writings of scripture, thus opening the door to
In the United States, Henry Melchior Mühlenberg
a biblicism that has at times produced a biblical fundamen-
(1711–1787), who had come from Halle to Philadelphia, or-
talism.
ganized the first American Lutheran synod in Pennsylvania
in 1748. Synods were organized by regions and were headed
Between 1580 and 1680, German Lutherans favored a
by presidents; they met regularly in convention to decide
uniform religion that fused pure doctrine with Christian
matters of church polity and faith. Lutheran theological sem-
laws. The resulting alliance between church and state created
inaries, colleges, and journals were soon founded in regions
seventeenth-century Lutheran orthodoxy. Assisted by ortho-
where Lutherans predominated. Samuel S. Schmucker
dox theologians, territorial princes dictated what people
(1799–1873), president of the oldest Lutheran seminary in
should believe and how they should behave, and obedience
the United States (founded in Gettysburg in 1826), envis-
to political authority became the core of Christian ethics. But
aged an “American Lutheranism” that would be the leading
Lutheran orthodoxy gave rise to a new reform movement,
force to unite all the major Protestant denominations. But
nicknamed “pietist,” which stressed a “religion of the heart”
he did not receive sufficient support to realize his vision. The
rather than the prevalent “religion of the head.” Led by
country was too vast, and Lutherans were too estranged from
Philipp Jakob Spener, August Hermann Francke, and
one another, especially by ethnic background, to make Lu-
Nikolaus Zinzendorf, Lutheran Pietism emphasized individ-
theran unity a realistic goal. The Lutheran Church-Missouri
ual conversion, lay ministry, and a morality distinct from
Synod, consisting of German Lutherans who were disen-
worldly ethics. By the nineteenth century, the pietist impulse
chanted with Lutheran attempts in Prussia to form a union
had created an “inner mission” movement in Germany that
with the Reformed church, was organized in 1847. Soon
established a female diaconate, built hospitals and orphan-
there were German, Danish, Norwegian, Swedish, and Finn-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5540
LU XIANGSHAN
ish groups who cherished their own ethnic traditions more
(Minneapolis, 1972). In addition, there is a useful historical
than unity with one another. During the Civil War, the
survey, stressing European and American Lutheranism, by
United Lutheran Synod of the South was formed in response
Conrad Bergendoff, The Church of the Lutheran Reformation
to political and cultural pressures. It was not until after
(Saint Louis, 1967). Normative Lutheran teachings, “the Lu-
World War I that Lutherans in the United States managed
theran confessions,” are made available in translation in The
to form larger denominations through mergers.
Book of Concord, edited and translated by Theodore G. Tap-
pert (Philadelphia, 1959). The historical roots and theologi-
The Nazi tyranny in Germany (1933–1945) strongly af-
cal significance of the Lutheran confessions are described and
fected German Lutherans. A small minority of Lutheran pas-
analyzed by me and Robert W. Jenson in Lutheranism: The
tors and congregations resisted Hitler, but the great majority
Theological Movement and Its Confessional Writings (Philadel-
of Lutherans either remained silent or actively cooperated
phia, 1976). The distinctive features of Lutheranism, espe-
with the Nazi regime. The resistance, which called itself the
cially compared with other traditions in the United States,
“Confessing church,”was opposed by those who called them-
are sketched in Arthur C. Piepkorn’s “Lutheran Churches,”
in volume 2 of Profiles of Belief (San Francisco, 1978). The
selves the “German Christians,” who were in basic agreement
theological center of Lutheranism has been explored, with an
with the government’s desire to link Lutheranism with Na-
eye on ecumenical implications, in Wilhelm Dantine’s The
zism. Danish and Norwegian Lutherans refused to cooperate
Justification of the Ungodly, translated by me and Ruth C.
with the German occupation forces, which did not react with
Gritsch (Saint Louis, 1968), and in Gerhard O. Forde’s Justi-
persecution. All these groups looked to the Lutheran confes-
fication by Faith: A Matter of Death and Life (Philadelphia,
sional documents for support of their positions.
1982). Detailed information on Lutheran worship is con-
tained in Luther D. Reed’s The Lutheran Liturgy (Philadel-
After World War II, some 184 delegates representing
phia, 1947). Basic information on Lutheranism can be
about 80 million Lutherans from 49 churches in 22 coun-
quickly obtained in The Encyclopedia of the Lutheran Church,
tries organized the Lutheran World Federation in 1947.
3 vols., edited by Julius Bodensieck (Minneapolis, 1965).
Headquartered in Geneva (which is also the headquarters of
New Sources
the World Council of Churches) the Lutheran World Feder-
Gassmann, Gunther, Duane H. Larson, and Mark W. Olden-
ation unites Lutheran churches from around the world in
burg. Historical Dictionary of Lutheranism. Lanham, Md.,
common social-action projects and in regular world assem-
2001.
blies but otherwise has no authority over the churches. The
Gritsch, Eric W. A History of Lutheranism. Minneapolis, 2002.
trend toward Lutheran unity also continued in the United
Mead, Frank Spencer, and Samuel S. Hill. Rev. by Craig D. At-
States. The Lutheran Council in the United States was estab-
wood. “Lutheran.” In Handbook of Denominations in the
lished in 1967 to facilitate communication and common ac-
United States. 11th ed. Nashville, 2001.
tion among the larger Lutheran denominations and to repre-
Truscott, Jeffrey A. The Reform of Baptism and Confirmation in
sent them at the Lutheran World Federation.
American Lutheranism. Lanham, Md., 2003.
Since the 1960s, there have been ongoing official dia-
ERIC W. GRITSCH (1987)
logues between Lutherans and other Christian churches. In
Revised Bibliography
1982 the Lutheran Church in America and the American
Lutheran Church were able to agree with the Episcopal
Church in the United States on an “interim sharing of the
LU XIANGSHAN (1139–1193) was the literary name
eucharist,” hoping for total reconciliation between Lutherans
of Lu Jiuyuan, also known by the style name of Lu Zijing.
and Anglicans in the future. In view of their beginnings, Lu-
A pivotally important thinker in the Southern Song period
therans have considered their relations with Roman Catho-
(1127–1279), he contributed to the forging of the intellectu-
lics particularly important. Official Lutheran-Catholic dia-
al movement of what came to be known in the West as neo-
logues began in the 1960s and have taken place without
Confucianism, whose cultural mission was no less than the
interruption in the United States since 1965. There has al-
revivification and redefinition of the Confucian Way (dao).
ways been a creative tension between Lutheranism as a move-
By reformulating and extending the teachings of Mengzi
ment and the Lutheran denominations. If Lutherans are
(391–308
guided by their confessional convictions, they will remain in
BCE) on the mind-heart and human nature, Lu
Xiangshan is supposed to have initiated the so-called “learn-
this tension.
ing of the mind-heart” (xinxue) within the neo-Confucian
S
tradition, as opposed to the “learning of principle” (lixue),
EE ALSO Luther, Martin; Melanchthon, Philipp; Pietism;
Reformation.
first espoused by Zheng Yi (1033–1107) and later elaborated
by Lu’s good friend and intellectual nemesis, Zhu Xi (1130–
1200). Passionate about the neo-Confucian enterprise, Lu
BIBLIOGRAPHY
The most comprehensive treatment of Lutheranism, albeit from
argued that the fulfillment and implementation of the Way
an American perspective, is offered in E. Clifford Nelson’s
could not be achieved through the discursive and external
The Rise of World Lutheranism: An American Perspective
pursuit of bookish knowledge. Rather, it hinged on the real-
(Philadelphia, 1982). The same author also has written a
ization of the goodness of the mind-heart through virtuous
readable history, Lutheranism in North America, 1914–1970
actions and practical deeds.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LU XIANGSHAN
5541
Lu was born in the Jiangxi province into an elite family
“the Way is one and only one.” In other words, humanity
that had migrated from the north. The distinguished social
was the same as the mind-heart and principle, which Lu fur-
pedigree of the Lus as local magnates notwithstanding, his
ther elucidated in terms of Mengzi’s theory of innate good-
family’s material fortunes had been gradually dwindling. By
ness. This mind-heart/principle is the source of the sense of
the time Lu came into the world his family no longer owned
horror and commiseration when one sees a child about to
land, but they were by no means poor, thanks to a prosper-
tumble into a well; it is that which makes people ashamed
ous business in medicines. Even though, from the generation
of shameful things and makes them deplore the deplorable.
of Lu’s great-great grandfather to his father’s, none of the Lus
It constitutes filial piety, respect for elders, the sense of right
had held government office, the family continued to produce
and wrong, and the virtues of rightness (yi) and reverence
scholars of great repute, and its social and genealogical luster
(jing). To put it another way, the mind-heart consists of the
in the locality remained burnished. Lu Xiangshan himself se-
four moral sprouts (siduan) that define the goodness of na-
cured the highest degree of jinshi (literally, “a presented
ture: the sense of compassion, the sense of shame, the sense
scholar”) in 1172. While Lu served studiously and success-
of humility, and the sense of right and wrong. Since all good-
fully in a succession of official appointments on the local
ness and all things are already complete within us, Mengzi
level, he was always engaged in teaching and lecturing. Late
rightly admonished us that there is no greater joy than the
in his life, he led the White Elephant (Xiangshan) Academy
examination of oneself in an effort to realize one’s authentic
in his home province, where, as an inspiring thinker and
self.
popular teacher, he attracted thousands of pupils and admir-
ers. Although Lu did not write prolifically, he established an
Lu also identifies the mind-heart with the Way (dao)
estimable scholarly reputation by dint of his profound views
that fills the universe. With reference to heaven, the Way is
on learning and moral self-cultivation.
yin and yang, and with respect to earth, it may be described
in terms of strength and weakness. Most significant, as re-
In his debate with Zhu Xi at Goose Lake temple in
gards humanity, the Way is the fundamental virtues of ren
1175, Lu famously declared that his program of learning was
and yi. The former is the very human faculty or human-
focused, direct, and “easy,” in that it sought the illumination
heartedness that defines humanity; the latter is the corre-
and revelation of one’s intrinsic, original mind-heart (ming
sponding ability to act rightly and righteously. These two
benxin) before the broad quest for extrinsic knowledge. By
cardinal virtues, at once the embodiment and manifestation
contrast, Lu found Zhu’s project to be distracting, circuitous,
of the Way, are the original mind-heart.
and in the final analysis “fragmented,” insofar as it consid-
ered the indiscriminate amassing of external know-how to be
To the extent that principle, or the Way, inheres in the
prior to the development of an enveloping, guiding inner vi-
mind-heart, which is our heaven-endowed moral nature, the
sion. Lu also found fault with Zhu’s dualistic metaphysical
quest for the Way must begin with the inward look toward
scheme of principle (li) and material force (qi), wherein the
the mind-heart, purposefully seeking to build and nurture
former was conceived as the supreme ontological entity of
what Mengzi calls the “greater part of our being.” Lu was
pure possibilities, and the latter the source of concrete things
fond of saying that what he taught came spontaneously from
and their movements. Accordingly, Zhu’s philosophical an-
deep within his being, such that “the six classics are annota-
thropology identified principle solely with human nature
tions on myself,” just as “I am annotations of the six classics.”
(xing), associating emotions (qing) with material force while
The thousands of words that he uttered were nothing other
recognizing the mind-heart (xin) as the vital link between na-
than expressions that issued from within him. Small wonder
ture and emotions, to the extent that it was the faculty en-
that he rejected Zhu Xi’s program of learning, whose point
dowed with the most subtle of material forces. Consciously
of departure was “following the path of inquiry and learning”
in contention with this finicky architectonics, Lu’s philoso-
(dao wenxue), or seeking erudition through broad investiga-
phy was propelled by the rage for an all-embracing unity and
tions of things. Such an epistemological premise was funda-
oneness, which he ascertained in his ontological conception
mentally flawed. Lu maintained that true understanding and
of the mind-heart.
knowledge of reality stemmed from and began with “honor-
ing moral nature” (zun dexing), that is, the critical reflection
Whereas Zhu presupposed the inadequacy of the mind-
on and examination of the self distinguished by the mind-
heart in the absence of the guidance of principle qua nature,
heart. To learn, in its essentials, is to seek to return and pre-
Lu asserted pristine humanity in terms of it. In fact, he posit-
serve the mind-heart, which may be lost or obscured as a re-
ed the oneness of principle (endowed in humanity by heav-
sult of aggrandizement by undue and excessive desires.
en) and the mind-heart: “The mind-heart is one and princi-
Therefore, no amount of empirical knowledge and experien-
ple is one.” Lu construed the perfect truth of reality as a
tial learning would enable human flourishing if, to begin
unity, inasmuch as “the mind-heart and principle can never
with, people do not recognize that the mind-heart, endowed
be separated into two.” For Lu, this unity was what Confu-
with innate moral nature and embodying the entire universe,
cius had in mind when he made the oft-quoted statement
is the locus of knowing and acting. To honor moral nature
that “there is one thread that runs through my teachings.”
is to establish the moral, and indeed transcendent, goals and
Similarly, it was what Mengzi referred to when he stated that
purposes of learning. Otherwise, study is a misguided, undi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5542
LU XIUJING
rected, and ultimately irrelevant adventure of the mind that
Foster, Robert Wallace. “Differentiating Rightness from Profit:
yields no meaningful moral-ethical consequences—namely
The Life and Thought of Lu Jiuyuan (1139–1193).” Ph.D.
to uplift oneself through empathy with and amelioration of
diss., Harvard University, 1997.
others in the human community.
Fukuda, Shigeru. Riku Shozan bunshu. Tokyo, 1972.
Because Lu appealed directly to the mind-heart, recom-
Gao Zhuanxi. Lixin zhi jian: Zhu Xi he Lu Jiuyuan de lixue. Beij-
ing, 1992.
mended deep introspection of the inner self through medita-
Huang, Chin-shing. “Chu Hsi versus Lu Hsiang-shan: A Philo-
tion and quiet-sitting, and espoused an “easy” method of cul-
sophical Interpretation.” Journal of Chinese Philosophy 14,
tivation that apparently spurned words and texts, since the
no. 2 (1987): 179–208.
time of Zhu Xi he has traditionally been considered to be a
Huang, Siu-chi. Lu Hsiang-shan: A Twelfth-Century Chinese Ideal-
speculative thinker much preoccupied with the abstruse and
ist Philosopher. New Haven, 1944.
recondite quest for spiritual enlightenment in the Chan Bud-
Hymes, Robert P. “Lu Chiu-yuan, Academies, and the Problem
dhist mode. As Zhu Xi’s teaching came to be consolidated
of the Local Community.” In Neo-Confucian Education: The
and accepted as orthodoxy, such characterization took hold.
Formative Stage, edited by Wm. Theodore de Bary and John
In point of fact, however, nothing could be further from the
W. Chaffee, pp. 432–456. Berkeley, 1989.
truth. Lu’s effort to locate the ontological center of being and
Kim, Oaksook Chun. “Chu Hsi and Lu Hsiang-shan: A Study of
reality in the mind-heart bespeaks his earnest desire to con-
Philosophical Achievements and Controversy in Neo-
centrate on the moral-ethical agency of every human being.
Confucianism.” Ph.D. diss., University of Iowa, 1980.
The unmitigated focus on the mind-heart points not to its
Li Jipiing. Lu Xiangshan yanjiu. Taipei, 1973.
self-referential capacity in an other-worldly sense, but rather
Li Zhijian. Lu Jiuyuan zhexue sixiang yanjiu. Henan, People’s Re-
to its ineluctable verification and validation through this-
public of China, 1985.
worldly practical learning, beginning with self-cultivation,
Lu Jiuyuan. Lu Jiuyuan ji. Beijing, 1980.
which is in turn expanded into transformative deeds as they
Mahony, Robert Joseph. “Lu Hsiang-shan and the Importance of
are brought to bear on community and society. As Lu takes
Oral Communication in Confucian Education.” Ph.D. diss.,
pains to point out, principle is not some transcendent meta-
Columbia University, 1986.
physical entity out there; it is the ritual complex and order
Zhang Liwen. Zouxiang xinxue zhi lu: Lu Xiangshan sixiang de
forged in history. At the same time that principle, embodied
zuji. Beijing, 1992.
in the mind-heart, reveals our innate moral conscience and
ON-CHO NG (2005)
consciousness, it is manifested in the proper workings of so-
cial relations, rites, institutions, and laws. Principle is order-
conferring and assent-eliciting insofar as it is understood not
LU XIUJING (406–477), Daoist scholar and liturgical
only cosmologically but also morally, socially, and historical-
master active during the Liu Song dynasty (420–479) in
ly. It is no accident that the towering Ming-dynasty thinker
China. Regarded as the seventh patriarch of the Celestial
Wang Yangming (1472–1529), who expanded Lu’s philo-
Master sect (Tianshi Dao), founded by Zhang Daoling in
sophical anthropology anchored on the mind-heart—and
Sichuan province in the second century, Master Lu was a key
who thereby rekindled attention to and interest in this Song
figure in the development of the Daoist church during the
master’s views—propounded the powerful injunction that
Six Dynasties period (317–618). He has traditionally been
knowing and acting are one.
credited with the earliest organization of the Daoist canon
In brief, the religio-philosophical mystique of Lu’s ho-
(Daozang) into its three major sections. Further, by editing
listic conception of the mind-heart as all-encompassing reali-
and teaching the so-called Lingbao (Spiritual Treasure) scrip-
ty lies not in its putative vertical identification with some
tures, upon which he based his instructions for Lingbao rites,
transcendent ideality, but in its horizontal association with
Master Lu laid down basic and enduring patterns for the sub-
the immanent (hence human and social) world of quotidian
sequent development of Daoist liturgical life.
moral actions.
Born in Zhejiang province, Lu is said to have left his
S
family and official career in order to collect and study Daoist
EE ALSO Confucianism, overview article; Mengzi; Zhu Xi.
scriptures. Although he withdrew to Mount Lu (Lushan) in
B
Jiangxi province, he nonetheless enjoyed close connections
IBLIOGRAPHY
Birdwhistell, Anne D. “Dichotomies in Social Experience in the
with the courts of several Liu Song emperors, and as a result,
Thought of Lu Jiuyuan (1139–1193).” Journal of Sung-Yuan
both Mount Lu and the Chongxu monastery, which was
Studies 27 (1997): 1–26.
built for him outside the capital (modern Nanjing), became
Birdwhistell, Anne D. “Social Reality and Lu Jiuyuan (1139–
renowned centers of Lingbao Daoism. Traditional accounts
1193).” Philosophy East and West 47, no. 1 (1997): 47–65.
of his life include stories of omens surrounding his birth, his
Cady, Lyman Van Law. “The Philosophy of Lu Hsiang-shan, a
healing of Emperor Mingdi (r. 465–473), and dramatic vic-
Neo-Confucian Monist Idealist.” Ph.D. diss., Union Theo-
tories over the learned Buddhists of his day in public debates.
logical Seminary, New York, 1939.
His most prominent disciple, Sun Youyue, was in turn a
Ching, Julia. “The Goose Lake Monastery Debate (1175).” Jour-
teacher of the great Daoist scholar Tao Hongjing, to whom
nal of Chinese Philosophy 1 (1974): 161–178.
much of Lu’s scriptural collection was passed down.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
LYCANTHROPY
5543
Textual references to the earliest form of the Daoist
ends as the release of ancestors from the sufferings of the un-
canon date back to the year 437, when Master Lu signed
derworld and the protection of the state. Basic to Master Lu’s
himself “Disciple of the Three Caverns.” These “caverns”
liturgies is a macrocosm-microcosm identity of the extended
(dong), evoking traditional beliefs that divine treasures are
universe and the internal geography of the body, combined
hidden in caves under the earth, were in fact the collected
with a bureaucratic mediation of proper relations among
scriptural revelations of several Daoist groups: the Shangqing
spiritual realms. These features served to define a distinctive
(Supreme Purity) scriptures; the Lingbao scriptures; and the
type of religious authority in the centuries of religious inno-
Sanhuang (Three Sovereigns) scriptures. Master Lu’s Catalog
vation after the fall of the Han dynasty, an authority that was
of the Scriptures of the Three Caverns, no longer extant but
not only formally invested, hierarchical, and stable, but also
quoted elsewhere, was perhaps the first comprehensive listing
simultaneously holistic and deeply rooted in the practices of
of all these texts. Although the notion of three caverns proba-
local traditions. The Lingbao liturgies codified by Master Lu
bly did not originate with Master Lu, his early catalog not
were amplified and embellished until the middle of the Song
only served to define what was deemed authentic and Daoist
dynasty (960–1279), when there were major changes and in-
at that time, but may well have established the notion of a
novations in the ritual tradition as a whole. Even today, how-
single canon common to the various early movements of the
ever, the rites of ordained Daoist masters in Taiwan still con-
emerging tradition.
tain sections that faithfully preserve the instructions first
penned by Master Lu.
Master Lu dedicated much of his career to the exposi-
tion of the Lingbao scriptures, which were claimed to have
SEE ALSO Daoism, article on Daoist Literature; Ge Hong;
been revealed over a hundred years earlier. In fact, they were
Tao Hongjing.
composed in the late 390s by Ge Chaofu, whose remarkable
set of “revelations” not only drew upon Shangqing and Bud-
BIBLIOGRAPHY
dhist texts circulating then, but also upon the extensive li-
The sources on Lu Xiujing’s life and work are detailed in Chen
brary of his renowned great-uncle, Ge Hong. The popularity
Guofu’s Daozang yuanliu kao (1949; rev. ed. Beijing, 1963),
of these scriptures provoked so many forgeries and imitations
pp. 38–44. Special studies in Western languages include
that some fifty years after their initial release Master Lu un-
Ofuchi Ninji’s “On Ku Ling-Pao-Ching,” Acta Asiatica 27
(1974): 33–56, and Max Kaltenmark’s “Ling-pao: Note sur
dertook the difficult task of identifying and editing the origi-
un terme du taoïsme religieux,” Mélanges publiées par
nal corpus. His catalog of the Lingbao scriptures, of which
l’Institut des Hautes Études Chinoises 2 (1960): 559–588. For
only the preface (Lingbao jingmu xu) remains extant in the
general background on this period of Daoist history, consult
Daoist canon, has recently been reconstructed from docu-
Rolf A. Stein’s “Religious Taoism and Popular Religion from
ments uncovered at Dunhuang.
the Second to the Seventh Centuries,” in Facets of Taoism,
edited by Holmes Welch and Anna Seidel (New Haven,
Actively extolling the ultimate primacy of these particu-
1979), pp. 53–81; and Michel Strickmann’s “The Mao Shan
lar scriptures and the effectiveness of Lingbao rites, Master
Revelations: Taoism and the Aristocracy,” T’oung pao 63
Lu formulated a set of rituals for lay followers, as well as rites
(1977): 1–64.
for the ordination of Daoist masters and the transmission of
New Sources
sacred scriptures. These liturgical writings helped develop an
Nickerson, Peter. “Abridged Codes of Master Lu for the Daoist
institutional structure within Daoism by combining Han
Community.” In Religions of China in Practice, edited by
dynasty (206 BCE–220 CE) court ceremonies with the prac-
Donald S. Lopez, Jr., pp. 347–359. Princeton, 1996.
tices of both the early Celestial Master sect and the old tradi-
Pregadio, Fabrizion. The Encyclopedia of Taoism. Richmond, Va.,
tions and cults of southern China. Fundamental liturgical
2001.
practices included the internalization of protective deities
Yamada, Toshiaki. “The Evolution of Taoist Ritual: K’ou Ch’ien-
within the body of the initiated Daoist (the daoshi) and their
chih and Lu Xiujing.” Acta Asiatica 68 (1995): 69–83.
projection as messengers in the course of the rite; the use of
talismans (especially the five Lingbao written talismans) to
CATHERINE M. BELL (1987)
Revised Bibliography
orient and bind the various levels of heaven, earth, and un-
derworld in each of the five directions (four cardinal points
and the center); and the proclamation and burning (to effect
their transmission heavenward) of official petitions for such
LYCANTHROPY SEE WOLVES
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N


M
MABINOGION. The eleven native prose tales extant in Middle Welsh are known
collectively as the Mabinogion. This convenient modern title, based on a scribal error in
a single medieval manuscript, may convey a false impression of the homogeneity of these
stories. Found in two related manuscripts of the fourteenth century, the White Book of
Rhydderch and the Red Book of Hergest, they are literary compositions ranging in date
from the late eleventh century to the mid-thirteenth century. They are derived, as com-
plete tales or their episodes, from traditional oral narratives, and they bear witness, howev-
er imperfectly, to a large body of traditional material (Wel., cyfarwyddyd), other relics of
which are extant in the collections of triads, the Stanzas of the Graves, and other allusions.
The sources reflected are diverse—mythological, legendary, and international folkloric.
The most clearly mythological are those tales known as the “Four Branches” of the Ma-
binogion (c. 1060–1120).
An attempt has been made to associate mabinogi with the name of the youth god
Maponos (Wel., Mabon), son of Matrona (Wel., Modron), the mother goddess, and to
suggest the meaning “Mabonalia,” but the word occurs elsewhere in Middle Welsh mean-
ing “childhood” or “beginnings,” and there refers to the deeds of the precocious youthful
hero which are portents of his future greatness. An extended meaning may be simply a
tale of heroes or, perhaps, of ancestors.
The Four Branches are independent stories linked by cross-references and motivating
episodes, but accretions and restructuring over a long period have so complicated the nar-
rative that it is difficult to postulate what the original hero-tale may have been. W. J. Gruf-
fydd’s attempt to re-create a heroic biography of one major character, Pryderi, is too ambi-
tious and is based on a misinterpretation of the Old Irish tale-types; Brinley Rees,
following Georges Dumézil, offers a scheme of three functions as an original, unifying
structure. Contemporary scholarship, however, regards the Four Branches of the Ma-
C LOCKWISE FROM TOP LEFT CORNER. Mayan vase with relief depicting the head of the sun, c. seventh
to tenth century. Naturhistorisches Museum, Vienna, Austria. [©Giraudon/Art Resource, N.Y.];
Greek vase depicting Circe mixing a magical potion to transform the companions of
Odysseus into animals. [Photograph ©2004 Museum of Fine Arts, Boston]; Late-nineteenth-
century Alaskan Eskimo mask representing the spirit of the moon as a face encompassed by
the air (board), the cosmos (hoops), and the stars (feathers). Sheldon Jackson Museum, Sitka,
Alaska. [©Werner Forman/Art Resource, N.Y.]; Ummayad Mosque in Damascus, Syria.
[©Christine Osborne/Corbis]; The Abbey of Mont-Saint-Michel, France. [©Archivo Iconografico,
S.A./Corbis] .
5545
5546
MABINOGION
binogi as the work of a single author and looks for an au-
analysis, its three episodes, about fairy creatures, fighting
thorial thematic unity which has brought together a numer
dragons, and the food thief, reflect the Indo-European tri-
of disparate narratives.
partite functions of sagacity, warfare, and provision. The
The First Branch contains the birth-tale of Pryderi, son
Dream of Maxen is popular history, an account of the mar-
of Pwyll, lord of Dyfed (in southwestern Wales); Pwyll was
riage of the Roman emperor Magnus Maximus (r. 383–388)
known as “head of Annwn” because of his stay in the other-
with a British princess and the subsequent foundation of
world in the guise of its king, who had called upon him to
Brittany. Culhwch and Olwen (c. 1060) is an extended ver-
help overcome an adversary. Upon his return Pwyll marries
sion of the folk tales Six Go through the World and The
Rhiannon and they have a son, but the infant disappears
Giant’s Daughter; the Dream of Rhonabwy (thirteenth centu-
from his crib. The child is subsequently discovered at the
ry?) is a pastiche of traditions and themes put together as so-
court of another nobleman, Teyrnon, some seventy miles
cial satire and a parody of literary modes. The three ro-
distant, when a giant arm is amputated as it attempts to steal
mances, Geraint, Owain, and Peredur, are related to three
a foal on May Eve. There are many inconsistencies and gaps
romances by the twelfth-century French poet Chrétien de
in the narrative, which seems to be a conflation of the motifs
Troyes, although the nature of the interdependence is still
of the calumniated wife, the monster hand, and the congeni-
problematic. The ultimate sources, however, are Celtic
tal animals, but presumably it was intended to give an ac-
(Welsh or Breton), and they seem to contain examples of the
count of the birth of the hero in Annwn or to divine parents.
sovereignty myth (better evidenced in Irish) wherein the
Rhiannon is a Welsh counterpart of *Rigantona, queen-
hero, or king, marries the titular goddess of his land, thereby
goddess, and is to be compared with Teyrnon, or *Tig-
ensuring its fruitfulness. In the extant versions the signifi-
ernonos, king-god; her name and function are close to those
cance of the myth has been lost, and little of its primitive
of Matrona, whose son Maponos was taken from his moth-
value remained for either authors or audiences.
er’s side when three nights old, according to an allusion in
the eleventh-century story Culhwch and Olwen. She is proba-
bly identical with Epona, shown in Gaulish iconography as
BIBLIOGRAPHY
riding a horse, which recalls Rhiannon’s associations with
All these stories are translated into English in Gwyn Jones and
horses. Both Rhiannon and her son Pryderi are abducted in
Thomas Jones’s The Mabinogion (London, 1993). Patrick K.
the Third Branch, and his loss is reflected in the wasting of
Ford translates seven of them and discusses their possible
his lordship of Dyfed.
mythological bases in The Mabinogi and Other Medieval
Welsh Tales (Berkeley, 1977). Proinsias Mac Cana’s Celtic
The Third and Fourth Branches are complex narratives,
Mythology (London, 1983) is an excellent introduction to the
both located in Gwynedd in northwestern Wales. The pro-
broader mythological themes, while Rachel Bromwich,
tagonists of the Fourth Branch are members of the divine
Trioedd Ynys Prydein: The Welsh Triads, 2d ed. (Cardiff,
family of Dôn (cf. Irish Tuatha Dé Danann)—Gwydion, the
1978) discusses many of the characters of Welsh myth and
magician; Aranrhod, who gave birth to Lleu (cf. Irish Lugh;
legend. W. J. Gruffydd’s Math vab Mathonwy (Cardiff,
Gaulish Lugus) and Dylan, who was the son of the Wave and
1928) and Rhiannon (Cardiff, 1953) were pioneer studies of
had the nature of a fish; Amaethon, the divine plowman; and
the structure of the Four Branches but need to be used with
Gofannon (cf. Irish Goibhniu), the divine smith. The story
care; Brinley Rees, Ceinciau’r Mabinogi (1975; Llandysul,
relates how Gwydion fashioned a wife from flowers for his
1999) is an interesting Dumézilian study. Proinsias Mac
nephew Lleu, cursed by his mother never to have a name,
Cana, The Mabinogi (Cardiff, 1992) and Sioned Davies, The
arms, or a wife.
Four Branches of the Mabinogi (Llandysul, 1993) cover a
number of topics. Other useful studies of the narrative tradi-
The Second Branch describes the tragic result of the
tion are: Kenneth Jackson, The International Popular Tale
marriage of Branwen, daughter of Llyˆr, to the Irish king
and Early Welsh Tradition (Cardiff, 1961), W. J. Gruffydd,
Mathonwy and the devastation caused when her brother
Folklore and Myth in the Mabinogion (Cardiff, 1958), J. K.
Brân, the giant king of Britain, and his brother Manawydan
Bollard, “The Role of Myth and Tradition in the Four
rescue her. Llyˆr is possibly cognate with the Irish ler (“sea”),
Branches of the Mabinogi,”Cambridge Medieval Celtic
and there is probably some relationship between the Welsh
Studies 6 (1983): 67–86, Andrew Welsh, “The Traditional
characters and the Irish Manannán mac Lir and Bran of The
Narrative Motifs of the Four Branches of the Mabinogi,”
Voyage of Bran, although the stories in Welsh and Irish do
Cambridge Medieval Celtic Studies 15 (1988): 51–62, Juliette
not correspond closely.
Wood, “The Calumniated Wife in Medieval Welsh Litera-
ture,” Cambridge Medieval Celtic Studies 10 (1985): 25–38,
The other stories of the Mabinogion are briefer and sim-
P. K.Ford, “Prolegomena to a Reading of the Mabinogi:
pler narratives. Cyfranc Lludd a Llefelys, first found as an in-
‘Pwyll’ and ‘Manawydan,’” Studia Celtica 16/17 (1981–
terpolation in a Welsh translation by Geoffrey of Monmouth
1982): 110–25, Georges Dumézil, “La quatrième branche du
in his Historia regum Britanniae (c. 1200), is an extended
Mabinogi et la thèologie des trois functions,” Rencontres des
triad. It may be a popular version of a mythological account
religions (Paris, 1986): 25–38. For mythological themes in
of the winning of Britain by waves of invaders—
Cyfranc Lludd a Llefelys see the edition by Brynley F.Roberts
otherworldly, Roman, and Saxon—or, according to another
(Dublin, 1975), Georges Dumézil, “Triades de calamités et
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MADHHAB
5547
triades de délits a valeur trifonctionelle chez divers peuples
in Iraq. Of these four centers, usually referred to as the an-
indo-européens,” Latomus 14 (1955): 173–185.
cient schools of law, Medina and Kufa were the most impor-
B
tant. With their further development in the latter half of the
RYNLEY F. ROBERTS (1987 AND 2005)
second century, geographical schools gave way to personal
schools, named after an individual master whom the mem-
MACUMBA
bers of the school followed.
SEE AFRO-BRAZILIAN RELIGIONS
The ancient schools of law adopted two different ap-
proaches to jurisprudence. The jurists of Mecca and Medina,
MADHHAB. For lack of a better term, “legal school” is
cities where the Prophet had lived and Islam had its origin
the most acceptable translation of madhhab, and it is prefera-
and early development, laid emphasis on tradition as their
ble to both “sect” and “rite,” terms which have been used in
standard for legal decisions. They thus acquired the name ahl
earlier works. A legal school implies a body of doctrine
al-h:ad¯ıth, or “partisans of tradition.” Being away from the
taught by a leader, or imam, and followed by the members
Hejaz and culturally more advanced, the Iraqi schools, on the
of that school. The imam must be a leading mujtahid, one
other hand, resorted more readily to personal opinion (ra Dy),
who is capable of exercising independent judgment. In his
which is why they acquired the name ahl al-ra Dy, or “parti-
teaching, the imam must apply methods and principles
sans of opinion.” This group had a tendency to imagine hy-
which are peculiar to his own school independent of others.
pothetical cases in order to determine their legal solutions.
A madhhab must also have followers who assist their leader
They had a flair for scholasticism and technical subtlety. The
in the elaboration and dissimination of his teachings. A mad-
ahl al-h:ad¯ıth, on the other hand, were averse to abstract spec-
hhab does not imply, however, a definite organization, a for-
ulation; they were more pragmatic and concerned themselves
mal teaching, or an official status, nor is there a strict unifor-
with concrete cases. Abu¯ H:an¯ıfah was the leading figure of
mity of doctrine within each madhhab. The membership of
the Iraqi school, whereas Ma¯lik, and after him al-Sha¯f¯ıE¯ı, led
the present-day madhhabs is ascertainable on the basis of
the Hejazi school of legal thought.
both individual confession and a loosely defined association
T
of a country or a group to a particular madhhab. Legal school
HE H
: ANAF¯IYAH. The founder of the H:anaf¯ı school, Abu¯
is a fitting description of madhhab simply because law is the
H:an¯ıfah NuEma¯n ibn Tha¯bit (d. 767), was born in Kufa,
main area in which the schools have widely disagreed. Their
where he studied jurisprudence with Ibra¯h¯ım al-NakhaE¯ı and
differences on the principles of the faith, at least among the
H:amma¯d ibn Ab¯ı Sulayma¯n. He delivered lectures to a small
Sunn¯ı schools, are negligible. But disagreement on subsid-
circle of students who later compiled and elaborated his
iary matters (furu¯ E) extends to almost every subject.
teaching. Qiya¯s, or analogical reasoning, which became one
of the four sources of law, receives the greatest support from
THE EARLIEST SCHOOLS. The first major split occurred be-
Abu¯ H:an¯ıfah. Because of this, and his extensive use of raDy,
tween the Sunn¯ı and the Sh¯ıE¯ı schools of law barely three
Abu¯ H:an¯ıfah was criticized by the traditionists for emphasiz-
decades after the death of the Prophet, about 660 CE. The
ing speculative opinion at the cost of the h:ad¯ıth. Abu¯
secession of the Sh¯ıEah from the main body of the Muslims,
H:an¯ıfah has left no work except a small volume on dogmat-
the Sunn¯ıs, took place on political grounds, owing mainly
ics, Al-fiqh al-akbar (The greater understanding). His teach-
to their differences on the nature and devolution of political
ings were documented and compiled mainly by two of his
authority. The Sunn¯ıs accepted as legitimate the leadership
disciples, Abu¯ Yu¯suf and al-Shayba¯n¯ı. The H:anaf¯ı school
of the four “Rightly Guided” caliphs, the Khulafa¯D Rashidun.
But the Sh¯ıEah claimed that EAl¯ı, the fourth caliph and the
was favored by the ruling Abbasid dynasty. Abu¯ Yu¯suf, who
cousin and son-in-law of the Prophet, had a superior claim
became the chief justice of the caliph Ha¯ru¯n al-Rash¯ıd (r.
to leadership over any of his three predecessors, hence their
786–809), composed, at Ha¯ru¯n’s request, a treatise on fiscal
name, the Sh¯ıEah (“party”) of EAl¯ı.
and public law, the Kita¯b al-khara¯j.
The bitter controversies which arose in the early period
Muh:ammad ibn H:asan al-Shayba¯n¯ı, a disciple of both
of Islam led to the formation of numerous groupings. The
Abu¯ H:an¯ıfah and Abu¯ Yu¯suf, compiled the corpus juris of
range of contested issues must have been extremely diverse:
the H:anaf¯ı school. Six of his juristic works, collectively called
some five hundred schools are said to have disappeared at or
the Z:a¯hir al-rawa¯yah, or works devoted to principal matters,
about the beginning of the third Muslim century (ninth cen-
became the basis of many future works on jurisprudence. All
tury CE). But even then the schools had not yet settled down
of the six works were later compiled in one volume entitled
to the number they are now. The real formation of Islamic
Al-ka¯f¯ı (The concise), by al-Marwaz¯ı, better known as
law starts, at the hands of individual jurists, in the latter part
al-H:a¯kim al-Shahid (d. 965). This was subsequently anno-
of the first century AH (seventh century CE). This period is
tated by Shams al-Din al-Sarakhsi in thirty volumes, entitled
followed in the early second/eighth century by the emer-
Al-mabsu¯t:t (The comprehensive). H:anaf¯ı law is the most hu-
gence of two geographical centers of juristic activity in the
manitarian of all the schools concerning the treatment of
Hejaz and Iraq. Each of these was further divided into two
non-Muslims and war captives, and its penal law is consid-
centers: Mecca and Medina in the Hejaz, and Basra and Kufa
ered to be more lenient.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5548
MADHHAB
The H:anaf¯ıyah has the largest following of all the
ijma¯ E meant the consensus of the scholars, but al-Sha¯fiEi de-
schools, owing to its official adoption by the Ottoman Turks
nied the existence of any such consensus. There could only
in the early sixteenth century. It is now predominant in Tur-
be one valid consensus—that of the entire Muslim commu-
key, Syria, Jordan, Lebanon, Pakistan, Afghanistan, and
nity. He thus restricted the scope of ijma¯ E to obligatory du-
among the Muslims of India, and its adherents constitute
ties, such as the daily prayer, on which such a consensus
about one-third of the Muslims of the world.
could be said to exist. But the legal theory which prevailed
after al-Sha¯fiEi returned to the concept of the consensus of
THE MA¯LIK¯IYAH. The Ma¯lik¯ı school was founded by Ma¯lik
the scholars, when it considers infallible in the same way as
ibn Anas al-As:bah:¯ı (d. 795), who spent his entire life in Me-
the general consensus of the Muslims.
dina except for a brief pilgrimage to Mecca. He served as an
official jurisconsult (muft¯ı), which may explain why he broke
Al-Sha¯fiEi essentially restricted the sources of law to the
away from the casuistic practices of his predecessors and at-
QurDa¯n and the sunnah. Should there be no provision in
tempted to formulate the principles underlying the tradition,
these sources for a particular case, then the solution must be
to which he devoted his famous work, Al-muwat:t:aD (The lev-
found through the application of analogy, which basically
eled path). Ma¯lik is distinguished by the fact that he added
entails extending the logic of the QurDa¯n and the sunnah.
another source of law to those known to other schools,
Any expression of opinion which is not related to these
namely the practice of the Medinese ( Eamal ahl Mad¯ınah).
sources is arbitrary and excessive. Al-Sha¯fiEi thus restricted
Since the Medinese followed each generation immediately
the scope of ijtiha¯d (independent reasoning) by subjecting
preceding them, the process would have gone back to the
it to the requirements of strict analogical reasoning; hence
generation that was in contact with the teachings and actions
he considers ijtiha¯d and qiya¯s synonymous.
of the Prophet. In Ma¯lik’s opinion, the practice of the Me-
Al-Sha¯fiEi has left many works, of which the most im-
dinese thus constitutes basic legal evidence. This pragmatic
portant on jurisprudence are the Risa¯lah (Letter) and the
feature of Ma¯lik’s doctrine has been retained to the present
seven-volume Kita¯b al-umm (The book of essentials). The
in the legal practice ( Eamal) of the Maghreb, which takes
Sha¯fiEi school is now prevalent in Lower Egypt, southern
more notice than other schools of the prevailing conditions
Arabia, East Africa, Indonesia, and Malaysia and has many
and customs. (Islamic law in general does not recognize cus-
followers in Palestine, Jordan, and Syria.
tom as a source of law although it may validly operate in a
subsidiary capacity.) The major reference book of the Ma¯lik¯ı
THE H:ANA¯BILAH. Even al-Sha¯fiEi’s degree of emphasis on
school is Al-mudawwanah (The enactment), compiled by
tradition did not satisfy the uncompromising traditionists,
Asad al-Fura¯t, and later edited and arranged by Sah:nu¯n, who
who preferred not to use any human reasoning in law and
published it under the name Al-mudawwanah al-kubra¯ (The
chose, as much as possible, to base their doctrine on the
greater enactment). The Ma¯lik¯ı school is currently predomi-
QurDa¯n and the h:ad¯ıth. This was the avowed purpose of the
nant in Morocco, Algeria, Tunisia, Upper Egypt, the Sudan,
two new schools which emerged in the third century AH
Bahrain, and Kuwait.
(ninth century CE). The first and the only successful one of
these was the H:anbal¯ı school, founded by Ah:mad ibn
THE SHA¯FIE¯IYAH. The third major surviving school is called
H:anbal (d. 855), the orthodox opponent of the rationalists
the Sha¯fiE¯ıyah, after its founder, Muh:ammad ibn Idr¯ıs
and the ahl al-ra Dy (the other was the Z:a¯hir¯ı school of
al-Sha¯fiEi (d. 819). A pupil of Ma¯lik, he formulated the classi-
Da¯wu¯d al-Z:a¯hir¯ı which is now extinct). Ibn H:anbal’s reli-
cal theory of jurisprudence in the form that it has largely re-
ance on tradition was so total that for some time he and his
tained ever since. This theory teaches that Islamic law is
adherents were regarded not as real jurists (fuqaha¯ D) but as
based on four basic principles, or roots, of jurisprudence
mere traditionists. His main work, Al-musnad (The verified),
(us:u¯l al-fiqh): the word of God in the QurDa¯n, the divinely
is a collection of some twenty-eight thousand traditions. He
inspired conduct or sunnah of the Prophet, consensus of
uses qiya¯s very little and draws mainly on the sacred texts.
opinion (ijma¯ E), and reasoning by analogy (qiya¯s). Al-Sha¯fiEi
Ibn H:anbal’s teaching was later refined and developed by his
studied the works of his predecessors and found that despite
disciples and commanded a widespread following, but in
the existence of traditions from the Prophet, the early jurists
spite of a series of brilliant scholars and representatives over
occasionally preferred the opinion of the companions, or ig-
the centuries, the numbers suffered a continuous diminution
nored traditions when they were contrary to local practice.
after the fourteenth century CE. In the eighteenth century,
Insisting on the overriding authority of tradition, al-Sha¯fiEi
the Wahha¯b¯ıyah, the puritanical movement in the Arabian
said that authentic traditions must always be accepted.
Peninsula, derived their doctrine and inspiration from the
Whereas Abu¯ H:an¯ıfah and Ma¯lik felt free to set aside a tradi-
H:ana¯bilah as it had been expressed by the celebrated jurist
tion when it conflicted with the QurDa¯n, for al-Sha¯fiEi a tradi-
and theologian Ibn Taym¯ıyah (d. 1328).
tion could not be invalidated on this ground: he took it for
granted that the QurDa¯n and tradition did not contradict
Ironically, the H:ana¯bilah are in some respects more lib-
each other.
eral than the other schools. H:anbal¯ı law, for example, adopts
the doctrine of iba¯h:ah (lit., “permissibility”) on matters
Al-Sha¯fiEi also differed with both Abu¯ H:an¯ıfah and
which are not expressly prohibited by law. It presumes that
Ma¯lik on the meaning of ijma¯ E. To al-Sha¯fiEi’s predecessors
the validity of acts and transactions is overruled only 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
MADHHAB
5549
existence of proof to the contrary. For example, only
mands the largest following in Iran, and it has also followers
H:anbal¯ı law would allow the stipulation of a clause in a mar-
in Iraq, Lebanon, and Syria.
riage contract to prevent the husband from entering into a
According to the Isma¯E¯ıl¯ı dogma, the esoteric meaning
polygamous contract in the future. While the other schools
of the QurDa¯n and its allegorical interpretation is known only
regard this as interference with the shar¯ı Eah, H:anbal¯ı law
to the imam, whose knowledge and guidance is indispensible
maintains that the basic purpose of the law is fulfilled by mo-
to salvation. The Isma¯E¯ıl¯ıyah are divided into two groups,
nogamy; since polygamy is merely permitted by the law, it
eastern and western. The former are centered in India, Paki-
may be validly restricted in this manner. Other examples of
stan, and Central Asia, and their leader is the present Aga
this nature that may be cited include Ibn Qayyim
Khan, forty-ninth imam in the line of succession. The West-
al-Jawz¯ıyah’s validation of one witness of just character as
ern Isma¯E¯ıl¯ıyah followed al-MustaEl¯ı, the ninth Fatimid ca-
legal proof, and his approval of the acts of a bona fide catalyst
liph. This line went to the twenty-first imam, al-T:ayyib, but
(fud:u¯l¯ı), both of which the other schools have rejected. The
he became mastu¯r (occult). This group resides in southern
H:anbal¯ı school is currently predominant in Saudi Arabia,
Arabia and Syria.
Qatar, and Oman.
The Zayd¯ıyah follow Zayd ibn EAl¯ı, the fifth imam in
SH¯IE¯I SCHOOLS. In Sunn¯ı law, the head of state, or caliph,
the order of the Sh¯ıE¯ı imams. They endorse the legitimacy
is to be elected to office, and his main duty is to supervise
of the caliphs who preceded EAl¯ı on the belief that an accept-
the proper implementation of the shar¯ı Eah, the divine law
able leader has a legitimate title notwithstanding the exis-
of Islam. Sh¯ıE¯ı law, on the other hand, maintains that leader-
tence of a superior claimant. Their legal doctrine is the near-
ship, the imamate, belongs to the descendants of EAl¯ı
est of the Sh¯ıE¯ı schools to the Sunn¯ıs, and they mainly reside
through hereditary succession. Of the numerous Sh¯ıE¯ı
in the Yemen.
schools, only three have survived to this day: Ithna¯ EAshar¯ı
(Twelver), Zayd¯ı, and Isma¯E¯ıl¯ı. The differences among these
CONSENSUS AND DIVERGENCE AMONG THE SCHOOLS. To
groups stem from their divergence over the line of succession
summarize, disagreement among jurists is basically a conse-
after the fourth imam. The Twelvers, who are the largest of
quence of the freedom of ijtiha¯d which they enjoyed, partic-
the three groups, recognize twelve imams, hence their name,
ularly in the first three centuries of Islam. They have differed
Ithna¯ EAshar¯ıyah, or Twelvers, as opposed to the Isma¯E¯ıl¯ıyah,
mainly in four areas: interpretation of the QurDa¯n, accep-
who are also called SabE¯ıyah, or Seveners, because they dif-
tance and interpretation of the h:ad¯ıth, rationalist doctrines,
fered with the other Sh¯ıE¯ı groups over the identity of the sev-
and subsidiary matters. Concerning the QurDa¯n, the jurists
enth imam. According to Twelver dogma, the twelfth imam,
have disagreed over the abrogation (naskh) of some of the
the imam of the age, who disappeared in 873
QurDanic verses by others where two verses provide divergent
CE, will reap-
pear to establish the rule of justice on earth.
rulings on the same subject, or when the h:ad¯ıth overrules a
QurDanic verse. While al-Sha¯fiE¯ı’s doctrine of naskh is based
For the Sunn¯ıs, divine revelation, manifested in the
on the rule that the QurDa¯n can only be abrogated by the
QurDa¯n and the sunnah, ceased with the death of the Prophet.
QurDa¯n and sunnah only by sunnah, the other three schools
For the Sh¯ıEa¯h, however, divine revelation continued to be
add that the QurDa¯n and the sunnah may also abrogate one
transmitted, after the death of the Prophet, to the line of
another.
their recognized imams. Accordingly, they maintain that in
addition to the QurDa¯n and the sunnah, the pronouncements
The words of the QurDa¯n are divided into general
of their imams, whom they believe infallible (ma Es:u¯m), con-
( Ea¯mm) and specific (kha¯s:s:). The jurists have disagreed re-
stitute divine revelation and therefore binding law. The
garding the meaning and implications of such words. For ex-
Sh¯ıEa¯h, moreover, accept only those traditions whose chain
ample, X is unable to pay his debt. His brother Y pays it
while acting on his own initiative and out of good will. The
of authority (isna¯d) goes back to one of their recognized
question arises as to whether Y, who is called fud:u¯l¯ı, or cata-
imams; they also have their own h:ad¯ıth collections. Since the
lyst, is entitled to claim his money back from X. Ma¯lik¯ı and
imam is divinely inspired, the Sh¯ıEa¯h basically do not recog-
H:anbal¯ı law answer this question in the affirmative on the
nize ijma¯ E. Twelver doctrine, however, permits ijma¯ E as in-
authority of surah 55:60 of the QurDa¯n: “Is the reward of
terpretation of the command of the imams on a particular
goodness (ih:sa¯n) aught but goodness?” But for the
question by the jurist (mujtahid). The Twelvers are divided
H:anaf¯ıyah and Sha¯fiE¯ıyah the words of this verse are too gen-
into two branches, the Akhba¯r¯ı and the Us:u¯l¯ı. The
eral to be applied to the case in question; hence they deny
Akhbar¯ıyah do not recognize qiya¯s, but the Us:u¯l¯ıyah do.
the fud:u¯l¯ı the right to a repayment.
Sh¯ıE¯ı law, which mainly originates in the teaching of the
sixth imam, JaEfar al-S:a¯diq (d. 765) bears similarity to Sha¯fiE¯ı
The scope of disagreement concerning the sunnah is
law but differs with it on many issues. Temporary marriage,
even wider, for in this area differences extend not only to the
or mut Eah, for example, is valid only in Sh¯ıE¯ı law. The Sh¯ıE¯ı
interpretation of h:ad¯ıth but also to its authenticity. Whereas
law of inheritance is also very different from the law of any
the H:anaf¯ıyah, and to some extent the Sha¯fiE¯ıyah, apply
other school in this field. Twelver doctrine was officially
strict rules to verify the authenticity of h:ad¯ıth, the Ma¯lik¯ıyah
adopted in Persia under the Safavids in 1501; it still com-
and H:ana¯bilah are relatively uncritical. Al-Sha¯fiEi and Ibn
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5550
MADHVA
H:anbal, for example, accept a solitary (ah:a¯d) tradition, one
the view of an early jurist outside the established schools has
which is reported by a single narrator, but Abu¯ H:an¯ıfah and
been so selected. Furthermore, legal rules have been occa-
Ma¯lik accept it only under certain conditions. The jurists
sionally constructed by combining part of the doctrine of
have also applied different rules to cases of conflict and abro-
one school or jurist with part of the doctrine of another
gation between traditions. Whereas the majority would not,
school or jurist. This variation of takhayyur is known as
for example, allow the abrogation of a mutawa¯tir (a tradition
talf¯ıq, or “patching,” a procedure which has been employed
reported by numerous narrators) by an ah:a¯d, the H:anaf¯ıyah
in the modern laws of the Middle East. (For interesting illus-
permit this in principle.
trations and details on these procedural devices see Coulson’s
A History of Islamic Law.)
Disagreement over rationalist doctrines such as ra Ey,
consensus, analogy, and ijtiha¯d has already been discussed.
SEE ALSO Abu¯ H:an¯ıfah; Abu¯ Yu¯suf; H:ad¯ıth; H:ana¯bilah;
It may be added here that H:anaf¯ı law applies istih:sa¯n, or ju-
Ibn Taym¯ıyah; Ijma¯E; Ijtiha¯d; Islamic Law; Ma¯lik ibn Anas;
ristic preference, as a doctrine of equity where strict imple-
Qiya¯s; Sha¯fiEi, al-; Sunnah; Us:u¯l al-Fiqh.
mentation of analogy leads to hardships and undesirable re-
sults. The Ma¯lik¯ı school, however, adopts istis:la¯h: (regard for
BIBLIOGRAPHY
A useful biography of the well-known Sunn¯ı and Sh¯ıE¯ı Jurists of
the public interest), which is essentially similar to istih:sa¯n,
early Islam, including the founders of the schools and their
albeit with some difference of detail. Al-Sha¯fiE¯ı rejects both
doctrines, can be found in Muhammad al-Khud:ar¯ı’s Ta Dr¯ıkh
istih:sa¯n and istis:la¯h:, which he considers as no more than friv-
a-ltashr¯ı E al-isla¯m¯ı, 4th ed. (Cairo, 1934). Subh¯ı Rajab
olous and arbitrary interference with the shar¯ı Eah. Alternate-
Mahmassani’s Falsafat al-tarshr¯ı E f¯ı al-Isla¯m: The Philosophy
ly, the Sha¯fiE¯ıyah, the H:ana¯bilah, and the Twelver Sh¯ıEah
of Jurisprudence in Islam, translated by Farhat J. Ziadeh (Lei-
adopt istis:h:a¯b, or deduction by presumption of continuity.
den, 1961), contains more condensed information on both
Istis:h:a¯b, for example, assumes freedom from liability to be
the Sunn¯ı and Sh¯ıE¯ı madhhabs. This book also provides a
a natural state until the contrary is proved.
useful bibliography of Arabic works on the subject. An accu-
rate exposition of the roots of jurisprudence (us:u¯l al-figh) in
Differences of ijtiha¯d concerning subsidiary matters
the Sunn¯ı schools can be found in Muhammad Ma’ruf al-
need not be elaborated, as the abundance of legal doctrines
Dawalibi’s Al-madkhal ila ’ilm usul al-figh, 5th ed. (Cairo,
and schools within the shar¯ı Eah is indicative of such diversi-
1965). Noel J. Coulson’s A History of Islamic Law (1964; re-
ty. By the beginning of the fourth century AH there was a
print, Edinburgh, 1971) and Joseph Schacht’s An Introduc-
consensus established to the effect that all essential issues had
tion to Islamic Law (Oxford, 1964) remain the best English
been thoroughly discussed and finally settled. With this
works on the jurisprudence and history of the Sunn¯ı madh-
habs. There is also much useful information, and a bibliogra-
“closing of the door of ijtiha¯d,” as it was called, ijtihad gave
phy, on the subject in Nicolas P. Aghnides’s Muhammadan
way to taql¯ıd, or “imitation.” From then on every Muslim
Theories of Finance (New York,1916). And finally, Ignázc
was an imitator (muqallid) who had to belong to one of the
Goldziher’s Introduction to Islamic Theology and Law, trans-
recognized schools. By consensus also the four schools were
lated by Andreas Hamori and Ruth Hamori (Princeton,
accepted, and accepted one another, as equally orthodox.
1981), is comprehensive on the Sh¯ıE¯ı madhhabs and their
Notwithstanding the emergence of prominent scholars in
theological doctrines.
later centuries (including Ibn Taym¯ıyah and Ibn Qayyim
M. HASHIM KAMALI (1987)
al-Jawz¯ıyah) who objected to taql¯ıd, no one actually provid-
ed an independent interpretation of the shar¯ı Eah. Taql¯ıd re-
mained a dominant practice for about a thousand years until
MADHVA (1238–1317), also known as Anandat¯ırtha or
the reform movements of the late nineteenth century (nota-
Pu¯rnaprajña¯; founder of the Dvaita Veda¯nta school of Indian
bly the Salaf¯ıyah, whose prominent figure is Muh:ammad
E
philosophy. Born in Pajakaks:etra near Udipi in the Tulu
Abduh) and the modernist school of thought in the present
country of the Indian state of Karnataka, Madhva attracted
century which challenged taql¯ıd and called for a return to
attention as a young renunciate by his prodigious abilities in
ijtiha¯d.
reciting, interpreting, and criticizing scriptural and exegetical
A Muslim may join any orthodox school he or she wish-
texts. Gathering pupils at his classes in Udipi, he made nu-
es, or change from one school to another, without formali-
merous trips throughout India accompanied by his disciples,
ties. Furthermore, Islamic countries have made frequent use
including at least two visits to Badrinath in the Himalayas.
of divergent opinions of other schools, including Sh¯ıE¯ı legal
It is believed that he debated a number of prominent scholars
doctrines, in modern legislation. In order to achieve desired
during his lifetime.
results, modern reformers have utilized procedural expedi-
Madhva established his main temple, consecrated to the
ents permitted in the shar¯ı Eah, such as takhayyur and talf¯ıq.
god Kr:s:n:a, at Udipi, and installed in it the idol of Ba¯la Kr:s:n:a
Takhayyur, or “selection,” enables the jurist to adopt from
secured from Dwarka. The temple has flourished to this day
the various interpretations of the shar¯ı Eah that which is
in the charge of a steady line of successors stemming from
deemed to be most suitable. Reformers in the area of person-
Madhva and his disciples. Tradition holds that in the year
al status, for example, have frequently adopted a variant doc-
1317, in the middle of delivering a lecture, Madhva vanished
trine of a recognized school as the basis of reform. Sometimes
and retired permanently to Badrinath.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MA¯DHYAMIKA
5551
Madhva is credited with some thirty-seven works, in-
maka, found in the title Madhyamakaka¯rika¯, perhaps the
cluding commentaries on the Bhagavadg¯ıta¯, the Brahma
most important work of Na¯ga¯rjuna, the founder of the
Su¯tras, and ten of the older Upanis:ads; ten independent trea-
school. The school is referred to as Dbu ma pa (“the school
tises on Dvaita philosophy; short commentaries on the
of the middle”) in Tibet, San-lun-tsung (“the three-treatises
Bha¯gavata Pura¯n:a, the Maha¯bha¯rata, and part of the R:gveda;
school”) in China, and Sanronshu¯ (“the three-treatises
and a number of other brief works of a varied nature. Many
school”) in Japan. Historically, Indian Ma¯dhyamika may be
of these treatises were subsequently commented upon by
divided into three stages, early, middle, and late.
Jayat¯ırtha, Vya¯sat¯ırtha, and other famous Dvaitins; the re-
sulting large body of literature forms the basis of Dvaita
THE EARLY PERIOD. This period is marked by two great fig-
Veda¯nta.
ures, Na¯ga¯rjuna and A¯ryadeva, and a lesser one,
Ra¯hulabhadra. Na¯ga¯rjuna (c. 150–250 CE), born in South
Dvaita stands in strong contrast to S´an˙kara’s Advaita
India, was the author of a number of works variously extant
system in its conception of brahman as a personal God, inde-
in Sanskrit, Tibetan, and/or Chinese (as subsequently indi-
pendent of all other things and different from them. Madh-
cated by the parenthetical abbreviations S, T, and C). He was
va’s God, who is Vis:n:u, possesses transcendent attributes of
associated with a king of the S´a¯tava¯hana dynasty, as is seen
creation, preservation, dissolution, control, enlightenment,
from his works, the Ratna¯val¯ı (S partially, T) and the
obscuration, bondage, and release, and God himself is con-
Suhr:llekha (T), both consisting of admonitions, moral as well
sidered the cause of all causes productive of these results.
as religious, given to the king. His main works comprise five
Each individual self is by nature a reflection of God; howev-
philosophical treatises: the Madhyamakaka¯rika¯ (S, T, C), the
er, no one is aware of this until, through study of the scrip-
Yuktis:as:t:ika¯ (T), and the S´u¯nyata¯saptati (T), all of which are
tures, he comes to understand his real nature, upon which
written in verse and develop the philosophy of ´su¯nyata¯
he undertakes fervent devotion to the Lord, who responds
(“emptiness”); and the Vigrahavya¯vartan¯ı (S, T, C) and the
by bestowing his grace upon the devotee according to the lat-
Vaidalyasu¯tra (T), written in verse and in aphorisms, respec-
ter’s capacity. The devotee then abides in a state of servitude
tively, both of which are accompanied by autocommentaries
to God forever, and this state constitutes his liberation.
in prose. The last two contain Na¯ga¯rjuna’s criticism of the
Dvaita Veda¯nta is also known for its sophisticated anal-
rules governing traditional Indian logic, especially those of
yses of matters pertaining to logic, epistemology, and meta-
the Naiya¯yika. Another genuine work of Na¯ga¯rjuna’s is,
physics; many of these investigations were first raised in
without doubt, the Prat¯ıtyasamutpa¯dahr:daya (S partially, T,
Madhva’s writings.
C), as well as the autocommentary (Prat¯ıtyasamut-
The influence of Dvaita Veda¯nta has been felt through-
pa¯dahr:dayavya¯khya¯na, S partially, T, C). In this last work,
out India, but most profoundly in the South. It has been
consisting of seven verses and a commentary in prose, the
claimed by some scholars that the direct influence of Madh-
course of transmigration of sentient beings owing to defile-
va’s thought played a part in the later development of Bengali
ments, deeds, and suffering is explained in the light of the
Vais:n:avism. Certainly, later Dvaita writers were among the
theory of twelve-membered dependent co-origination. At the
most formidable opponents of Advaita Veda¯nta, and these
same time, however, the text emphasizes that because every-
doctrinal differences led to the famous controversy between
thing is devoid of own being or essential nature there is actu-
Vya¯sat¯ırtha (1478–1539), the Dvaitin author of the
ally no one who moves from this world to another. Many
Nya¯ya¯mr:ta, and Madhusu¯dana Sarasvat¯ı (c. 1540–1600),
other works are traditionally ascribed to Na¯ga¯rjuna; some,
author of the Advaitasiddhi, an extensive response to the
for example, the Maha¯prajña¯pa¯ramitopade´sa (Chin., Ta
Nya¯ya¯mr:ta and the most celebrated later work of Advaita po-
chih-tu lun, extant only in Chinese), have influenced the de-
lemics.
velopment of Buddhist exegetics, and some, for example, the
Da´sabhu¯mikavibha¯s:a¯ (C), that of Pure Land Buddhism in
SEE ALSO Veda¯nta.
China and Japan. However, nothing definite can be said as
to the authenticity of authorship of these works.
BIBLIOGRAPHY
A good overall introduction to the thought of Madhva is B. N.
The philosophy of emptiness is found in such early
K. Sharma’s A History of the Dvaita School of Veda¯nta and Its
Buddhist su¯tras as the Ti-i-i-kung ching (T. D. 2.92c) and
Literature, 2d rev. ed., 2 vols. (Bombay, 1981).
the Aggi-Vacchagotta Suttanta (Majjhima Nika¯ya, no. 72)
and thus did not originate with Na¯ga¯rjuna, who declared
KARL H. POTTER (1987)
that he revived the true teaching of the Buddha. However,
Na¯ga¯rjuna also relied heavily on the Prajña¯pa¯ramita¯ Su¯tras,
the Da´sabhu¯mika Su¯tra, and the Ka¯´syapaparivarta in form-
MA¯DHYAMIKA. The Ma¯dhyamika, or Madhyamaka,
ing his philosophy. His philosophy of emptiness was a criti-
school is one of the four great schools of Indian Buddhism,
cism of Indian realism, which was represented by Indian
along with the Sarva¯stiva¯da, Sautra¯ntika, and Yoga¯ca¯ra
philosophical systems of the Sa¯m:khya, the Vai´ses:ika, and the
(Vijña¯nava¯da) traditions. The name Ma¯dhyamika (“one who
Naiya¯yika, and by such H¯ınaya¯na Buddhists as the
follows the middle way”) is derived from the word madhya-
Sarva¯stiva¯das and other Abhidharma philosophers, who be-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5552
MA¯DHYAMIKA
lieved that human ideas, insofar as they are rational, have
not only by Ma¯dhyamikas but also by philosophers of other
substances that correspond to them in the external world.
schools. In addition, there is Ch’ing-mu’s commentary ex-
tant in Kuma¯raj¯ıva’s Chinese translation. The Shun-chung
In speaking of emptiness Na¯ga¯rjuna meant to say not
lun (C) by Asan˙ga (c. 320–400), another Yoga¯ca¯rin, is a gen-
that nothing exists but that everything is empty of svabha¯va
eral interpretation of Na¯ga¯rjuna’s verse of salutation found
(“own being”), that is, of an independent, eternal, and un-
at the very beginning of the Madhyamakaka¯rika¯.
changing substance. All things are, like images in a dream or
an illusion, neither substantially existent nor nonexistent ab-
The middle period is characterized by the split of the
solutely. Na¯ga¯rjuna’s negation of a self-dependent substance,
Ma¯dhyamika into two subschools, the Pra¯san˙gika, represent-
which he holds to be nothing but a hypostatized concept or
ed by Buddhapa¯lita and Candrak¯ırti, and the Sva¯tantrika,
word, is derived from the traditional Buddhist idea of depen-
represented by Bha¯vaviveka and Avalokitavrata. The names
dent origination (prat¯ıtya-samutpa¯da), the idea that whatever
Pra¯san˙gika and Sva¯tantrika are not attested to in any Sanskrit
exists arises and exists dependent on other things. Na¯ga¯rjuna,
texts and thus were probably coined by later Tibetan doxo-
however, introduces into that theory the concept of mutual
graphers. However, the names so appropriately describe the
dependency. Just as the terms long and short take on meaning
tenets of the two subschools that they are widely used even
only in relation to each other and are themselves devoid of
by modern scholars.
independent qualities (longness or shortness), so too do all
phenomena (all dharmas) lack own being (svabha¯va). If a
In his arguments Na¯ga¯rjuna often used dilemmas and
thing were to have an independent and unchanging own
tetralemmas. In Madhyamakaka¯rika¯ 1.1, for instance, he
being, then it would follow that it is neither produced nor
states that things produced from themselves, from others,
existent, because origination and existence presuppose
from both themselves and others, or from no cause at all can
change and transiency. All things, physical as well as mental,
be found nowhere. Buddhapa¯lita, the founder of the
can originate and develop only when they are empty of own
Pra¯san˙gika school, divided this tetralemma into four differ-
being. This idea of emptiness necessitates the truth of non-
ent prasan˙ga arguments, or arguments reductio ad absurdum.
duality. Sam:sa¯ra and nirva¯n:a (defilements and liberation),
He pointed out that (1) production of a thing from itself
like any other pair of contradictions, are nondual because
would be quite useless because, having own being, the thing
both members of the pair are empty of own being.
would already exist and such production would thus involve
the logical fault of overextension (ati prasan˙ga), for a thing
A¯ryadeva (c. 170–270), a direct disciple of Na¯ga¯rjuna,
already existing by own being would, under this assumption,
was also active in South India. He wrote three works: the Ca-
never cease being produced; (2) if things are produced from
tuhsataka, his main work (S fragment, T, C latter half only);
another, all things could be produced from all other things;
the Satasastra (C), which has been studied throughout China
(3) if things are produced from both themselves and another,
and Japan; and the Aksarasataka (T, C), a small work consist-
the faults attached to the two preceding alternatives would
ing of a hundred words and his autocommentary. A¯ryadeva
combine in this third one; and (4) if things are produced
inherited Na¯ga¯rjuna’s philosophy. Nothing is known about
from no cause, all things would be produced always and from
Ra¯hulabhadra except that he left two hymns, the
all things.
Prajña¯pa¯ramita¯stotra and the Saddharmapun:-d:ar¯ıkastotra,
and a few fragmentary verses quoted in the Chinese texts.
Na¯ga¯rjuna himself used prasan˙ga as often as dilemmas
and tetralemmas, but Buddhapa¯lita, analyzing even dilem-
THE MIDDLE PERIOD. Tradition reports that eight Indian
mas and tetralemmas into plural prasan˙gas, considered the
scholars wrote commentaries on the Madhyamakaka¯rika¯:
latter to be the main method of Ma¯dhyamika argumenta-
Na¯ga¯rjuna himself (Akutobhaya¯, T); Buddhapa¯lita (c. 470–
tion. As a form of argument, prasan˙ga had been known
540; Buddhapa¯lita-Mu¯lamadhyamakavr:tti, T); Candrak¯ırti
among logicians since the time of the Nya¯ya Su¯tra (codified
(c. 600–650; Prasannapada¯, S, T); Deva´sarman (fifth to six
in the third century) under the name tarka. In the eighth
centuries; Dkar po Dchar ba, T fragment); Gun:a´sri (fifth to
century it was formalized by Buddhist logicians into a syllo-
sixth centuries; title unknown); Gun:amati (fifth to sixth cen-
gistic form under the name prasan˙ga-anuma¯na (“inference by
turies; title unknown, T fragment); Sthiramati (c. 510–570;
prasan˙ga ”). If, for example, seeing smoke on a mountain, we
Ta-sheng chung-kuan shih-lun, C); and Bhavya (also known
want to prove the existence of fire to someone who objects
as Bha¯vaviveka; c. 500–570; Prajña¯pradipa, T, C).
by denying the existence of fire there, we can argue that if
The Akutobhaya¯ is partially identical with Buddha-
there were no fire on the mountain, there would be no smoke
pa¯lita’s commentary, and its authenticity is doubtful. Two
there either. At the same time we would be pointing out the
fragments from Deva´sarman’s commentary are cited with
fact that smoke is actually rising on the mountain. This form
appreciation by Bha¯vaviveka. A fragment from Gun:amati’s
of argument is known as pra-sanga, the essence of which is
commentary is criticized by Bha¯vaviveka. The works of
to indicate that an absurd conclusion would follow, given the
Deva´sarman and Gun:amati are not extant. Nothing is
opponent’s claim. The above example can be put into the
known about Gun:a´sri or his work. The fact that Gun:amati
following categorical syllogism: wherever there is smoke,
and Sthiramati, both well-known Yoga¯ca¯rins, commented
there is fire (p); that mountain has smoke (q); therefore, that
on the Madhyamakaka¯rika¯ shows that Na¯ga¯rjuna was revered
mountain has fire (r). This syllogism (pq? r) can be trans-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MA¯DHYAMIKA
5553
formed into the following prasan˙ga-anuma¯na (p ~r? q): wher-
(“the negation of a proposition,” opposite to paryuda¯sa, “the
ever there is no fire, there is no smoke (the contraposition
negation of a term”), in which the negative particle is related
of p); (if) the mountain has no fire (~r), (it would follow that)
to the verb, not to the nominal, so that not from themselves
the mountain has no smoke (~q), which is contrary to fact.
may not mean from another; and no counterexample is avail-
Likewise, Buddhapa¯lita’s prasan˙ga may be written: produc-
able, that is, no member of the class contradictory to the pro-
tion of things from themselves is useless (p); (if) this thing
bandum is available, which means that the contraposition of
is produced from itself (~r), then (it would follow that) its
the major premise (i.e., what is produced from itself is non-
production is useless (~q). These examples of
existing) is not supported by actual examples.
prasan˙ga-anuma¯na are hypothetical syllogisms because the
minor premise (~r) is hypothesized by the advocator and
Bha¯vaviveka’s logic, however, had its own difficulties,
only claimed by the opponent and because the conclusion
for which it was criticized by Sthiramati and Candrak¯ırti as
(~q), necessarily following from the two premises, is false.
well as by the Naiya¯yikas. If the restrictive from the standpoint
of the highest truth governs not only the conclusion but also
Bha¯vaviveka criticized Buddhapa¯lita, saying that his ar-
the whole syllogism, the minor premise would not be per-
gument was a mere prasan˙ga, lacking both a true probans
missible because all things, including the cognitive organs,
(i.e., minor premise) and an example (i.e., major premise).
would be nonexistent from the standpoint of the highest
Furthermore, Buddhapa¯lita may be understood to maintain
truth according to the Ma¯dhyamika. If, on the contrary, the
a counterposition to the probans as well as to the example
restriction governed only the conclusion and not the two
because of the nature of prasan˙ga. This is to say,
premises, then the cognitive organs in the minor premise
Buddhapa¯lita’s own opinion would be as follows: a thing is
would have to be regarded as existent when seen from the
produced from another, et cetera (r), and its production is
standpoint of truth on the conventional level (sam:vr:ti,
useful (q). Understood in that way, Buddhapa¯lita’s assertion
vyavaha¯ra), while the same organs in the conclusion would
would be contrary to Na¯ga¯rjuna, who denied not only pro-
be nonexistent when seen from the highest truth. Therefore,
duction from the thing itself but also production from an-
Bha¯vaviveka is to be criticized for using the term the cognitive
other, from both, and from no cause. Until some Buddhist
organs on two different levels of discourse. In both cases he
logicians came, in the eighth century, to recognize prasan˙ga
commits a logical fallacy.
as a form of formal inference, it was not regarded as authen-
tic; in fact, although it had been admitted as supplementary
Candrak¯ırti says that the negation used by all
to the categorical syllogism, it was classified as erroneous
Ma¯dhyamikas should be regarded as prasajya-pratis:edha.
knowledge because its conclusion was false to the arguing
When there is a defect in the counterexample, that is, when
party.
the contraposition of the major premise is not attested to in
actuality, how can there be certainty with regard to the valid-
Bha¯vaviveka was strongly influenced by his senior con-
ity of the original major premise? Candrak¯ırti, citing one of
temporary Digna¯ga, the reformer of Buddhist logic and epis-
Na¯ga¯rjuna’s verses, argued that the Ma¯dhyamikas, having no
temology. Accordingly, it was Bha¯vaviveka’s contention that
assertion of their own, should not rely on the syllogistic
the Ma¯dhyamikas had to employ categorical syllogisms to
method and that prasan˙ga is the only and the best way of ar-
prove the truth of their philosophy. In his commentary on
gumentation for them.
the Madhyamakaka¯rika¯ as well as in his other works,
Bha¯vaviveka formed innumerable categorical syllogisms, the
The commentary on the Madhyamakaka¯rika¯ was
so-called svatantra-anuma¯na (“independent inference”). This
Buddhapa¯lita’s sole work. Bha¯vaviveka, in addition to the
is why he came to be called a Sva¯tantrika, in contradistinc-
Prajña¯prad¯ıpa, wrote the Madhyamakahr:dayaka¯rika¯ (S, T)
tion to Buddhapa¯lita, who was termed a Pra¯san˙gika.
with his autocommentary Tarkajva¯la¯ (T), in which he dis-
cussed the truth of the Ma¯dhyamika philosophy in chapters
For instance, in commenting on Na¯ga¯rjuna’s denial of
1, 2, and 3 and the doctrines of H¯ınaya¯na Buddhism,
production of things from themselves (Madhyamakaka¯rika¯
Yoga¯ca¯ra, Sa¯m:khya, Vai´ses:ika, Veda¯nta, and other schools
1.1), Bha¯vaviveka uses the following syllogistic form, which
in the following chapters. His Ta-sheng chang-chen lun
may be rewritten according to Aristotelian logic thus:
(Karatalaratna?) is extant only in Chinese. The authenticity
Major Premise: whatever exists is not produced from it-
of two other works ascribed to Bha¯vaviveka, the
self, for example, caitanya (an eternal, unchanging spirit
Madhyamakaratnaprad¯ıpa and the Madhyamaka¯rthas-
in the Sa¯m:khya philosophy). Minor Premise: the cogni-
am:graha, is doubtful. In addition to the Prasannapada¯,
tive organs (eye, ear, nose, etc.) exist. Conclusion: there-
Candrak¯ırti left a great work entitled Madhyamaka¯vata¯ra
fore, from the standpoint of the highest truth (para-
(T), consisting of verses and an autocommentary, in which
marthatah) they have not been produced from
he explicated the essentials of the Ma¯dhyamika philosophy
themselves.
in accordance with the ten perfections (pa¯ramita¯) of the bo-
In constituting this kind of syllogism, Bha¯vaviveka included
dhisattva. He was a prolific writer: the Pañcaskand-
three unusual modifications: the word parama¯rthatah: (“from
haprakaran:a and the commentaries on the S´u¯nyata¯saptati,
the standpoint of the highest truth”) is added; the negation
the Yuktis:as:t:ika, and the Catuh:´sataka, all extant only in Ti-
in this syllogism should be understood as prasajya-pratis:edha
betan, are known to be his works. Avalokitavrata (seventh
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5554
MA¯DHYAMIKA
century), a Sva¯tantrika, wrote a bulky and informative com-
philosophies of the Sarva¯stiva¯da, Sautra¯ntika, and Yoga¯ca¯ra
mentary (T) on Bha¯vaviveka’s Prajña¯prad¯ıpa. S´a¯ntideva,
schools as well as non-Buddhist philosophies, and proclaims
who tended to be a Pra¯san˙gika, wrote the S´iksas:a¯muccaya (S,
the Ma¯dhyamika as the last and highest doctrine of all. The
T, C), a collection of teachings about learnings and practices
principle underlying his criticism against all other schools
of the bodhisattva, and the Bodhicarya¯vata¯ra (S, T, C), which
that regard specific entities as ultimate metaphysical realities
consisted of more than nine hundred verses and which also
is that they are empty of reality because they are devoid of
taught practices of the bodhisattva according to the six
both singular and plural own beings.
pa¯ramita¯s. The Su¯trasamuccaya, a collection of passages from
Like the M¯ıma¯m:sa¯, Vai´ses:ika, Naiya¯yika, and other
Ma¯ha¯yana su¯tras, is ascribed by Tibetans to Na¯ga¯rjuna, but
schools, the Sarva¯stiva¯da holds that knowledge, like a clean
it is closely related to the S´iksas:a¯muccaya and suggests that
slate, is pure and is not endowed with the image of an object
S´a¯ntideva may have added more su¯tra passages to
and that cognition takes place through the contact of mind,
Na¯ga¯rjuna’s original text.
a cognitive organ, and an external object, all of which exist
THE LAST PERIOD. Philosophers of the middle period of In-
at the same moment. Epistemologically, this is a copyist the-
dian Ma¯dhyamika can be characterized as follows: they wrote
ory of knowledge, called in India nira¯ka¯rajña¯nava¯da (“the
their own commentaries on the Madhyamakaka¯rika¯; they
theory of knowledge not endowed with the image of the ob-
were divided into the Pra¯san˙gika and the Sva¯tantrika, ac-
ject”). On the other hand, like the Sa¯m:khya, Veda¯nta, and
cording to whether they adopted either prasan˙ga (“reductio
Yoga¯ca¯ra schools, the Sautra¯ntika contends that what is cog-
ad absurdum”) or sva¯tantra-anu-mana (“independent syllo-
nized is not an external object but an image thrown into
gism”) as a means for establishing the truth of the
knowledge by the external reality, which always remains
Ma¯dhyamika philosophy; and they regarded the Yoga¯ca¯ra
something imperceptible. Knowledge is an effect of an exter-
school as their opponent and criticized its philosophy. In
nal object that is its cause and that has already disappeared
contrast, philosophers of the last period were influenced by
at the moment the knowledge arises. This is the representa-
Dharmak¯ırti, the greatest scholar of the Buddhist logico-
tionalist’s theory of knowledge and is called sa¯ka¯rajña¯nava¯da
epistemological school, as much as they were by Na¯ga¯rjuna;
(“the theory of knowledge endowed with the image of the
with a few exceptions, almost all of them belonged to the lin-
object”). But the Sautra¯ntika, unlike the Yoga¯ca¯ra, does not
eage of the Sva¯tantrika school; and they appreciated the phi-
deny the existence of the external reality. For it, an external
losophy of the Yoga¯ca¯ra school and even introduced it as part
reality, though never perceived, must be postulated as exist-
of the Ma¯dhyamika philosophy. Consequently, beginning
ing. According to the Yoga¯ca¯ra, it is unnecessary to postulate
with S´a¯ntiraks:ita, they came to be called the Yoga¯ca¯ra-
the existence of the external reality because what knowledge
Ma¯dhyamika-Sva¯tantrika by Tibetans. In contrast, the later
cognizes is an image that is given not by an external object
Tibetan scholars called Bha¯vaviveka a Sautra¯ntika-
but by the immediately preceding moment of the knowl-
Ma¯dhyamika-Sva¯tantrika, as he adopted the Sautra¯ntika the-
edge. The mind is a stream of moments containing impres-
ory of the imperceptible but real external world from the
sions of experiences accumulated since the beginningless
standpoint of truth on the conventional level (sam:vr:ti).
past. The world is nothing but the representations of mind;
The greatest figure of this last period is S´a¯ntiraks:ita (c.
external objects are in reality nonexistent. Yoga¯ca¯ra holds, as
725–784), a disciple of Jña¯nagarbha (eighth century), of
does the Sautra¯ntika, that knowledge is endowed with an
whom very little is known except that he was the author of
image (sa¯ka¯rajña¯na). However, the Yoga¯ca¯ras are divided
the Satyadvayavibhan˙ga (T), his autocommentary the
into two groups as regards the nature of that image. One
Satyadvayavibhan˙gavr:tti, and the Yogabha¯vana¯ma¯rga (T). A
maintains that the image is as real as the self-cognition
scholar at Na¯landa¯ Monastery, S´a¯ntiraks:ita was invited to
(svasam:vedana) of knowledge. The other contends that the
Tibet by a Tibetan king. There he established the first Tibet-
image is unreal, although self-cognition is real. We often
an Buddhist monastery (at Bsam yas) in cooperation with
grasp an erroneous image, say of a silver coin that we realize
Padmasambhava, and ordained the first six Tibetan monks.
a moment later is nothing but a shell. According to the latter
He wrote two works, the Tattvasam:graha (S, T) and the
opinion, this means that all images can be unreal, while the
Madhyamaka¯lam:ka¯ra (T), and a commentary on the
illumination (praka¯´sa) itself, which exists with both the silver
Satyadvayavibhan˙ga, the main work of his master. The
coin and the shell, is real. This illumination or self-cognition
Tattvasam:graha, written in 3,645 verses, introduces the phi-
is the only reality. This view is called al¯ıka¯ka¯rava¯da (“the
losophies of various Indian schools, non-Buddhist as well as
theory of the unreal image of cognition”). According to the
Buddhist, and also provides a criticism of them. Accompa-
former opinion, however, the illumination alone is never
nied by a large commentary by Kamala´s¯ıla, his worthy disci-
cognized separately from the image. The image of a silver
ple, this work is extant in Sanskrit and is extremely valuable
coin is as real as the illumination because it is not contradict-
for the information it imparts on the world of Indian philos-
ed by the image of a shell. This is because the latter exists
ophy at that time. In the Madhyamaka¯lam:ka¯ra, to which
not at the same moment as the former but a moment later.
there exist his autocommentary, the Madhyamaka¯lam:-
What is unreal is not the image but the conception that in-
ka¯ravr:tti (T), and Kamala´s¯ıla’s subcommentary, the
terprets the image as something other than what it is. This
Madhyamaka¯lam:ka¯rapañ-jika (T), he criticizes the Buddhist
is called satya¯ka¯rava¯da (“the theory of the real image”).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MA¯DHYAMIKA
5555
S´a¯ntiraks:ita preferred the Sautra¯ntika to the
schools are introduced, and in the case of Bodhibhadra, non-
Sarva¯stiva¯da and the Yoga¯ca¯ra to the Sautra¯ntika. As for the
Buddhist Indian philosophical schools are included. The
Satya¯ka¯rava¯dins and Al¯ıka¯ka¯rava¯dins, S´a¯ntiraks:ita holds that
schools are arranged in order from lowest to highest, accord-
both parties are unable to explain the reason why knowledge,
ing to their respective estimations. This style of compendium
which is unitary, has an image that always appears as a gross
became the model after which later Tibetan Buddhists com-
or a plural thing. So long as it appears with a dimension, even
posed numerous grubmtha’ (Skt., siddha¯nta) or compendia
an image of cognition can be analyzed and broken down into
of doctrinal classification of Buddhist (and non-Buddhist)
parts or, ultimately, into “atoms of knowledge” (jña¯na-
schools.
parama¯nu) and therefore is plural. If the image is real, knowl-
edge must be plural; if self-cognition alone is real, why is it
Kambala (Lwa-ba-pa or La-ba-pa; date uncertain) wrote
not cognized separately? But both cases are not true because,
the Prajña¯pa¯ramita¯nava´sloka and the A¯lokama¯la¯, and, ac-
after all, knowledge has neither a single own being nor a plu-
cording to Sahajavajra, belonged to the Al¯ıka¯ka¯-
ral one and it is empty of own being. Thus the Yoga¯ca¯ra is
rava¯da-Yoga¯ca¯ra-Ma¯dhyamika school. Ratna¯kara´sa¯nti (elev-
superseded by the Ma¯dhyamika, which points out that all
enth century), an Al¯ıka¯ka¯rava¯din, disputed with
things, external as well as internal, are empty.
Jña¯na´sr¯ımitra (eleventh century), a Satya¯ka¯rava¯din. Ratna-
karasanti claimed that the Yoga¯ca¯ra and the Ma¯dhyamika
Kamala´s¯ıla (c. 740–797), a great student of
were not different; consequently, he is counted sometimes
S´a¯ntiraks:ita’s, wrote the Tattvasam:grahapañjika¯ (S, T) and
as a Yoga¯ca¯ra-Ma¯dhyamika and others as a Vijñaptimatra-
the Madhyamaka¯lam:ka¯ravrttipañjika¯ (T), commentaries on
Ma¯dhyamika. He was a great logician as well, and introduced
two main works of his teacher. Kamala´s¯ıla entered Tibet
the theory of antar-vyapti (internal determination of univer-
after his master had passed away there and was victorious at
sal concomitance) into Buddhist logic.
the famous Bsam yas debate between himself and Maha¯ya¯na
Hwa-shan˙, a Chinese Chan monk who had considerable in-
TIBET. Two or three decades after the debate at Bsam yas
fluence on Tibetan Buddhism at that time. In order to intro-
(794), Ye shes de, the first Tibetan Ma¯dhyamika scholar,
duce Tibetans to Buddhism, he wrote three books, all enti-
wrote the Ltab D’i khyadpar (Differences in doctrines), in
tled Bha¯vana¯krama (The Steps of Buddhist Meditative
which he described the history of Indian Ma¯dhyamika, its
Practice; 1 and 3 in S; 1, 2, and 3 in T; and 1 in C). He also
divisions into the Yoga¯ca¯ra- and Sautra¯ntika-Ma¯dhyamikas,
wrote the Madhyamaka¯loka (T), his main work; the
and other important Buddhist doctrines. During the ninth
Sarvadharmanih:svabha¯vasiddhi (T), a résumé of the
and the tenth centuries, Buddhism, as represented by
Madhyamaka¯loka; and the Tattva¯loka (T). Because of his vic-
Jña¯nagarbha, S´a¯ntira-ks:ita, and Kamala´s¯ıla, flourished in
tory in the debate at Bsam yas and his great effort thereafter,
Tibet. After the persecution of Buddhism by King Glang dar
Ma¯dhyamika Buddhism became firmly established in Tibet.
ma and the fall of the Tibetan dynasty, Atisa, a great scholar
His three Bha¯vana¯kramas were considered by the Tibetans
of Vikrama´s¯ıla Monastery, entered Tibet in 1041 to reestab-
at that time to be the best introductions to the Yoga¯-
lish Buddhism there. He revered Candrak¯ırti and S´a¯ntideva,
ca¯ra-Ma¯dhyamika form of Indian Buddhism; the same can
rather than Bha¯vaviveka and S´a¯ntiraks:ita, and founded the
be said even for modern students of Buddhism. In them, the
BkaDgdams pa school. He also erected the Gsang phu Tem-
necessity for the gradual training toward enlightenment is
ple, which became the center of Tibetan Buddhism under
stressed and the sudden enlightenment proclaimed by Chi-
the guidance of Phywa pa Chos kyi Seng ge (1109–1169).
nese Ch’an is denounced.
Ñi ma grags (1055–?) translated all Candrak¯ırti’s works. He
was probably the first to use the names Pra¯san˙gika and
Vimuktisena (eighth century), the author of the
Sva¯tantrika. Tsong kha pa (1375–1419), the greatest
Abhisamaya¯lam:ka¯ravr:tti (S partially, T), and Haribhadra
Ma¯dhyamika in Tibet and the first abbot of DgaD ldan Mon-
(eighth century), the author of the Abhisamayalamkaraloka
astery, founded the Dge lugs pa order, wrote many works,
(S, T) and its résumé, the Abhisamaya¯lam:ka¯ra´sa¯stravr:tti (T),
including the Lam rin chen mo (Great work on the gradual
claimed a close relationship between the Yoga¯ca¯ra-
way), and synthesized Ma¯dhyamika philosophy with the
Ma¯dhyamika philosophy and the Abhisamaya¯lam:ka¯ra, a syn-
Tantras. The so-called grubmtha’ literature, written by such
opsis of the Pañcavim:´satisa¯hasrika¯-prajña¯pa¯ramita¯ Su¯tra as-
scholars as Sa skya Pan:d:ita (1182–1251), Dbus pa Blo gsal
cribed to Maitreyana¯tha. They developed their philosophies
(fourteenth century), DJambyangs Bshad pa (1648–1722),
in commenting on the Abhisamaya¯lam:ka¯ra.
and Dkon mchog DJigs med Dbang po (1728–1791), in
which Buddhist and non-Buddhist schools are arranged as
Jita¯ri, Bodhibhadra, Advayavajra (all eleventh to twelfth
gradual steps culminating in Ma¯dhyamika thought, is
century), and others were Ma¯dhyamikas whose interest ex-
unique to Tibetan Buddhism.
tended to either Tantric Buddhism, logico-epistemology, or
both. Jita¯ri, Bodhibhadra, and Advayavajra are known for
CHINA AND JAPAN. It was Kuma¯raj¯ıva (350–409) who intro-
having written the compendia of the four great Buddhist
duced Na¯ga¯rjuna’s philosophy into China by translating
schools, the Sugatamatavibhan˙ga (T), the Jña¯nasa¯ras-
the Madhyamakaka¯rika¯, the Shih-erh-men lun (Dva¯da-
samuccayanibandhana (T), and the Tattvaratna¯va¯li (S, T), re-
´
samukha?), the Po lun (an interpretation of A¯ryadeva’s Ca-
spectively. In these works, the specific doctrines of the four
tuh:´sataka), and the Ta-chih-tu lun (Maha¯prajña¯pa¯ra-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5556
MADRASAH
mitopade´sa?). However, the authenticity of the second and
Candrakirti, and Mi pham rgya mtsho. Introduction to the Middle
fourth works, ascribed to Na¯ga¯rjuna, is doubtful. The third
Way: Candrakirti’s Madhyamakavatara with Commentary by
is not a direct translation of A¯ryadeva’s work.
Ju Mipham. Boston, 2002.
Chi-tsang (549–623) of the Sui dynasty, regarding the
Garfield, J. L. Empty Words: Buddhist Philosophy and Cross-
Cultural Interpretation. New York, 2002.
thoughts of Na¯ga¯rjuna and A¯ryadeva as the core of Buddhist
doctrine, founded the San-lun tradition. San-lun (“three
Napper, E. Dependent-Arising and Emptiness: A Tibetan Buddhist
treatises”) refers to the first three of the above-mentioned
Interpretation of Madhyamika Philosophy Emphasizing the
Compatibility of Emptiness and Conventional Phenomena.
works. Chi-tsang wrote the San-lun hsüan-i (Deep Meaning
Boston, 2003.
of the Three Treatises) and also commented on the three
treatises. He propagated the Middle Way and the eight kinds
Ruegg, D. S. Studies in Indian and Tibetan Madhyamaka Thought.
of negation that appear in the salutation verse of Na¯ga¯rjuna’s
Wien, 2000.
Madhyamakaka¯rika¯. The tradition flourished during the
Thupten, J. Self, Reality and Reason in Tibetan Philosophy: Tsong-
early T’ang period but began to decline after Hsüan-tsang’s
khapa’s Quest for the Middle Way. New York, 2002.
transmission of the works of the Yoga¯ca¯ra school to China.
Viévard, L. Vacuité (Sunyata) et Compassion (Karuna) dans le
Ekan, a Korean monk, introduced the San-lun doctrine to
Bouddhisme Madhyamaka. Paris, 2002.
Japan, where, as the Sanronshu¯, it enjoyed a brief efflores-
KAJIYAMA YU¯ICHI (1987)
cence as one of the six schools of the Nara period (seventh
Revised Bibliography
century). In China as well as in Japan, the school was short-
lived and was overtaken by popular Buddhism as propagated
by such traditions as Pure Land, Zen, and others.
MADRASAH. The madrasah is an educational institu-
SEE ALSO A¯ryadeva; At¯ı´sa; Bha¯vaviveka; Buddhapa¯lita; Bud-
tion devoted to advanced studies in the Islamic religious sci-
dhism, Schools of, article on Tibetan and Mongolian Bud-
ences. Its origin has been much debated, but evidence that
dhism; Candrak¯ırti; Dharma, article on Buddhist Dharma
the term was in use in the eastern Iranian area as early as the
and Dharmas; Dharmak¯ırti; Digna¯ga; Jizang; Kamala´s¯ıla;
late ninth century nullifies the hypothesis that it arose as the
Kumarajiva; Na¯ga¯rjuna; Prat¯ıtya-samutpa¯da; S´a¯ntideva;
Sunn¯ı competitor to the Azhar mosque school in Cairo,
S´a¯ntaraks:ita; Sarva¯stiva¯da; Sautra¯ntika; Sthiramati; S´u¯nyam
founded in 972 for the Isma¯E¯ıl¯ı Sh¯ıE¯ı sect. The same evi-
and S´u¯nyata¯; Tsong kha pa; Yoga¯ca¯ra.
dence likewise casts doubt on the idea that the Sunn¯ıs copied
the institution from the then-fledgling Karra¯m¯ıyah sect of
BIBLIOGRAPHY
Muslims, whose founder died in 869. It is also uncertain
Bhattacharya, Kamaleswar, trans. The Dialectical Method of
when the madrasah came to be associated with its characteris-
Na¯ga¯rjuna. New Delhi, 1978. An English translation of
tic architectural form, a rectangular courtyard with a broad
Na¯ga¯rjuna’s Vigrahavyavartani with the romanized text.
arched area (¯ıwa¯n) centered on each side and one or two sto-
Iida, Shotaro¯. Reason and Emptiness: A Study in Logic and Mysti-
ries of small student cells occupying the remainder of the in-
cism. Tokyo, 1980. A study of Bha¯vaviveka’s philosophy
terior wall space. This form, considered in the light of certain
with partial translations of related documents.
texts, has given rise to the hypothesis that the madrasah may
Matics, Marion L., trans. Entering the Path of Enlightenment. New
ultimately derive from a Buddhist monastic model.
York, 1970. An English translation of S´a¯ntideva’s
Bodhicarya¯vata¯ra.
Prior to the mid-eleventh century, madrasahs were con-
fined to eastern Iran and played a number of educational
Murti, T. R. V. The Central Philosophy of Buddhism. 2d ed. Lon-
roles. Mysticism (Sufism) and the traditions of Muh:ammad
don, 1970. A readable account of the Ma¯dhyamika philoso-
phy based mainly on the Prasannapada¯ of Candrak¯ırti.
(h:ad¯ıth) were as likely to be studied as Islamic law, which
later took pride of place in the madrasah curriculum. Conse-
Ruegg, David S. The Literature of the Madhyamaka School of Phi-
quently, the earliest sense of the word itself is “place of
losophy in India. Wiesbaden, 1981. A valuable conspectus,
study,” a noun of place from the verb meaning “to study.”
containing the history, philosophers, doctrines, and docu-
ments of the school and a detailed bibliography of studies by
An alternative suggestion that it means “place for studying
modern scholars.
Islamic law” and that it comes from another form of the verb
does not fit the earliest usages.
Sopa, Geshe Lhundup, and Jeffrey Hopkins. Practice and Theory
of Tibetan Buddhism. New York, 1976. An English transla-
The early Seljuk period of the mid-eleventh century
tion of Dkon mchog DJigs med Dbang po’s compendium of
marks a turning point in the history of the institution. Con-
the four great schools of Indian Buddhism.
struction and endowment of madrasahs by pious private citi-
New Sources
zens had earlier been the rule, although pre-Seljuk instances
Berger, Douglas L. “The Social Meaning of the Middle Way: The
of patronage by rulers or officials are not unknown. From
Madhyamika Critique of Indian Ontologies of Identity and
the early Seljuks on, however, the madrasah became increas-
Difference.” Journal of Dharma 26, no. 3 (2001): 282–310.
ingly linked to official patronage. The first Seljuk sultan,
Burton, D. Emptiness Appraised: A Critical Study of Nagarjuna’s
T:ughril Beg, sponsored a madrasah in the northeastern Irani-
Philosophy. Richmond, VA, 1999.
an city of Nishapur, but a far more significant development
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MA GCIG LAB SGRON (MACHIG LABDRON)
5557
was the construction of a string of madrasahs by Niz:a¯m al-
common feeders into the higher ranks. Many students, how-
Mulk, the famous vizier of T:ughril Beg’s two successors, Alp
ever, attended simply to improve their knowledge of religion
Arsla¯n and Maliksha¯h. The earliest and most important
and make manifest their family’s piety with no intention of
Niz:a¯m¯ıyah madrasahs, as they were called, were erected in
seeking religious employment. Thus the madrasah came to
Nishapur (1058) and Baghdad (1067). Legal science (fiqh)
serve a general educational function in society as well as a
of a single interpretive school (madhhab) was the primary
specialized one.
subject taught, and this subsequently became the dominant
While some of the most important madrasahs, such as
pattern, although eventually more than one school of law
al-Azhar in Cairo, the Qaraw¯ıy¯ın madrasah in Fés, and vari-
might be taught in the same madrasah.
ous Sh¯ıE¯ı institutions in Qom and elsewhere, have survived
The significance of the Niz:a¯m¯ıyahs has been variously
to the present day as centers of religious education, most
explained: they were training centers for Sunn¯ı officials to
have been supplanted or diminished in importance through
help the Seljuks supplant Sh¯ıE¯ı functionaries; they provided
the growth of secular, government-supported school systems.
financial support for staff and students at an unprecedented
Those that have survived educationally often have done so
level; they initiated the process of using patronage to exert
under financial and administrative regimes different from
government control over the elite of previously independent
those of the pre-modern period, frequently within a govern-
religious scholars. Yet there is no substantial evidence that
ment ministry, and as a consequence have suffered a diminu-
bureaucrats attended Niz:a¯m¯ıyahs; too little is known about
tion of their intellectual independence. Today, the madrasah
earlier institutions to confirm a change in manner or level
is no longer the exclusive institution for advanced study of
of funding; and it is apparent that Niz:a¯m al-Mulk and other
Islam.
founding patrons of the period acted more in a private capac-
ity than in a governing capacity.
SEE ALSO Niz:a¯m al-Mulk; Waqf.
Possibly the Niz:a¯m¯ıyah in Baghdad was most influen-
tial because it was the first madrasah west of Iran; in Bagh-
BIBLIOGRAPHY
dad, teaching had previously been practiced in mosques,
Discussion of issues surrounding the origin of the madrasah can
be found in George Makdisi’s “Muslim Institutions of
shrines, shops, and so forth. The Niz:a¯m¯ıyah madrasah be-
Learning in Eleventh-Century Baghdad,” Bulletin of the
came the prototype for the madrasahs that spread throughout
School of Oriental and African Studies 24 (1961): 1–56, and
the western Islamic world from the twelfth century on, and
his The Rise of Colleges (Edinburgh, 1981); in my The Patri-
the word madrasah became synonymous with Islamic higher
cians of Nisha-pur (Cambridge, Mass., 1972), appendix 1;
education.
and in A. L. Tibawi’s “Origin and Character of al-
In its fully evolved form, the madrasah was typically
Madrasah,” Bulletin of the School of Oriental and African
Studies 25 (1962): 225–238. Representative of the largely
founded by someone who endowed property in perpetuity
uncritical accounts of Islamic educational history is Ahmad
(waqf, “endowment”) for the pious purpose of religious edu-
Shalaby’s History of Muslim Education (Beirut, 1954). For
cation. The founder, whether a private person or a member
studies of recent madrasah education in Iran and Morocco,
of the ruling elite, could maintain a degree of control over
see Michael M. J. Fischer’s Iran: From Religious Dispute to
the endowment during his or her lifetime and oversee the
Revolution (Cambridge, Mass., 1980), chaps. 2–4, and Dale
curriculum and the hiring of faculty, but ultimately, jurisdic-
F. Eickelman’s “The Art of Memory: Islamic Knowledge and
tion over madrasahs and their income reverted to the judge
Its Social Reproduction,” Comparative Studies in Society and
(qa¯d:¯ı) of the Islamic court or to religious authorities desig-
History 20 (1978): 485–516.
nated by the government. The curriculum did not depart
RICHARD W. BULLIET (1987)
from the religious sciences, including jurisprudence, tradi-
tions of the Prophet, Arabic grammar, recitation of the
QurDa¯n. Secular subjects were taught elsewhere until the
nineteenth century, when educational reform efforts in vari-
MA GCIG LAB SGRON (MACHIG LAB-
ous countries forced some expansion of the traditional cur-
DRON) (c. 1055–1149) is the best-known woman in Ti-
riculum. Certification of the completion of specific courses
betan Buddhist history. Undoubtedly a historical figure, she
took the place of an overall diploma.
is revered both as a role model for life as a female yogi, and
Madrasah attendance seems always to have been quite
for creating an extremely popular meditative ritual used
popular, perhaps in part because of the financial support of-
throughout Tibetan religion, the Gcod (Chöd) rite.
fered to students. But the madrasah education was more a
Ma gcig flourished towards the beginning of Tibet’s
certification of acquisition of religious knowledge than a spe-
Buddhist renaissance, or “New” (gsar ma) transmission peri-
cific preprofessional training. To be sure, religious judges, ju-
od, that occurred after the fall of the Yarlung dynasty. It was
risconsults, mosque heads, professors, and the like normally
a time of decentralized political power during which many
had some amount of madrasah training, and in the Ottoman
lamas, both lay and monastic, established small communities
Empire there evolved a regular cursus honorum for such reli-
of Buddhist practice and learning throughout central, west-
gious officials in certain elite madrasahs, which were the most
ern, and southern Tibet. The social climate also apparently
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5558
MAGEN DAVID
allowed the emergence of a number of outstanding female
In addition to being credited widely with creating the
Buddhist leaders and practitioners, more than most other pe-
Gcod tradition, Ma gcig is the subject of a cult of veneration
riods of Tibetan Buddhist history. Several of these women
for her yogic prowess. She is also revered for symbolizing an
were dubbed Ma gcig, literally, “One Mother.” Ma gcig Lab
independent woman with charisma and self-conviction.
sgron seems to have gained particular eminence during her
Along with Ye shes mtsho rgyal (Yeshe Tsogyal), Ma gcig is
lifetime, and her story was preserved in a number of bio-
one of the most common female figures with whom religious
graphical sketches.
Tibetan women are identified, or considered to be emana-
tions. In the twentieth century the Central Tibetan nun Ani
It is not possible to substantiate the details of the longer
Lochen was renowned as an emanation of Ma gcig, and she
and most widely known versions of her life, but this basic
became a respected guru for many people in the government
outline seems probable: She was born in Lab phyi (Labchi)
and leadership echelon of Lhasa and environs.
in the Himalayan regions of southern Tibet. She achieved
early notoriety as a talented reader of scripture, a service that
Ma gcig’s hagiography claims that she is the only Tibet-
religious figures performed for lay persons in order to gener-
an to have introduced a Buddhist tradition to Indians, a no-
ate merit. At the home of one such lay sponsor Ma gcig met
tion based on the story that several “fleet-footed” Indian
a traveling yogi from India, with whom she coupled and had
yogis came to visit her in her mountain retreat to study
several children. She was vilified for this union and for hav-
Gcod. Whatever the veracity of this story, it indicates a rec-
ing abandoned her status as a nun, and moved with her fami-
ognition of her creative contribution to Tibetan Buddhism,
ly eventually to the mountain retreat Zangs ri Khang dmar
a recognition uncommon for Tibetan historiography, which
(Zangri Khangmar), which remained her base for the rest of
almost always attributes the creation of new techniques to an
her life. She separated from her partner some years later, and
inspiration of the Buddha or other Indic source. It is impos-
also left her children alone for periods in order to study with
sible to know how much of the meditation is actually of Ma
Buddhist masters. Her most significant teacher was Pha Dam
gcig’s authorship as such. Still, the tradition continues to be
pa Sangs rgyas (Pha Dampa Sangye), a somewhat mysterious
attributed to her today, and it retains its popularity both in-
figure who probably was from India, and who transmitted
side Tibet and in the exiled community in South Asia.
a cycle of Buddhist meditative teachings in Tibet that
SEE ALSO Ani Lochen; Ye shes Mtsho rgyal (Yeshe Tsogyal).
spawned its own set of lineages, called the “Pacification” (Zhi
byed) transmission.
BIBLIOGRAPHY
Pha Dam pa is said to have taught Ma gcig the tech-
Edou, Jerome. Machig Labdrön and the Foundations of Chöd. Itha-
ca, N.Y., 1996.
niques of the Gcod (“Cutting”) meditative rite, but there is
little evidence for this. It is just as likely that it is a technique
Evans-Wentz, W. Y., ed. Tibetan Yoga and Secret Doctrines. Lon-
of Ma gcig’s own invention, drawing creatively upon Bud-
don, 1960. See pages 301–334.
dhist ideas and other meditative practices from the region.
Gyatso, Janet. “The Development of the gCod Tradition.” In
It provocatively features a visualized sequence in which the
Soundings in Tibetan Civilization, edited by Barbara Aziz and
meditator identifies with the female Tantric deity
Matthew Kapstein, pp. 74–98. Delhi, 1985.
Vajrayogin¯ı, who then cuts off the top half of the skull of
JANET GYATSO (2005)
the meditator’s visualized body. Vajrayogin¯ı proceeds to cut
up the rest of the meditator’s corpse, and then boils it in the
bowl made from the severed skull. This gruesome stew is
MAGEN DAVID. The Magen David (Shield of David,
then served to invited guests: the demons, goblins, and
Scutum Davidis), a hexagram or six-pointed star, has been
ghouls of the neighborhood, as well as beings to whom the
at home in many cultures and civilizations, albeit without
meditator owes a karmic debt. Meanwhile, the meditator
any readily identifiable meaning until the present century.
imagines having achieved unity with the enlightened deity
In the Middle Ages, the Magen David appeared frequently
Vajrayogin¯ı.
in the decorations of Hebrew manuscripts from Europe and
The visualized sequence of Gcod is performed widely in
Islamic lands and even in the decorations of some syna-
traditional Tibetan society, along with distinctive and haunt-
gogues, but it seems to have had then no distinct Jewish sym-
ing tunes, often to the beat of a two-sided drum. It is em-
bolic connotation. The Magen David, also called the Seal of
ployed both as a means of personal realization for the practi-
Solomon (Sigillum Salomonis), was employed in the Middle
tioner, and as a service to the community. The rite is thought
Ages by Jews, Christians, and Muslims as a symbol with
to serve to exorcise demons and burdensome karmic debts
magic or amuletic power.
in the region where it is chanted. Ma gcig herself is said to
In the seventeenth century, the followers of the messian-
have used the technique to reverse the epilepsy of one of her
ic pretender Shabbetai Tsevi adopted the Magen David. Am-
sons. After her death, her teachings were preserved and trans-
ulets of the movement bore the hexagram with the Hebrew
mitted by several of her children, and soon were adopted as
letters MBD, standing for Mashiah: ben David, “Messiah, son
a popular practice for wandering yogis as well as monks and
of David.” Thus the hexagram came to be identified with the
nuns from virtually all schools of Tibetan Buddhism.
shield of the son of David, the hoped-for messiah.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGI
5559
In the late eighteenth century, the Magen David came
The word magu-, “priest,” is well attested in western
into popular use in western Europe, perhaps as a meaningful
Iran from the Achaemenid period (550–330 BCE) onward.
new sign that could express or symbolize Judaism. As late as
It is found in the royal Old Persian inscriptions and in ad-
the nineteenth century, however, the Magen David was not
ministrative documents (in Elamite) found in Persepolis.
yet accepted as a symbol by Orthodox Jews. Yitsh:aq Elh:anan
Magu- is also well attested in contemporary non-Iranian
Spektor, an influential Orthodox rabbi in Kovno (modern-
sources, chiefly in Greek. This wide range of sources not-
day Kaunas), Lithuania, warned the local Reform congrega-
withstanding, it is difficult to specify what these priests really
tions to remove the Magen David that graced their houses
were or did. In the Old Persian inscriptions, the word is only
of worship.
used in the context of Darius’s accession to power, which re-
The use of the Magen David was reinforced by two
volved around his struggle against the usurper Gaumata, who
major events. First, in 1897, at Basel, Switzerland, the
is consistently described as a magus. The relevance of this is
Magen David was officially adopted as the symbol of the
unclear. Herodotos follows Darius’s version of the story, but
newly formed Zionist Movement at the first Zionist Con-
both in the Iranian and in the Greek materials the fact that
gress. Since 1948, the Magen David has appeared on the offi-
the usurper king was a magus is not given much more
cial flag of the state of Israel. Second, in the 1930s and 1940s
thought. One piece of evidence from Herodotos has often
the Nazis forced all Jews in lands under their control to wear
been adduced as a possible solution to this problem: he men-
a badge of shame: a yellow Magen David bearing the word
tions magi as a name of one of the six tribes of the Medes
Jude (“Jew”). Today the Magen David serves to identify most
(Histories 1.101). This passage has been invoked many times
Jewish houses of worship, traditionalist as well as liberal, and
to suggest that the magi were “originally” a priestly clan
it remains a positive symbol of Judaism.
among the Medes, and this suggestion has opened the flood-
gates for a large number of speculations, most of which attri-
SEE ALSO Amulets and Talismans; Geometry.
bute many of the aspects of Zoroastrianism that seemed diffi-
B
cult to understand to the pernicious influence of these
IBLIOGRAPHY
The best single source on the Magen David is Gershom Scholem’s
Median magi. This simple trick allowed scholars to shape for
article “Magen David” in the Encyclopaedia Judaica (Jerusa-
themselves a pristine Zoroastrian theology, going back to the
lem, 1971), which includes an extensive bibliography.
prophet Zarathushtra, which had been perverted by later
New Sources
generations and especially by the Median magi. However,
Oegema, Gerbern S. The History of the Shield of David: The Birth
Herodotos’s testimony is much too weak to support this type
of a Symbol. Frankfurt am Main and New York, 1996.
of reconstruction.
JOSEPH GUTMANN (1987)
Some of the characteristics Herodotos attributes to the
Revised Bibliography
magi moreover are typical of Zoroastrianism. He writes that
most of the Persians bury their dead, but not the magi: they
leave the body unburied, to be eaten by dogs and birds (His-
MAGI. The Greek word magos (Latin magus), borrowed
tories 1.140). In the same passage Herodotos records that the
from Old Persian magu-, has two distinct meanings. First,
magi kill as many ants, snakes, and other flying and creeping
it refers to a Zoroastrian priest and usually has a neutral or
animals as they can. These are both characteristic elements
positive meaning. Second, it describes someone who engages
of evolved Zoroastrianism and strongly suggest that the in-
in private types of ritual with the intent to influence the
formation Herodotos had assembled on the magi concerned
world or the course of history, for which most languages only
Zoroastrian priests, even though Herodotus never mentions
have words with negative overtones (magician, wizard, and
Zoroaster and pays little attention to the religious beliefs of
sorcerer). Although this second meaning has had a lasting
the Persians. In Herodotos’s Histories, the magi perform a va-
impact on the common vocabulary of modern Western lan-
riety of functions, which are all compatible with functions
guages (in the word magic and its derivatives), the fact that
performed by Zoroastrian priests known from other sources.
the magi originally were a priestly class among the Persians
The magi accompany the Persian armies, performing liba-
was rarely forgotten in Greco-Roman antiquity.
tions and sacrifices. Their presence is required for every sacri-
THE MAGI IN ZOROASTRIANISM. The Old Persian word
fice, because they have to sing a special hymn, they interpret
magu- is of uncertain etymology and meaning. Its Avestan
signs, dreams, and portents, and they also have functions that
counterpart is only found once in the Avesta in a difficult
seem to be entirely unconnected with the religion, function-
passage (Yasna 65.7), where it supposedly means “member
ing as court officials and in administrative and legal posi-
of a tribe.” It has been suggested that this is in fact the origi-
tions.
nal meaning of the word and that it came to be used in west-
ern Iran in the meaning “member of the (priestly) tribe” and
Many of these aspects return time and again in Greek
hence “priest,” but this is uncertain. It can be concluded that
literature on the magi. A few generations after Herodotos,
the word was not a term used for “priest” by the eastern Ira-
two important extra functions came to be attached to the
nian Zoroastrians, who were responsible for the composition
magi: their role in Persian education and their role as theolo-
of the Avesta.
gians who spread and interpreted the ideas of Zoroaster. 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
5560
MAGI
evidence from the large number of Greek sources available
derstand the whole system, but it seems that a priestly hierar-
has been shown to be fully compatible with what can be re-
chy (which was never stable in the Sassanian Empire but sub-
constructed of priestly duties from Iranian sources.
ject to continuing modifications) was in place already in the
third century CE. Its backbone was and remained the net-
For the Achaemenid period the most important evi-
work of fire-temples that covered the whole empire and was
dence comes from the Elamite Persepolis tablets, chiefly ad-
one of the most important economic factors of Sassanian
ministrative documents recording the transfer of amounts of
Iran. Priests thus controlled vast sums of money (and also
wine, grain, and other foodstuffs, frequently for services ren-
land, slaves, and goods) that had been donated to the temples
dered. The magi occur numerous times in these texts as spe-
as pious gifts or deposited temporarily. Associated with these
cialists in ritual (for a large number of gods) and in other,
fire-temples, in all likelihood, were priestly schools
not clearly religious, functions. This situation is similar to
(h¯erbedesta¯n), where future priests were educated and where
the evidence from the Greek sources and is in fact typical for
lay Zoroastrians received religious instruction.
the later history of the magi.
Apart from their evident religious functions in theology
Most of the evidence for that later history comes from
and ritual, priests were found at court, as advisers to the king,
the Sassanian period (224–642 CE). In post-Sassanian Zoro-
and as interpreters of signs and dreams. They are also, as al-
astrian sources (the Pahlavi books), the word mogh, the Mid-
ready mentioned, well represented in functions now defined
dle Persian descendant of Old Persian magu-, is hardly ever
as purely secular: the administration of the empire and the
attested. Instead of this generic word, more specific titles are
judiciary. Evidence for priests in these functions comes from
always given that reflect a hierarchy and a specialization of
seals and legal texts but also in significant quantities from
functions. Even though the high priestly title mowbed cer-
Christian literature, chiefly in Syriac and Armenian, where
tainly contains the word (it is derived from an unattested
the magi are always represented as the chief imperial force
*magupati-, “leader of the magi”), the generic title became
attempting to stem the tide of conversion to Christianity by
unpopular among the Zoroastrians of Iran in the early centu-
trying and executing Zoroastrian apostates.
ries after the Arab conquests. Since many reconstructions of
Sassanian history are based on sources from those later peri-
With the Arab invasions of the seventh century and the
ods, the existence of the word in Sassanian Iran has some-
slow process of Islamization of Iran, the priesthood under-
times been obscured. It is, however, not only frequently
went dramatic changes. The first to disappear almost imme-
found in non-Iranian Sassanian sources (Syriac, Armenian,
diately were the court priests and the priests in secular offices.
Greek) but also well attested on the most reliable Iranian
The evidence for priestly functions from the ninth century
sources from the period itself, namely personal seals. In fact
still shows a great variety in functions, but eventually a sim-
the word mogh (written mgw) is one of the most common
ple system replaced the earlier hierarchy. Among the Parsi
words on Sassanian seals and bullae. The word also had a
Zoroastrians there are basically three priestly titles: the ervad
long and distinguished career in Islamic Persian poetry,
(Middle Persian h¯erbed, “priestly teacher”) is a priest in
which shows that it had not disappeared from the common
minor orders, the mobed is a fully ordained priest, and the
speech of the Persians. The question therefore arises why the
dastur (Middle Persian dastwar, “someone in authority”) is
Zoroastrians who formulated their tradition in the ninth
a priest of the highest rank associated with the most presti-
century, the authors of the Pahlavi books, wanted to get rid
gious type of fire-temple. In modern Zoroastrianism, priest-
of it; so far no reasonable hypothesis has been suggested for
hood is hereditary. The question whether it has always been
this problem. The only suggestion that makes sense is that
strictly hereditary is difficult to answer, but it is likely that
the Arabic word maju¯s (borrowed from Syriac) was used not
it was. There is no evidence to suggest that priesthood be-
just to refer to Persian priests but to Zoroastrians in general
came hereditary only in a later period of the religion.
and that the term came to be felt to be misleading for those
who wanted to distinguish themselves as members of the
Their administrative business aside, it is evident that the
priestly class.
core of priestly duties consisted of ritual, theology, and the
transmission of Zoroastrian literature. The latter function is
The duties of Zoroastrian priests in the Sassanian period
critical for the first two mentioned. Almost all Zoroastrian
were varied. Apart from ritual and theology, magi also occu-
literature from the premodern period that survived is priestly
pied themselves with administrative work in general and
literature. This consists of several distinct collections. The
legal affairs in particular. Sassanian society is often depicted
Avesta, in its own language, chiefly consists of ritual texts.
as a static society, in which the social classes (priests, warriors,
Most nonritual texts in Avestan have been lost, but there is
and others) could not and did not intermingle. While it is
some information on their contents from summaries in Mid-
generally acknowledged nowadays that that image does not
dle Persian. The second important part of Zoroastrian priest-
give an accurate picture of Sassanian society (it is based large-
ly literature consists of exegetical translations of the Avestan
ly on descriptions of the “ideal” organization of a Zoroastrian
texts. These are collectively known as Zand (a word presum-
society), it is true that the priesthood and the military appa-
ably meaning “knowledge”). Far from being only a transla-
ratus had separate hierarchies with representatives spread all
tion of Avestan texts, the Zand texts are interspersed with ex-
over the empire. The extant evidence is not sufficient to un-
planatory notes and exegetical discussions. The third part 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
MAGI
5561
Zoroastrian priestly literature consists of theological, histori-
a systematic view of Zoroastrian theology was developed in
cal, and other works that are based on the Zand. The fourth
priestly circles on the basis of a large number of selected pas-
part, finally, are priestly compendia and answers to questions
sages from Avesta and Zand. The early attestation of system-
posed by members of the community. The latter two catego-
atic views on this subject in Greek literature moreover shows
ries are clearly part of the priestly tradition from a period
that a priestly synthesis was reached comparatively early in
when writing had come to be accepted: they are written com-
the development of the tradition. As one would expect, it was
positions. This is not the case with the first two collections.
constantly refined and adapted to new social, political, and
For a variety of reasons, there are signs that writing came to
cultural settings. In addition to a variety that arose in the
be used for the transmission of religious texts only late in the
course of history, one would expect different views to have
development of Zoroastrianism. The evidence is strongest
been propounded in different regions of the Iranian world,
for the Avesta itself, for a special alphabet was designed for
in different priestly schools, and in different social settings.
it, covering all the nuances of priestly pronunciation of the
Evidently the requirements of the Sassanian court and large
holy texts in ritual, that cannot have originated before the
urban centers, where all subjects of learning and philosophy
fourth or even the fifth century CE. Even after the invention
from Iran and the rest of the world were pursued, were differ-
of this alphabet, it seems that the oral transmission of the
ent from those in rural parts of the empire.
holy texts and their commentaries continued as the normal
This may explain, for instance, the matter of Zurvan-
procedure. Since priests had to use both hands in the rituals
ism. Some priests held that the good and the evil spirits had
they performed, they could not hold a book and had no use
been born from a primal deity, Zurvan, the god of time. This
for it in most rituals.
idea was based on the exegesis of difficult passages from the
Before the fourth century CE the transmission of reli-
Avesta and it is attested chiefly in Armenian, Syriac, and
gious knowledge was an exclusively oral process. Since the
Greek sources. It is almost entirely absent from Zoroastrian
Avesta was composed in an eastern Iranian language but has
texts. Scholars have often seen a willful excision of this theol-
been preserved among western Iranian priests, it is likely that
ogy from Zoroastrian literature and interpreted this as a sign
the texts of the Avesta were memorized word-by-word by the
of a fierce sectarian struggle, for which there is, however, no
western Iranian priests from a very early period (i.e., the sixth
evidence. If one assumes that Zurvanite ideas, which show
century
a much stronger influence of Greek philosophy than most
BCE) and that the corpus of the Avesta thus became
fixed. To facilitate comprehension of the texts, they were
Zoroastrian texts, were characteristic of the type of theology
provided with a translation in the local language, which was
developed in court circles, then their absence from most Zo-
transmitted alongside the Avestan texts. This translation
roastrian texts, which derive from a single priestly family in
grew in size considerably over time with the addition of
southwestern Iran, is no longer surprising.
glosses and learned comments. The amount of texts thus
THE IMAGE OF THE MAGI IN THE ANCIENT WORLD. As
orally transmitted was large, and there are clear signs of spe-
noted above, important evidence for the activities of the magi
cialization to make this oral transmission possible. First, the
is in Greek and Latin literature. The word magos was bor-
texts were divided over numerous specialists who memorized
rowed in an early stage of contact between Iranians and
part of the sacred literature. A further development, evident
Greeks, presumably in the sixth century BCE. From the early
from later sources, divided the priesthood into two different
sources onward the word has the double meaning of “Persian
classes: those whose chief responsibility was the performance
priest” and “magician.” As Persian priests the magi appear
of rituals and those whose responsibility lay in education and
chiefly as the followers of Zoroaster, heritors of an old tradi-
theology. Ritual priests memorized the Avestan texts with
tion of wisdom. Their chief use in many discussions is to il-
their accompanying rituals, and teacher-priests memorized
lustrate the philosophical position of positing two primal,
the Avestan texts with their commentaries. The latter class
eternal realities (good and evil), in other words, dualism.
of priests was therefore unsuited for the performance of
many rituals, but it is this class that was responsible for the
In many more passages, however, magi appear as magi-
development of Zoroastrian theology.
cians. In an early development, Greeks started applying the
term to non-Persians as well, and eventually Greek individu-
The main evidence for this theology in Iran itself comes
als began to apply it to themselves. The Persian magi were
from the Sassanian and Islamic periods, but the evidence
thought to have special powers in visiting the realm of the
from Greek literature shows much earlier traces of recogniz-
dead, in guiding souls to the otherworld, or evoking the spir-
ably Zoroastrian theologies attributed to (Zoroaster and) the
its of the dead. They excelled in magic, using herbs, stones,
magi. Since the majority of Avestan texts have been lost, a
and spells for their purposes, and they developed a reputation
firm chronology of the development of Zoroastrian ideas is
for astrological knowledge and interests. It should be noted
not possible. There are many different versions of the crucial
that in this context the word is not always used in a negative
Zoroastrian story of the creation of the world and the mix-
sense. Even Christian literature shows a certain ambivalence
ture of good and evil in it and also of ideas about how history
in this respect. The despised figure of Simon Magus shows
will come to an end in the perfection of creation and the sep-
the negative use of the term, whereas the Magi who first rec-
aration of evil from good. This seems to support the idea that
ognized the newborn king of the Jews (Mt. 2:1–12) show 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
5562
MAGIC: THEORIES OF MAGIC
lasting impact of the positive reputation of these “Persian”
it is not really feasible to consider “magic” apart from “reli-
wise men in the realms of astrology and divination. In gener-
gion,” with which it often has been contrasted, as many of
al, however, the Western traditions on the magi are a West-
its defined elements refer to their opposition to what both
ern invention fueled by stereotyped views of the East as a
local adherents and outside observers consider the more or-
place from which one could expect both unfathomable wis-
thodox elements of religion.
dom and acute danger.
Magic has usually been without any agreed detailed con-
SEE ALSO Saoshyant.
tent of belief and behavior. But there is a general consensus
as to what this content is. Most peoples in the world perform
BIBLIOGRAPHY
acts by which they intend to bring about certain events or
Benveniste, Émile. Les mages dans l’ancien Iran. Paris, 1938.
conditions, whether in nature or among people, that they
Bidez, Joseph, and Franz Cumont. Les mages hellénisés: Zoroastre,
hold to be the consequences of these acts. If Western terms
Ostanès et Hystaspe d’après la tradition grecque. Paris, 1938.
and assumptions are used, the cause and effect relationship
Boyce, Mary. A History of Zoroastrianism, vol. 2: Under the Achae-
between the act and the consequence is mystical, not scientif-
menians. Leiden, 1989.
ically validated. The acts typically comprise behavior such as
Boyce, Mary, and Frantz Grenet. A History of Zoroastrianism, vol.
manipulation of objects and recitation of verbal formulas or
3: Zoroastrianism under Macedonian and Roman Rule. Lei-
spells. Not everyone in a given society may actually perform
den, 1991.
magic, which may be done only by a specialist magician. As
an example, in parts of Melanesia, it is reported that a man
De Jong, Albert. Traditions of the Magi: Zoroastrianism in Greek
and Latin Literature. Leiden, 1997.
may plant a yam, fertilize it, weed it, and, when the tuber
is ripe, harvest it: this is a straightforward technical activity.
Kingsley, Peter. “Meetings with Magi: Iranian Themes among the
He may also perform rites or say spells that are thought to
Greeks, from Xanthus of Lydia to Plato’s Academy.” Journal
of the Royal Asiatic Society (1995): 173–209.
help the yam grow and ripen, and perhaps grow larger than
those of his neighbors. To a Western farmer, these are magi-
Kreyenbroek, Philip G. “The Zoroastrian Priesthood after the Fall
cal acts and any link between them and their intended conse-
of the Sassanian Empire.” In Transition Periods in Iranian
History, pp. 151–166. Paris, 1987.
quences is a mystical one, existing in the mind of the per-
former and not in any scientifically verifiable actuality.
Kreyenbroek, Philip G. “The Da¯desta¯n ¯ı De¯n¯ıg on Priests.” Indo-
Conversely many Western farmers insist on planting crops
Iranian Journal 30 (1987): 185–208.
during a full moon or other point in the calendar, and con-
Moulton, James Hope. Early Zoroastrianism: The Origins, the
sider this to be essentially a technical or scientifically effective
Prophet, the Magi. London, 1913.
act; but the Melanesian would disagree and consider it super-
ALBERT DE JONG (2005)
stitious, ineffectual, or merely stupid. Two kinds of perfor-
mance may therefore be distinguished, but whereas external
observers may make this distinction, the magical performers
may not, regarding both performances as necessarily comple-
MAGIC
mentary and effective.
This entry consists of the following articles:
THEORIES OF MAGIC
Studies of magic as a superstitious form or aspect of reli-
MAGIC IN INDIGENOUS SOCIETIES
gion, and especially as a “traditional” or “premodern” form
MAGIC IN GRECO-ROMAN ANTIQUITY
MAGIC IN MEDIEVAL AND RENAISSANCE EUROPE
of belief and practice, are misleading. It has usually been
MAGIC IN EASTERN EUROPE
taken for granted that magic declines in “modern” techno-
MAGIC IN ISLAM
logically and scientifically “advanced” societies, becoming a
MAGIC IN SOUTH ASIA
superstition that loses meaning and believed effectiveness.
MAGIC IN EAST ASIA
This may be the opinion of Western scholars concerned with
religious truth and counter-beliefs, concepts held essentially
MAGIC: THEORIES OF MAGIC
by adherents of “world” religions with religious books and
Magic is a word with many definitions, an English word that
texts. For them, the religions of peoples without written texts
is linked to others in most European languages but for which
are defined as lacking any ultimate truth; they are considered
there may be no precise equivalent elsewhere. In most known
and defined to include all manner of beliefs in magic, witch-
societies, magic forms an integral part of the sphere of reli-
craft, sorcery, and divination (all forming the occult). They
gious thought and behavior, that is, with the sacred, set apart
typically define “true” religions more narrowly, omitting the
from the everyday. In some societies, especially in the indus-
occult as outside the religious. Conventional studies of the
trialized West, it is generally accepted as superstition and
Old Testament, for example, discuss witchcraft as a sign of
even as a form of sleight of hand used for entertainment. In
early and pre-Christian modes of thought, while orthodox
addition it has almost always been considered to mark a dis-
Muslims may deny beliefs in magic or witchcraft as linked
tinction between Western and so-called primitive societies,
to Satanic, unorthodox, and erroneous forms of knowledge
or between Christian and non-Christian religions. Therefore
that do not merit acceptance as orthodox. In brief, the inclu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: THEORIES OF MAGIC
5563
sion of magic as part of a religion generally makes that reli-
mental sense. Melanesian yams are not affected by magical
gion, as viewed from Western eyes, “primitive,” theologically
spells, other than in the indirect sense that a yam farmer
untrue, and even as unworthy of serious study by those who
might take greater care of magically protected yams and that
consider themselves to be orthodox believers. It may become
neighbors might be wary of damaging them. Clearly many
virtually impossible to consider magic as having any purpose
cases lie on the borderline; alchemy, which contained much
or function that is morally acceptable, socially positive or
that is generally accepted as magic, did at times stumble onto
productive, or efficacious in promoting the common good.
scientifically correct relations between phenomena and
events.
Much of the evidence offered for magic is inaccurate,
sensational, and inadmissible, the kind of material to be
Questions of systems of thought deal with these same
found in many travelers’ tales of mysterious powers by exotic
problems, but at another level at which arise questions of
practitioners they have not actually witnessed or in the accu-
symbolism, interpretation, and translation between cultures.
sations of conjuring the Devil by accused witches in late me-
Perhaps the most long-standing problem is that anthropolo-
dieval Europe. There are, however, two other kinds of evi-
gy (and, to a lesser extent, psychology, history, and philoso-
dence. One is exemplified by the accounts of trained
phy) involves the distinction between the notions of “primi-
anthropological observers, who can speak the local languages
tive” and “civilized,” a distinction with such pejorative
and ask questions of the actual practitioners; the other is ex-
implications that the terms are now rarely used, although
emplified by the writings of scholars of past societies where
there are scholars who use the word “primitive” in the sense
there is reliable documentation from original sources. An ex-
of “primal.” Theories of magic have essentially been con-
ample of the first kind is the work of Bronislaw Malinowski
cerned with the problem of the relationship between what
(1884–1942), who witnessed and described yam planting
are often referred to as “traditional” and “scientific” modes
and other magical acts in Melanesia. Another example is in
of thought. Other terms that have been used in this context
the writing of Edward Evans-Pritchard (1902–1973), who
include prelogical/logical, prescientific/scientific, irrational/
researched the use of magic in southwestern Sudan. Accounts
rational, preliterate/literate, and “closed/open” beliefs in
of this kind have the immense advantage of being placed in
magic, the performance of magical rites being identified with
the contexts in which the rites are carried out. Examples of
the first term in each of the above pairs. Discussion of wheth-
the second kind are by G. E. R. Lloyd on the ancient Greeks
er these are meaningful distinctions that actually exist be-
and Keith V. Thomas on post-seventeenth-century England.
tween societies goes back to the work of Lucien Lévy-Bruhl,
discussed below. Much later work has been devoted to refin-
Scholars of many kinds have been writing about magic,
ing, refuting, and assessing the worth of his findings, espe-
its aims, its origins, its methods, and its believed efficacy for
cially once it became clear that if there are indeed two con-
centuries, even before the days of the ancient Greeks. It
trasting modes of thought, they are normally found together
seems sensible here not to attempt a historical survey about
in any particular society, so that references to a dichotomy
magic using as sources those who have accepted its validity
between “primitive” and “civilized” are misleading.
for themselves; it is more productive to deal with the writers
who have tried to understand the practice of magic among
At the risk of oversimplification, it may be said that in
other societies whose systems of thought they have not
the history of theories of magic the battle has been between
shared at the outset but that they have come to understand
what have been called the “literalists” and the “symbolists.”
during their research. Relatively little can be gained from the
Briefly, the literalists suggest that performance of magical ac-
writings of those who could not remain objective observers.
tions is instrumental, so that the thought behind them (de-
For example, the writings of the late medieval inquisitors or
pending on the views of the writer) is either similar or dissim-
of King James I of England are important as data for analysis,
ilar to that behind scientific experiments. Therefore the
but in themselves they throw no more light on theories of
world may be divided into those societies whose magicians
magic than would the verbal statements of a Melanesian yam
try to achieve a cause-and-effect relationship in events,
magician.
whether technical or psychological, and those where the ma-
gician’s place is taken by the scientist. The symbolists argue
Certain basic questions that have been asked by writers
that this distinction misses the point. What is important for
on magic include those tracing the relationship of magic to
them is that magicians and scientists may or may not be try-
science and to religion, and researching its instrumental and
ing to achieve the same results but are using different concep-
technical efficacy, its social and psychological functions, its
tual systems. They speak different languages, the one sym-
symbolism, and the nature of its thought. If the once popular
bolic and the other concrete, and translation or
concern with magic’s evolutionist implications—that it
interpretation between them is meaningless until this fact is
marks an archaic stage of cultural evolution—are omitted,
taken into account. The main questions, therefore, are those
these questions essentially concern either the functions and
of the nature of the different modes of thought and how they
efficacy of magic or the nature and processes of the system
may be translated into one another.
of thought that is claimed to lie behind it. It has generally
been accepted by those studying magic that magical perfor-
MAGIC IN SOCIAL AND CULTURAL EVOLUTION. The first
mances do not “work” in an immediately technical or instru-
important writers on magic whose views retain currency—or
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5564
MAGIC: THEORIES OF MAGIC
at least interest—are those nineteenth-century evolutionists
pler; (2) because it persisted as superstition even in industrial
generally known as the intellectualists because they based
societies and so forms an underlying and persistent substra-
much of their work on their opinions of what prehistoric and
tum; and (3) because the Australian Aborigines (at that time
archaic peoples might have thought about the world, as
taken as the extreme case of an archaic remnant people) be-
imagined from their academic armchairs.
lieved in magic rather than in religion (in this, Frazer’s eth-
The most influential of these writers were E. B. Tylor
nographic facts were simply incorrect). So in his schema,
(1832–1917) and James G. Frazer (1854–1941). Both dis-
magic was the earliest form of thought and behavior involv-
tinguish magic from religion as distinct modes of thought
ing the supernatural. As people came to realize that magical
and ritual performance. Both claim to base their definitions
techniques were ineffective, they postulated the existence of
and analyses on ethnographic material, although much of it
omnipotent gods that controlled nature and needed to be
was in fact erroneous and faulty. Their method, which they
supplicated and propitiated. Finally, men began to recognize
rather bizarrely referred to as “comparative,” suffered because
the existence of empirical natural laws, first by alchemy and
they failed to place the data in its social and cultural contexts;
later by true science, and religion came to join magic as a su-
their approaches were essentially psychological in the sense
perstition. The “evidence” for this development was virtually
that they depended upon their own assumptions about what
nonexistent outside Frazer’s mind, but he fit a vast amount
might have been the behavior of other peoples rather than
of data into “proving” his deductive hypothesis.
on categories formulated by those peoples themselves.
Frazer defined the magical according to his belief that
Tylor defined magical knowledge and performance as
magical performances are sympathetic rites based upon his
“pseudo-science”: the magician and his public (Tylor’s “sav-
Law of Similarity, by which like produces like, and the Law
ages”) postulated a direct cause and effect link between the
of Contact, by which things that have been in physical con-
magical act and the intended result, whereas the link was not
tact then act upon one another even at a distance. He defined
scientifically valid but based on the association of ideas only.
magic based on similarity as Homeopathic Magic and that
Tylor considered magic to be “one of the most pernicious
based on contact as Contagious Magic, and he added taboo
delusions that ever vexed mankind” but nevertheless regard-
as negative magic acting according to the same “laws.” Since
ed it as based on a rational process of analogy that has been
much of science seemed to him also to be based on the same
called the symbolic principle of magic.
premises, he linked it with magic by accepting Tylor’s earlier
His predecessors had taken a belief in magic as a sign
view of the existence of a rational link between cause and ef-
of the infantile and ignorant thinking of early mankind. To
fect in the magician’s mind. It is easy today to point to the
argue that “savages” were capable of rational thought, even
flaws in these intellectualist arguments, citing their authors’
in a scientifically unfounded context, was a significant ad-
projection of their own modes of thought onto other cul-
vance. He was also interested in learning why “savages,” ca-
tures, but at the time, these theories were highly influential.
pable of rationality, accepted magic even though it was clear-
Tylor and Frazer were followed by many less original
ly ineffective. His views, which have been accepted by most
scholars who refined their predecessors’ somewhat crude
later anthropologists, were that magical and empirical behav-
schemata of evolution. In England were R. R. Marett (1866–
ior are often coterminous, in that natural processes often
1943), Andrew Lang (1844–1912), A. E. Crawley (1869–
achieve what the magician claims to do; that failure can be
1924), and others. Marett maintained that in the earliest
attributed to hostile magical forces on the part of rival magi-
stages of human evolution, religion could not be differentiat-
cians or to the breaking of taboos; that there is great plasticity
ed from magic, because at that prior pre-animistic stage of
of definitions of success and failure; and that the weight of
development, religion did not condemn magic as mere su-
cultural tradition and authority validates the practice of
perstition. He coined the term magico-religious, a blanket
magic. Finally Tylor maintained that “magic” and “religion”
term that has muddled the issue of the natures of magic and
are complementary parts of a single cultural phenomenon
religion for almost a century. Marett held that magic arises
and are thus not merely stages in the evolutionary develop-
from the recourse to make-believe acts that the magician
ment of mankind, although he believed that magical belief
considers symbolic and different from their realization, and
and practice decreased in the later stages of human history.
as a means of resolving emotional tensions. Magic is a substi-
The other great evolutionist of the period, Frazer, held
tute activity that gives courage and confidence, a view later
rather different views that have long persisted in popular
reflected in the work of Malinowski. Crawley, writing less
thought on the subject. He built up an evolutionary schema
specifically, held that “primitive” peoples’ mentalities are to-
with three main stages of thought, each paramount in turn.
tally religious or superstitious, so that magic cannot be differ-
He placed magical thought as the most primitive, then reli-
entiated from religion, because both are based on fear in the
gious thought, and finally scientific thought. He contrasted
face of an omnipotent unknown. In the United States, Alex-
magic with religion and with science, although he discerned
ander A. Goldenweiser (1880–1940) made the point against
certain resemblances between magical and scientific thought.
Frazer that magic and science are in fact not similar, in that
He placed magic at an earlier stage in human development
only the scientist sees order and the working of regularities
for three reasons: (1) because in his view it was logically sim-
in nature, whereas the magician is unaware of them; he sug-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: THEORIES OF MAGIC
5565
gested that in early societies, magic was closely linked with
the magician attempts to bring about certain consequences
religion but that later they grew apart, religion becoming
by the use of magical or sacred objects and words.
more centrally associated with the formal structure of society
Durkheim’s study of magic formed an unimportant part of
and magic assuming a place on the fringes of legality and or-
his main study of Australian Aboriginal religion and seems
ganized religion.
to be included mainly for completeness of his treatment of
what had conventionally been included under the “reli-
These were not the only psychologically minded schol-
gious.” However, in a sense the gap had already been filled
ars to discuss the nature of magic. Another important figure
by Marcel Mauss’s essay eight years earlier, wherein he set
was Wilhelm Wundt (1832–1920), who held that magical
out his general theory of magic. Both Mauss and Durkheim
thinking, as the earliest phase in the development of religious
defined magic not by the structure of its rites but by the cir-
thought, was based on emotional processes, the principal one
cumstances in which these rites occur. Much of Mauss’s
being the fear of nature, which appears as hostile to human
well-being and which is conceptualized as an evil force that
book is taken up with the relationship of magic to religion
can be controlled by magic. In the same line of development
and science, the latter being similar to magic by analogy, the
came Gerardus van der Leeuw (1890–1950), who main-
former being similar to magic in that both are based on be-
tained that the magician believes that he can control the ex-
liefs in mana and the sacred.
ternal world by the use of words and spells, and Sigmund
Lévy-Bruhl did not present any theories of magic as
Freud (1856–1939), whose notion of the omnipotence of
such, but he was centrally concerned with the associated
thought was basic to his argument. Primitive magical rites
mode of thought, which he called prelogical or prescientific,
and words correspond to the obsessional actions and spell-
that most later writers have associated with belief in magic.
like speech of neurotics, who believe that they can affect real-
He argued that modern Western societies are scientifically
ity by their own thoughts and wishes. Freud accepted the
oriented in their thought whereas “primitive” societies are
gross evolutionist schema of Frazer as a parallel to the psy-
mystically oriented toward using the supernatural to explain
chological development of the individual. It is tension in the
unexpected and anomalous events. Prescientific “collective
face of the sense of impotence that gives rise to magical
representations” inhibit cognitive activities that would con-
thought both in the child and in early man: magic is wish
tradict them, so that events attributed to causes that are pre-
fulfillment. Unfortunately this analogy has no basis in the
scientific are not put to objective verification. “Prescientific”
ethnographic data supplied by anthropologists and must be
or “prelogical” thought (Lévy-Bruhl was later to withdraw
considered a “just-so story.” It puts a pattern of coherence
the latter term) contravenes the rules of science and Western
into Freud’s psychological work but tells little of the nature
logic, but otherwise it is rational and builds up into a single
of magic and magical thought.
coherent system. Examples are beliefs in the effects of witch-
THE SOCIOLOGY OF MAGIC. In the years around 1900, the
craft or of magical rainmaking. It is important that Lévy-
works of other kinds of thinkers became influential and have
Bruhl stressed the content of thought, which is determined
continued to be more so than that of the evolutionists and
by a society’s culture, and not the process of thinking, which
intellectualists. The principal theorists among these more so-
is not a social phenomenon but a psychological and physical
ciologically minded scholars were Émile Durkheim (1858–
one (a point on which he has often been misunderstood). A
1917), Marcel Mauss (1872–1950), and Lucien Lévy-Bruhl
person’s perceptions are determined by his or her culture’s
(1857–1939) in France and Max Weber (1864–1920) in
notions of the social and ritual value of those elements of ex-
Germany. All saw the social as more important than the indi-
perience that are perceived rather than merely being seen.
vidual or psychological.
That is to say, “primitives” do not perceive “mystically” be-
cause they are some way mentally inferior but perceive cer-
The three French writers followed Auguste Comte in
tain phenomena as significant because of the mystical prop-
substituting sociological explanations of social processes for
erties given to them by their culture. Lévy-Bruhl called such
psychological ones. For them religion, including magic, is a
thought “mystical” because “primitive” thought, unlike
social fact, brought into existence by collective action and
Western scientific thought, does not distinguish between the
then possessing an autonomy of its own; it is not merely an
“natural” and the “supernatural” but considers them to be
illusion (Durkheim realized that the religious and the magi-
a single system of experience. There is therefore a “mystical
cal both persist in “scientifically” based societies). The “reli-
participation” between the “primitive” and what Western
gious” is defined as sacred, a realm set apart by the religion’s
science would call the natural, the social, and the supernatu-
adherents, whose beliefs and rites unite them into a single
ral, a participation that composes the “primitive’s” total so-
moral community or church whose members’ ritual, linked
cial personality.
to the sacred, fortifies their faith as members of a single com-
munity. The religious is a collective practice, there being no
In Germany the scholar Max Weber was working on
religion without a church in that sense. Magic, however, is
somewhat different yet related problems. Particularly inter-
an individual affair in the sense that the magician has a clien-
ested in the problem of rationality and its relationship to eco-
tele and not a church. In magic, therefore, the function of
nomic and political growth and development, he based his
ritual to fortify the faith of the group is lacking, and instead
work mainly on comparisons between precapitalist religions
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5566
MAGIC: THEORIES OF MAGIC
in Europe, China, and India. His main argument was that
fertile and their sea rich in fish, so that the use of magic was
magic had been the most widespread from of popular reli-
not merely an extension of technical competence. The pro-
gion in pre- and proto-industrial societies, and in many parts
duction of food provided, in addition to physical nourish-
of the world (especially in Asia, where capitalism might have
ment, a means of gift-giving and exchange whereby interper-
been expected to develop early but did not), the recourse to
sonal bonds were recognized and prestige made and kept.
magic prevented the rationalization of economic life. The
Magic protected people from failure and enabled them to
power of magic might be broken by the appearance of proph-
achieve success in which emotional and social involvement
ets (of whom magicians were the precursors) who introduced
were high. Magic raised the psychological self-confidence of
new and rational schemes of reward and salvation. Much of
its believers, may have helped them achieve higher stages of
the significance of Weber’s work lies precisely in his views
technological and moral development, and may have enabled
as to the relationship between the decline of magic and ad-
them better to organize their labor and to control the cooper-
vances in technology. For him the former was a necessary
ative work on which the well-being of society’s members de-
forerunner of the latter, a view that has since met with con-
pends. Magic “ritualizes man’s optimism” (Malinowski,
siderable and sustained opposition from more literalist
1978, p. 70). Malinowski stressed also that among the Tro-
writers.
briand Islanders, the basis of magic lay in the immaculate
MAGIC IN ITS SOCIAL AND CULTURAL SETTING. The writers
saying and transmission of words and spells, which were vali-
just mentioned were the last of the classic anthropologists
dated by myth that created an inviolable tradition as to the
and sociologists to have written about magic. Their succes-
magic’s efficacy.
sors based their findings and hypotheses on their own field
Malinowski projected his findings among the Trobri-
research, where the importance of what people who believe
and Islanders onto all humankind, making their particular
in and use magic actually do and say about it and of the social
cultural beliefs, thoughts, motives, and actions into univer-
contexts of their actions and statements become evident. The
sals, and he has rightly been criticized for so doing. But at
era of armchair scholars, however brilliant, was over. On the
the same time, he did witness and participate in the magical
other hand, more recent work may be seen at one level to
practices of a “primitive” people. He was not adducing the
be based largely on proving, disproving, and refining the the-
functions of magic from his own thoughts as to what they
ories of the classic scholars. The later researchers and reports
might do and think but started from the ethnographic expe-
may usefully be divided into the literalists and the large and
rience itself. It is true that, although he came to know the
more diverse group of “symbolists,” although it must be
Trobrianders well, he may be suspected of projecting his own
stressed that these labels are only rough and ready ways of
thoughts, emotions, and motives onto them when discussing
identifying them.
the psychological functions of magic that he considered so
The leading literalist was the Polish-born Bronislaw
central. Nonetheless, Malinowski revolutionized the study of
Malinowski, the first important anthropologist to present a
magic.
coherent theory of magic based upon his own field research
in the Trobriand Islands of Melanesia during the First World
Malinowski was essentially a successor to Frazer, who
War. He insisted that among the Trobriand Islanders what
wrote the introduction to Malinowski’s original book on the
is generally defined as magic is quite different from religion
Trobriand Islanders in 1922. The first important immediate
as religion refers to the fundamental issues of human exis-
successor to the writers of the sociological school of
tence while magic always regards specific, concrete, and de-
Durkheim and Mauss was A. R. Radcliffe-Brown (1881–
tailed problems. For the Trobriand Islanders, magic was of
1955), who carried out research among the Andaman Island-
several kinds and had several functions. First, its use lessened
ers of the Bay of Bengal ten years before Malinowski’s Tro-
chance and risk and induced confidence in activities where
briand work. Publishing The Andaman Islanders in 1922,
risk was high and/or linked to techniques that may therefore
Radcliffe-Brown created a book that was a landmark in the
easily be ineffective. His famous example was that of the use
development of anthropological studies of religion and
of magic when fishing in the open sea but not when fishing
magic. In his work he did not rigidly differentiate between
in the shallow lagoon. Besides acting as an extension to the
religion and magic. The Andamanese recognized certain ob-
technical, magic extended one’s abilities into the realm of the
jects and substances as possessing magical qualities in the
miraculous, as with love magic, by which an ugly man at-
sense that a magician may use them to cure sickness, control
tracts beautiful women, old men become rejuvenated, or a
the weather, and the like. The magician acquired magical
clumsy dancer becomes an agile one. And magic can also ex-
power and knowledge by coming into contact with spirits
tend into the super-material or super-moral, as with the use
that possessed a mystical power, both dangerous and benefi-
of black or evil magic, or sorcery, that was thought to kill
cial, for which Radcliffe-Brown used the Polynesian word
at a distance. Magic was to be expected and generally to be
mana.
found whenever one came to an unbridgeable gap, a hiatus
He argued that the power of spirits and the substances
in his or her knowledge or powers of practical control.
and objects in which mana is manifest, or can be made mani-
However, Malinowski went further, in an important
fest by a magician, was used to mark the importance of social
way. He stressed that the islanders’ land was well watered and
position when it was being changed (e.g., at birth, death, 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
MAGIC: THEORIES OF MAGIC
5567
sickness). When undergoing these transitions, people be-
community, the distinction being due to differences in social
came vulnerable to the dangers inherent in mana, and so they
organization and political authority. Evans-Pritchard em-
observed taboos and fears of pollution, which were removed
phasized the social context far more than did Malinowski
by the use of this power in a magical performance. By this
and also stressed that magic could not be understood as an
means the community was kept aware of the importance of
isolated phenomenon but only as part of a “ritual complex”
cooperative ties between its members and, thus, of their sense
(which one might call the occult), composed of magic,
of interdependence. The rites both gave confidence to the in-
witchcraft, divination, and oracles. Indeed, without belief in
dividual and (more importantly, in Radcliffe-Brown’s view)
witchcraft, Zande magic would have little meaning. Making
demonstrated the importance of the activities magic delin-
an important point that went back to one made earlier by
eates in this way—fishing for large animals, for example.
Radcliffe-Brown, Evans-Pritchard concluded that the main
These were important precisely because they represented
objective of the use of magic was not to change nature but
communal activities and dangers and so emphasized the im-
rather to combat mystical powers and events caused by other
portance of members’ dependence on one another. In brief,
people. In his research, the long-argued link between magic
Radcliffe-Brown introduced to theories of magic the new di-
and science falls away, replaced with a network of social
mension of ritual and social value and played down its rela-
links, tensions, and conflicts of central importance.
tionship to technical knowledge and science.
Evans-Pritchard also discussed the reasons that magic
THE LATER “SYMBOLISTS.” Behind the work of both Mali-
persisted despite what would appear to be its frequent failure:
nowski and Radcliffe-Brown lay the problem raised by Lévy-
believers in magic had a “closed” system of thought that in-
Bruhl, that of the nature of the “prelogical” or magical mode
hibited “scientific” verification. His argument goes back to
of thought and worldview, for which the terms “mythopoe-
Lévy-Bruhl and has been taken up by later writers who have
ic” and “prescientific” have also been used. Since his work
contrasted closed and open systems of thought, a dichotomy
there has been continual discussion on the points that he
that has perpetuated the long-standing contrast between
raised. The most important figure in this context has been
magic and science. Lévy-Bruhl had remarked that ignorance
E. E. Evans-Pritchard, whose Witchcraft, Oracles, and Magic
is culturally determined, and Evans-Pritchard stressed that
among the Azande (1937) has been the most influential of all
what appeared to be failures in magical performances were
writings on these topics. Evans-Pritchard carried out exten-
attributed by the Azande not to their inefficacy in a technical
sive field research among the Azande people of the south-
sense but to failure of the magician to perform the magical
western Sudan, largely with the intention of testing Lévy-
rites correctly and to the counter-activities of hostile magi-
Bruhl’s hypotheses. His book deals with Zande views on
cians or witches. The system answered its own problems in
mystical causation in the contexts of accusations of witch-
its own terms.
craft, of the use and working of oracles and divination to de-
termine the identity of witches, and of the recourse to magic
Later writers, in particular Robin Horton, have enlarged
and the performances of magicians. He presented a detailed
on the contrast between open systems of thought, where ef-
firsthand account of Zande magical beliefs and practices, set-
forts are made objectively to prove or disprove hypothesized
ting them in their social contexts and stressing especially the
causal relations between scientific acts and natural conse-
modes of thought and the “collective representations” that
quences, and closed systems of thought, where this kind of
lay behind them. Zande magic was based on the use of “med-
verification is not attempted and success and failure are seen
icines,” mainly plants and vegetable substances, in which ex-
in the light of the already culturally accepted world-view.
isted magical powers that were inert until activated by the
Other writers, especially those in collections of essays edited
verbal spells of the “owner,” the magician, and which may
by Bryan Wilson in 1970 and by Horton and Ruth Finnegan
be used for protection, production, and punishment of evil-
in 1973, enlarged on the social and cultural factors, like liter-
doers. Most magical performances were private, carried out
acy or division of labor, associated with this basic distinction
by individuals, but there were also public magicians who per-
between closed and open systems.
formed magic that had consequences such as war, rain, and
The discussion was taken further by suggesting that al-
vengeance for death. Magic was in the hands of men, who
though the causal links in both magic and science are based
were considered more responsible to use these powers than
on analogy, as had been said by Frazer and all later writers
were women.
on magic (although using such terms as metaphor, metony-
In an earlier paper, published in 1929, Evans-Pritchard
my, homeopathy, and the like), the analogies were of differ-
contrasted Zande magic with that of the Trobriand Islanders
ent kinds. Stanley J. Tambiah, for example, distinguishes
as described by Malinowski. Among the former, there was
“scientific” analogy from “persuasive,” “rationalizing,” or
no concept akin to that of mana that provided the power of
“evocative” analogy. He points out that the Azande them-
magical objects for the Trobrianders, and the spell was of less
selves recognized the analogical or metaphorical basis of
importance and used essentially as a directive to the mystical
magical performances that have as their aim the transferal of
power of the “medicines.” Whereas among the Trobrianders,
a particular property or quality to a recipient person or ob-
magic was “owned” by clans, as were the myths that validated
ject. Because of the similarity and/or difference between two
it, among the Azande, it was spread out among the entire
objects, the magical rite transferred the desirable quality 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
5568
MAGIC: THEORIES OF MAGIC
the one to the other. The performance of the magical rites
p. 221). Religion and magic imply each other and are in that
achieved and marked changes of quality or state through the
sense complementary and inseparable, neither having priori-
“activation” of the analogy by the “performative” rite of
ty of any kind over the other.
magic.
Lévi-Strauss has suggested that the notion is similar to
The implication of these remarks is that the discussion
that of mana. Both are subjective notions, used by Western-
of magic has widened in recent years from its relationships
ers to mark off “outside” thought as different from “scientif-
to religion and science to the mode of culturally determined
ic” thought and by the Azande (for example) to distinguish
thought behind it and to the social contexts of magical per-
surrounding peoples as more involved with magic and thus
formances. The discussion has relied largely on the pioneer-
inferior to themselves (much as Westerners might call other
ing work of Lévy-Bruhl and Evans-Pritchard, but it has not
cultures “superstitious” rather than “religious”). If magic is
all taken place among their anthropological followers. Im-
a subjective notion in that sense, it can have little or no
portant work has been done by philosophers such as Peter
meaning in cross-cultural analysis and understanding. The
Winch and Martin Hollis, classicists such as G. E. R. Lloyd
concept of magic is in itself empty of meaning and thus sus-
and E. R. Dodds, and others. A historian whose work merits
ceptible to the recognition of any meaning that one cares to
mention here is Keith V. Thomas; his Religion and the De-
give to it. Following this, Lévi-Strauss has implied that the
cline of Magic is concerned with the decline of magic in En-
category of magic must be abandoned.
gland from the seventeenth century onward. He stresses that,
Lévi-Strauss’s observations notwithstanding, magic re-
historically, magic cannot be separated from astrology and
mains a category that has been and is used in accounts of sys-
witchcraft, the relationship between them being both intel-
tems of belief and ritual and so does merit continued discus-
lectual and practical.
sion. Rather like the notion of totemism, which has also been
Before the seventeenth century, religion and magic
“dissolved” by Lévi-Strauss, its shadow remains, and to un-
could not easily be distinguished, but with the rise in En-
derstand most writings on comparative religion, its history
gland of forms of Protestantism, there came a separation be-
as a concept must be analyzed in the wider contexts of differ-
tween the two, and the importance of magic declined.
entiation between culturally determined modes of thought
Thomas follows Weber in seeing this decline as permitting
and forms of society rather than in the earlier terms of its re-
the “rationalization” of economic life, but he analyzes the
lationship to religion and science.
historical situation with greater subtlety. He suggests that
Many more recent studies of magic, mainly by anthro-
factors that led to the decline of magic included the growth
pologists and based on actual observation of its living believ-
of popular literacy and education, greater individual mobili-
ers and practitioners, have been concerned with the ques-
ty, the development of forms of banking and insurance, and
tions earlier discussed by Thomas in his work on the decline
the rise of the new disciplines of economics, sociology, and
of magic and its link to modernization. In addition, writers
statistics that were to remove much chance and uncertainty
have tended to follow Evans-Pritchard and to see magic as
from everyday life. He also stresses the importance of opti-
one element in the wider complex of the occult. The occult
mism and aspirations in science and in medicine. Even
includes beliefs and practices of witchcraft, sorcery, divina-
though available technology had not yet greatly advanced,
tion, and sometimes of spirit possession. Unfortunately the
people considered that it could and would. For the history
word has acquired an implied quality of the uncanny and
of English magic, at least, he considers the views of Weber
mysterious. This is an outsider’s view and usually not that
as of more relevance than those of Malinowski. Even if the
of local believers and practitioners. The “occult” is in practice
latter are correct for the Trobriand Islanders, they are not for
part of the “everyday.” It is considered normal, sensible, ac-
what have become industrial societies. Malinowski’s view,
cepted. It may at times be seen as evil, as “black,” but evil
put neatly by Godfrey and Monica Wilson as “magic is dom-
is everywhere, an accepted aspect of everyday life, even if un-
inant when control of the environment is weak,” can be
welcome or feared. Like all religion, the occult is intimately
shown not to hold for “historical” and industrial societies
linked to power and control of some people or forces over
(1968, p. 95).
others. Practitioners, whether or good or evil, exert power
and control; have to undergo training, acquisition of knowl-
A highly influential scholar in this context is Claude
edge, and initiation; are professionals and experts; and can
Lévi-Strauss, who has been concerned for many years with
often pervert their skills. The normality of magic and the oc-
the nature of the magical worldview. He makes the point
cult is an essential quality. It is not that everyone can practice
that by his performance, the magician is making “additions
professionally nor know much about it. But it is open to all
to the objective order of the universe,” filling in links in a
to use it if they wish and can afford it. As with all forms of
chain of causation between events that are distant from each
medicine, the “doctor” is trained and may monopolize the
other in space or in time (1966, p. 221). Magic may there-
skill needed to make use of the occult, but his or her skills
fore be seen as a “naturalization of human actions—the treat-
are part of total local knowledge.
ment of certain human actions as if they were an integral part
of physical determination,” whereas in contrast religious rites
In many places magic has indeed declined, but witch-
bring about a “humanization of natural laws” (1966,
craft, charismatic, and modern “deliverance” Christian cults
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: MAGIC IN INDIGENOUS SOCIETIES
5569
have flourished and increased in importance. Many societies,
Mauss’s “Esquisse d’une théorie générale de la magie,” Année
throughout the world, undergo processes of modernization,
sociologique 7 (1904), translated as A General Theory of Magic
globalization, and industrialization. They witness increases
(London, 1972)—the first sociologically oriented discussion
in the ambiguities and contradictions of morality; confusion
of magic—is based on acute analysis of the data then avail-
of good and evil; breakdown of kinship, familial, and com-
able. Émile Durkheim’s Les formes élémentaires de la vie reli-
munity ties and obligations; and greater differences between
gieuse (Paris, 1912), translated as The Elementary Forms of the
Religious Life (1915; reprint, New York, 1965), is a highly
rich and poor, powerful and weak, and women and men.
influential study of Australian totemic religion. Lucien Lévy-
These factors are reflected in beliefs and practices of the oc-
Bruhl’s Les fonctions mentales dans les societés inferieures (Paris,
cult that are considered to lie behind and to explain them,
1910), translated as How Natives Think (London, 1926), is
and are used to counter them. The occult becomes an impor-
a seminal work that, although outdated, has led to much
tant element in rivalry between modern political factions,
fruitful work on the magical worldview. Max Weber’s The
ethnic groups, and inter-regional religious movements. The
Sociology of Religion, edited and translated by Talcott Par-
weak and poor may use the occult to give themselves some
sons, (Boston, 1963) contains passages on the problems of
control over the powerful and wealthy; and the latter may
rationality from several of Weber’s original German works.
use it to keep the former in their inferior place. Although
Later basic anthropological accounts of magic include Bronislaw
magic may at times decline, its decline cannot be understood
Malinowski’s Coral Gardens and Their Magic, two volumes,
in isolation but only as part of the persistence of the entire
(London, 1935), a detailed ethnographic account of Trobri-
occult complex, any element of which may rise or fall in im-
and magic, and Magic, Science, and Religion (New York,
portance with changes in the structure and organization of
1948), a collection of earlier papers on Trobriand religion
and magic. A. R. Radcliffe-Brown’s The Andaman Islanders
any particular society and community over time. Most earlier
(1922; 3d ed., Glencoe, Ill., 1948) is an ethnographic ac-
analyses of magic failed by merely distinguishing “magic,”
count that has had great influence. E. E. Evans-Pritchard’s
defined in the observer’s own ethnocentric terms, as opposed
Witchcraft, Oracles, and Magic among the Azande (1937; 2d
to “religion.”
ed., Oxford, 1950), the most important anthropological ac-
To see magic as part of the occult (and so perhaps over-
count yet published on the working of magic, has influenced
come the problem of translation of Eurocentric terms like
all later work on the subject. Also noteworthy is his brilliant
comparative essay “The Morphology and Function of Magic:
“witchcraft” and “sorcery”), one may follow Lévi-Strauss in
A Comparative Study of Trobriand and Zande Ritual and
accepting its lack of value as explanatory phenomenon, and
Spell,” American Anthropologist 31, (1929): 619–641, re-
to single it out as being in “decline” may miss understanding
printed in Myth and Cosmos, edited by John Middleton,
it. Magic does not stand on its own but is part of the occult,
(Garden City, N.Y., 1967). For a discussion of magic accord-
which varies from one society to the next. It is the very nor-
ing to Malinowski, see Godfrey and Monica Wilson, The
mality of magic and the occult, as wide-ranging yet put into
Analysis of Social Change Based on Observations in Central Af-
action or controlled by ordinary people, as a weapon in ev-
rica (London, 1968).
eryday relations and competition, that enables them to per-
Finally, there are two important historical works that deserve
sist in ever-changing form.
mention: Keith V. Thomas’s Religion and the Decline of
Magic (London, 1971), a historical account of the decline of
SEE ALSO Miracles; Spells; Superstition; Witchcraft.
magic in England since the seventeenth century, and
G. E. R. Lloyd’s Magic, Reason, and Experience: Studies in the
BIBLIOGRAPHY
Origins and Development of Greek Science (Cambridge, U.K.,
Three important studies of theories of religion in general warrant
1979), an innovative study of the relationships between
mention here. E. E. Evans-Pritchard’s Theories of Primitive
magic and science.
Religion (Oxford, 1965) is an excellent summary of anthro-
JOHN MIDDLETON (1987 AND 2005)
pological theories of religion and magic, with emphasis on
the work of Tylor, Frazer, Durkheim, and Lévy-Bruhl. Ratio-
nality, edited by Bryan Wilson, (Oxford, 1970) and Modes
of Thought, edited by Robin Horton and Ruth Finnegan,
MAGIC: MAGIC IN INDIGENOUS SOCIETIES
(London, 1973) are valuable collections of essays on the dif-
Magic, in the view of many anthropologists and other schol-
ferences between magical and scientific world-views, and
ars of small-scale societies—those in which effective political
Claude Lévi-Strauss’s La pensée sauvage (Paris, 1962), trans-
control is restricted to a village or group of villages—is the
lated as The Savage Mind (London, 1966), is a brilliant dis-
manipulation of enigmatic forces for practical ends. Magical
cussion of the same problem. Other works on the basic prob-
means are said to be extranatural or supernatural, and the ob-
lem of thought include J. Goody’s The Domestication of the
jectives of magical intervention, natural. The magician pre-
Savage Mind (Cambridge, U.K., 1977) and C. Hallpike’s
pares a variety of special objects or “bundles,” “spells,” “in-
The Foundation of Primitive Thought (Oxford, 1979).
cantations,” or “potions,” which are thought to bring about,
Of the numerous works on magic, five are classic. James G. Fra-
in some mysterious way, real changes in a person, object, or
zer’s The Golden Bough, abbreviated edition, (London, 1922)
event.
is a summary of his twelve-volume third edition, a mass of
ill-comprehended data that has had enormous influence far
In the simplest foraging societies everyone knows some
beyond its real importance. Henri Hubert and Marcel
magic, and a shaman is usually a part-time specialist in heal-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5570
MAGIC: MAGIC IN INDIGENOUS SOCIETIES
ing and divination who may be called on for public religious
the myths are fragmented and used for individual purposes.
ritual. In agrarian and other, more complex societies magi-
Thus the conflict between the social good and individual
cians tend to work for private clients in curing illnesses, in
need sometimes finds expression as a conflict between reli-
ensuring a positive outcome of an intended act, or in modify-
gion and magic. As manifested in Europe, that conflict in-
ing the behavior of a third party. Magic in these societies,
volved the church and the practice of witchcraft. Anthropol-
where there is greater specialization, tends to be practiced in
ogists have applied the term witchcraft to practices outside
private and, at times, against the public interest.
Europe, but the conflict with well-established religion that
the use of this term suggests is not necessarily present in sim-
Some anthropologists of the late nineteenth and early
ple societies.
twentieth centuries believed that so-called primitive peoples
confused magical causality and natural causality. Today most
The terms sorcery and divination have also been applied
anthropologists hold that magicians can distinguish the one
to magical traditions outside Europe. Although there is sub-
from the other. Magic is used to coax nature to do its job,
stantial variation from society to society and among scholars
not to replace it; that is, the magician tries to engender a de-
who use these terms to describe indigenous beliefs, witchcraft
sired natural process as opposed to some other natural pro-
usually refers to the involuntary practice of magic, and sor-
cess, and this he accomplishes principally through the use of
cery to the deliberate practice of magic. Witchcraft is
metaphor—the “power of words”—or other magical formu-
thought to be involuntary, since at times the witch may be
las. The magician may also deceive the client into imagining
unaware of the condition. Furthermore, a witch may be pos-
that some noxious natural substance “removed” from the cli-
sessed against his or her own will. Witchcraft receives greater
ent’s body is the source of his sickness or whatever supernatu-
attention in the literature than does sorcery, possibly because
ral harm has befallen him (when, in fact, the magician comes
witchcraft appears to be more common and because anthro-
upon the substance through a trick and does not remove it
pologists are interested in the social implications of accusa-
from the client’s body). Magic may be used to supplement
tions of witchcraft. Witchcraft activities may have good in-
natural causality so that no chances are taken. When natural
tentions (“white” magic), or they may have evil intentions
causality is not known, use of magic may still be rational: that
(“black” magic), although here again field data suggest that
is, given that many actual or perceived dangers are beyond
such a distinction is not always clear. Divination is not iden-
human control, one must at least try something.
tical to magic, as no manipulation of natural events is sought.
Yet it is not entirely separate from magic. Divination is the
Typically, magic is contrasted with science and religion.
attempt to reveal hidden information by “reading” the mysti-
It differs from both in that its purposes are practical, not the-
cal symbolism found in otherwise ordinary objects or action.
oretical or cosmic. It shares with science the desire to obtain
The oracle exposes the probable result of an intended action.
a utilitarian understanding of everyday events, and with reli-
The person who consults the oracle may then choose the ac-
gion the use of extranatural processes. Thus magic is neither
tion if that result is desired, or he may select some other
primitive science nor the religion of primitive people, con-
course of action if it is not. Divination may not necessarily
trary to views prevalent among nineteenth-century theorists;
involve foretelling the future. An oracle may reveal the cause
rather it supplements each. In small-scale societies magic
of some community problem: someone is a witch and so is
may be entwined with science and religion to such a degree
the source of harm. Identifying the problem suggests its solu-
that their disengagement is arbitrary. Observers of these so-
tion: exorcise the witch. Thus the diviner taps the same mys-
cieties tend to label communal rituals and beliefs “religion”
tical forces that the magician employs. But, unlike the magi-
and private uses of mysterious forces for personal gain
cian, the diviner does not attempt to change events; rather
“magic.” In such societies, applied science is craft—the abili-
he seeks to know what has happened or what will happen.
ty to make utilitarian tools and other objects—or the practi-
An early interpretation of magic was set forth by James
cal knowledge of planting, hunting, or curing. Here again
G. Frazer (1854–1941) in The Golden Bough, a massive study
magic is inexorably tied to science in a supplementary way,
of supernatural practices around the world. In common with
in that magical procedures give the craftsperson, gardener,
many social philosophers of the late nineteenth century, Fra-
or herbalist a measure of confidence in a risky endeavor:
zer held that use of magic was typical of early societies.
magic can protect a newly built canoe against sinking, keep
Human thought progressed from magic to religion and
insects out of gardens, and heal the sick. Magic is never an
thence to science. Magic is like science in that both explain
alternative to practical science or technology; rather it is an
the causality of ordinary events by suggesting that cause A
attempt to tip the odds in the favor of the practitioner in the
has effect B. However, magic is pseudoscience in that it con-
likely event that scientific knowledge is limited.
fuses supernatural efficacy with natural results. Today most
In small-scale societies magic may represent the instru-
anthropologists disagree with Frazer on this point and follow
mental aspect of religious belief: the same myths—the stories
the interpretation of Bronislaw Malinowski (1884–1942),
that explain a people’s origins or an ultimate cause—validate
who held that the magician is well aware of the distinction
religion and magic. However, in religion the myths are be-
between the supernatural and natural realms.
lieved to be universally applicable and are used to support
Scholars look more kindly upon Frazer’s classification
the public good or the established order, whereas in magic
of types of magic, if only for the sake of convenience. Accord-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: MAGIC IN INDIGENOUS SOCIETIES
5571
ing to Frazer, magic follows the “law of sympathy”: magical
not restricted to the so-called primitive peoples but may also
causes may have distinct effects through one or the other of
be found in complex societies. These scholars emphasized the
two procedures. The first is homeopathic magic: the magi-
practical use of magic, as a private act in a social matrix. But
cian acts out a procedure on models of the intended victim,
there is a related stream of anthropological thought that con-
and what he does is mysteriously transmitted to the victim
cerns magic as an individual’s ritual or cognitive act.
himself. “Like produces like” is the principle here. A pin
In his Elementary Forms of the Religious Life, Émile
stuck in a doll that represents the victim causes harm to the
Durkheim (1858–1917) saw magic and religion as embed-
victim himself. The second type of sympathetic magic is con-
ded in each other. Both contain beliefs and rites, but whereas
tagious magic: items that have been in contact with the vic-
religious rites are concerned with the sacred, magical rites are
tim, such as his hair or nail clippings, may be magically ma-
directed toward the utilitarian. Religion works toward com-
nipulated to produce harm in the victim.
munal goals while magic deals with private ends. It is this
Malinowski best explicated what is today a commonly
that explains the abhorrence with which organized religions
held view among scholars: that magic and science supple-
reject magical practices. Religion involves a church operating
ment each other and are not to be confused. In extensive
in public, while magic involves an individual operating in
fieldwork among inhabitants of the Trobriand Islands off
private.
northeast New Guinea (1914–1920), Malinowski found
Marcel Mauss (1872–1950), Durkheim’s son-in-law
that these gardening and seafaring people were highly empir-
and intellectual heir, saw magic as “private, secret, mysteri-
ical in their approach to horticulture, canoe building, and
ous and tending at the margin towards the forbidden rite”
sailing. Yet they consistently tempered their pragmatism
(Lukes, in Sills, 1968, p. 80). Like Durkheim, Mauss empha-
with magic. In sailing, they ordinarily relied on their craft
sized the similarity between magic and religion. In Mauss’s
skills and seamanship, but they understood, too, that native
view, both involve mystical power. Magic is a “social fact,”
craftsmanship and seamanship were at times insufficient aids
a fundamental unit of society. Every rite that is not commu-
in withstanding the unexpected foreboding condition, like
nal involves magic. For peoples of Oceania, the supernatural
a capricious storm on open water. For these possibilities the
or mystical force in magic is mana, a nonsentient supernatu-
Trobrianders used magic: it seemed to make the unknown
ral power. Similar notions are found in many other parts of
amenable to human action and therefore provided psycho-
the world, and anthropologists have labeled them mana as
logical reassurance for a potentially perilous voyage. For Ma-
well. Mana may be located in objects or people. It is the
linowski, then, there is no evolution from magic to religion
power transmitted through the laying on of hands when one
and ultimately to science; rather these three facets of human
is cured of illness. Mana resides in the “ghost shirt,” a special
behavior must be understood together, as aspects of a cultur-
garment worn by some nineteenth-century Plains Indians to
al system.
protect against bullets. And mana is to be found in all lucky
In his classic study of a people of Zaire, Witchcraft, Ora-
charms. The transfer of mana, or the aura given off by an
cles, and Magic among the Azande (1937), E. E. Evans-
object or person with mana, is at the heart of many
Pritchard (1902–1974) took up Malinowski’s argument that
magical practices: the transfer is said to ensure supernatural
magic has its own logic. If one accepts the Zande worldview,
protection.
then belief in magic follows. “Witchcraft, oracles, and magic
Central to any discussion of magic are a number of puz-
are like three sides to a triangle,” wrote Evans-Pritchard.
zling questions. How can people actually believe that a spe-
“Oracles and magic are two different ways of combatting
cial garment will protect them against bullets? Why do peo-
witchcraft” (p. 387). Consultation of oracles in divination
ple let themselves be duped by the hocus-pocus of the
can locate the source of witchcraft, and use of magic can
magician? Are people so credulous as to believe that placing
combat it. For example, the Zande hold that all human death
a photograph of an intended victim in a coffin will actually
is caused by witchcraft. True, if a man walks under a cliff,
harm that person?
is struck by a rock, and subsequently dies, the Zande would
not deny empirical causality: surely the rock caused the
Lucien Lévi-Bruhl (1857–1939) provided one answer to
death. Yet they would also claim an attendant causality:
these questions. Like Frazer, Lévi-Bruhl developed an evolu-
what, it could be asked, caused that person to walk under
tionary scheme to account for cultural differences. He fo-
the cliff in the first place? Why did the rock fall just as the
cused on human thought, however, not social institutions.
person was under the cliff? Surely some witch was responsi-
For most of his career he held to what was essentially an elab-
ble. To discover the identity of the witch, the Zande would
oration of the racist notion that so-called primitive peoples
consult the oracles.
are less fully evolved than “civilized” peoples, and that their
thinking, which Lévi-Bruhl labeled “prelogical,” is funda-
The pioneering work of Malinowski and Evans-
mentally childlike. Civilized peoples, in his view, think ratio-
Pritchard contributed much to the development of the mod-
nally, logically. Prelogical thinking involves a different order
ern anthropological view of magic: specifically, that it has so-
of perception: mystic properties are attached to inanimate
cial, cultural, and psychological functions; that it is a rational
objects or to living things. Magic is thus part of prelogical
activity akin to but separate from science; and that its use is
thinking, as are many other aspects of so-called primitive cul-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5572
MAGIC: MAGIC IN GRECO-ROMAN ANTIQUITY
ture: language, enumeration, memory. Toward the end of his
of magic forever on the agenda of anthropologists, folklorists,
career, Lévi-Bruhl modified his position on the inherent dif-
and all scholars of small-scale societies. Frazer’s library study
ference of certain groups of human beings. Humans taken
eventually grew to twelve volumes (3d ed., rev. & enl.; Lon-
as a whole, he came to believe, have capacities for the various
don, 1911–1915) plus an Aftermath (London, 1936). An
styles of thought: prelogical mentality is to be found every-
abridged, single-volume version, entitled The New Golden
where, but it is emphasized more in primitive societies.
Bough, edited by Theodor H. Gaster, was published in 1959
(New York).
This brings us close to Claude Lévi-Strauss’s view of the
In a theoretical essay entitled Magic, Science, and Religion (New
“savage mind.” Magical action is, in his view, a subset of ana-
York, 1948) Bronislaw Malinowski criticized Frazer’s arm-
logical thought, the mental activity emphasized in simple so-
chair scholarship, and it is with Malinowski’s Coral Gardens
cieties. Magic involves an assumption that metaphors work
and Their Magic, 2 vols. (Bloomington, Ind., 1935), that the
according to physical or natural laws. The case of the Zande
modern anthropological field study of magic really begins.
peripatetic hit by a falling rock might be solved in this fash-
E. E. Evans-Pritchard’s Witchcraft, Oracles, and Magic among
ion: human intent of harm to that individual was paralleled
the Azande, 2d ed. (1937; Oxford, 1950), is a classic field
by the natural event of the falling stone.
study of magic among a traditional African group. Religion
in small-scale societies, especially among the indigenous peo-
Lévi-Strauss formulated his own contrast between
ples of Australia, is the subject of Émile Durkheim’s The Ele-
magic and religion: religion is “a humanization of natural
mentary Forms of the Religious Life (1915; New York, 1965).
laws,” while magic is “a naturalization of human actions—
Greater depth is given to the Durkheimian approach to
the treatment of certain human actions as if they were an in-
magic in Henri Hubert and Marcel Mauss’s “Esquisse d’une
tegral part of physical determinism” (1962, p. 221). Lévi-
théorie générale de la magie,” L’année sociologique 7 (1904).
Strauss envisages no evolutionary sequence beginning with
Subsequently translated as A General Theory of Magic (Lon-
magic: magic, religion, and science all shade into one anoth-
don, 1972), this important essay is quoted by Steven Lukes
er, and each one has a place in human society.
in his article on Mauss in the International Encyclopedia of the
Social Sciences, edited by David L. Sills (New York, 1968),
S. J. Tambiah also sees analogy at work in science. Sci-
vol. 9, pp. 78–82. The racist position that the use of magic
ence, however, begins with known causal relationships be-
is an outcome of “primitive” thought is set forth by Lucien
tween phenomena and then, through analogy, discovers the
Lévy-Bruhl, especially in his Primitive Mentality (New York,
identical causal relations between unknown phenomena.
1923).
Meaning imbued in the magical act is analogously trans-
The nature of magical thought, as a species of normal human
ferred to the natural activity. This is not, Tambiah argues,
thought, is spelled out by Claude Lévi-Strauss in his classic
faulty science but a normal activity of human thought: magic
essay The Savage Mind (Paris, 1962). Summations of anthro-
is a specialized use of analogy and the imputation of meaning
pological ideas concerning magic and religion in simple so-
from the magical procedure to a natural referent. Thus magic
cieties can be found in Ruth Benedict’s “Magic,” in the Ency-
does what science cannot: it helps create a world of meaning.
clopaedia of the Social Sciences (New York, 1933), vol. 10,
Seemingly bizarre magical behavior is to be understood as an
pp. 39–44; Nur Yalman’s “Magic,” in the International Ency-
exercise in the exploration of meaning in practical activity,
clopedia of the Social Sciences (New York, 1968), vol. 9,
not as a refutation of natural law.
pp. 521–527; E. E. Evans-Pritchard’s Theories of Primitive
Religion (Oxford, 1965); and the various editions of The
Many anthropologists would argue that magic is part of
Reader in Comparative Religion: An Anthropological Approach,
the normal daily routines of people in modern, complex so-
edited by William A. Lessa and Evon Z. Vogt. Stanley J.
cieties. Clearly magic is involved when a baseball player, in
Tambiah’s article entitled “The Form and Meaning of Magi-
order to get a hit, crosses himself or picks up a bit of dirt be-
cal Acts: A Point of View” appears in the fourth edition
fore batting. Mana is the “charisma” of the persuasive indi-
(New York, 1979) of the reader.
vidual; it is also the “prestige” of the person of high social
DONALD R. HILL (1987)
station. Magical protection is afforded the automobile driver
who places the statue of a saint on the dashboard. And magic
is involved in the daily ritual of personal ablutions and
grooming: “I must always wear this tie with that suit,” “If
MAGIC: MAGIC IN GRECO-ROMAN
my hair is not styled just so, I won’t feel right.” The doctor
ANTIQUITY
says, “Take two pills and call me if you don’t feel better in
From the beginning, magic was an essential part of Greco-
twenty-four hours,” and we take his advice, since, like most
Roman culture and religion. Over the course of history, how-
laypeople, we tend to see the science of the expert as a form
ever, it changed in appearance, scope, and importance from
of magic. And this is necessarily so, as we cannot all be ex-
being an element of simple rituals to becoming highly com-
perts in everything, yet we still need to reduce our anxiety
plex systems claiming the status of science and philosophy.
and gain a sense of order and meaning in our lives.
To the extent that magical ideas were presupposed in early
agrarian and sacrificial rites, purifications, and burial cus-
B
toms, magic even preceded the culture of the Greeks. Later,
IBLIOGRAPHY
With the publication of The Golden Bough: A Study in Magic and
magical beliefs and practices steadily grew in significance and
Religion, 2 vols. (London, 1890), James Frazer put the study
diversity. In the Hellenistic period that followed Alexander
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: MAGIC IN GRECO-ROMAN ANTIQUITY
5573
the Great (d. 323 BCE), magical material increased considera-
meaning, however, is found in the writings of the magicians
bly. In Classical Greece of the sixth to fifth centuries BCE,
themselves, especially in the Greek Magical Papyri.
Thessaly and Egypt had already been known as the prime
The negative meaning was taken over by the Romans;
sources of magical knowledge; but only Hellenistic syncre-
in Latin the terms are magia, magicus, and magus, as well as
tism produced the abundance of material now available.
maleficium and maleficus. Modern English has inherited this
Within the Greco-Roman world magic formed to some ex-
negative meaning, with the exception of the Magi of Mat-
tent a common tradition, yet at the same time each cultural
thew 2:1.
region put its own stamp on it. The main traditions were
those of Greek, Greco-Egyptian, Roman, Jewish, and Chris-
DESCRIPTIONS OF MAGIC. What constitutes magic was al-
tian magic. While clearly distinguishable, these cultural con-
ready disputed in antiquity. Roman officials and intellectuals
texts also overlapped to a considerable degree and produced
reflect the negative reputation that magic had acquired. Pliny
a variety of syncretic forms.
(Natural History 30.1–2) points out its fraudulent and dan-
gerous character and has a theory about its origins as a deca-
SOURCES. The material to be considered falls into two cate-
dent mixture of elements from medicine, astronomy, and re-
gories. First, there is an abundance of primary sources: amu-
ligion. Apuleius (Apology 26) sums up the view of it as being
lets, magical gems (often with pictorial and verbal inscrip-
vulgar and making preposterous claims. By contrast, practi-
tions), curse tablets, spells on papyrus and on strips or sheets
tioners of magic provide favorable descriptions of the art
of metal, inscriptions, symbols, drawings, paintings, small
(Apuleius, Apology 26; Greek Magical Papyri, passim), or
figurines and larger sculptures, tools, and finally handbooks
they distinguish between lower and higher forms; go¯eteia be-
of magicians that collect the materials they used (especially
came the lower, mageia the general, and theourgia the higher
the Greek Magical Papyri). Second, there is also a vast
magic. This distinction allowed Neoplatonic philosophers,
amount of secondary source material. Almost every ancient
especially Iamblichus and Proclus, to accept theurgy as a
author presents literary and artistic descriptions of magical
form of philosophical magic.
beliefs and practices. There are also many short references to
such beliefs and practices as they existed at the time. Philoso-
GREEK AND ROMAN MAGIC. For reasons of methodology it
phers discussed the matter from early on. Scholarly investiga-
is important to distinguish between primary (performative)
tions from the Hellenistic and Roman periods are extant
and secondary (descriptive) material.
(Plutarch’s On Superstition; Pliny’s Natural History 30). At
Primary sources. Primary sources for ancient magic
that time the distinction between acceptable and unaccept-
consist of various kinds of artifacts, images, symbols, and
able forms of magic became common, making it possible for
written texts. Collections of such sources are today housed
even the educated to use magic in some positive way. Legal
by public museums and libraries or with private collectors.
provisions had to be developed to deal with magic, especially
The cataloging and publishing of these widely dispersed ma-
with forms of it that were reputedly used to harm others.
terials are still in progress.
Despite its reputation as illicit, fraudulent, and supersti-
Amulets. Greco-Roman antiquity has left us a large
tious, magic was an essential part of daily life at all levels of
number of amulets of different kinds and purposes. The
society. The uses of magic seem to have been unlimited. In
word amuletum occurs in Pliny and corresponds to the Greek
any case, they were also connected with legitimate forms of
phulakt¯erion. Amulets were magically potent objects that
ritual, myth, symbol, and even language in general. Magic
averted evil or increased a person’s or a deity’s divine power.
was presupposed in all forms of the miraculous, and in medi-
They were worn around the neck or on the head, or arm,
cine, alchemy, astrology, and divination. Even so, magic re-
or were posted in various places in the house (on doors, at
tained its dubious reputation, and there were always those
thresholds, etc.). Amulets come in many shapes and forms.
few who viewed it with total skepticism.
Best known are the Egyptian scarab, the hand showing the
fica (the obscene gesture called “the fig”), the phallus, the
TERMINOLOGY. The phenomenon of magic is designated by
eye. Other forms are divine symbols and figurines, replicas
several Greek terms, especially mageia, pharmakeia, and
of other parts of the human body, animals, and plants. Pre-
go¯eteia. The term mageia is derived from magos (pl., magoi),
cious and semiprecious gems engraved with images of deities,
originally a Persian word (magush). Herodotus describes the
inscriptions, and magical symbols were very popular. Often
Magoi (Magians) as a Median tribe. Later they were assumed
amulets were placed in capsules (bullae). While Egypt was
to be priests and scholars of astrology, divination, and related
the classical land of amulets, they were known in all parts of
subjects. Whereas Plato (Alcibiades 1.122) still speaks of
the ancient world. Among Jews the tefillin and the mezuzah
mageia in a positive sense as referring to “the magian lore of
should be mentioned, and among Christians the cross and
Zarathushtra,” Aristotle uses the term also in a negative sense
the fish.
as we do today (frag. 36; also Theophrastus, History of Plants
9.15.7). This negative meaning, which has little to do with
Curse tablets. Curse tablets, or defixiones (from Lat. de-
the original meaning, becomes predominant in the Hellenis-
fixio, “binding spell”; Gr., katadesmos), are known from
tic period, when new words develop besides magos and
Greece since the time of Homer. A large number of lead la-
mageia, as for instance mageuein and magikos. The positive
mellae are extant from fifth-century Greece, but curse tablets
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5574
MAGIC: MAGIC IN GRECO-ROMAN ANTIQUITY
exist also in the form of ostraca, seashells, and papyri, upon
the Orphic Hymns (probably from the second century CE),
which the curse formulas were inscribed, often with the
and the hymn fragments inserted in the Greek Magical Papy-
names of the cursed and the curser. The tablets were deposit-
ri, some of which may be ancient.
ed in the ground near places where the spirits of the dead
were believed to be or in such places as houses, baths, and
Magical handbooks. Magicians collected the material
sports arenas, so as to be communicated to avenging under-
they needed in handbooks, some of which are extant, as for
world deities (especially Hermes, Hekate, Persephone, and
example the great magical papyri of Berlin, Leiden, London,
Typhon). Curse tablets were used for a variety of purposes,
and Paris. Such handbooks include a wide variety of spells
especially in erotic magic, court trials, political intrigues, and
to be used by the magicians themselves or to be sold to cus-
sports (gladiators, horse races). From the earlier and simpler
tomers. There are also rituals for acquiring assistant demons
curse developed the later, more elaborate, syncretistic forms
(paredroi daimones), initiation rituals, deification rituals, in-
of the Hellenistic and Roman eras; besides the magical for-
vocations for oracular séances with deities, and procedural
mulas, inscriptions often included so-called voces magicae,
matters (preparation of ingredients, instructions about when
characters, or drawings. A special form was the magical letter
various procedures can be undertaken, etc.). Among the
to the underworld deities.
spells, those designed to attract a lover, harm an enemy, or
restrain anger are most numerous. Other spells have to do
Curse figurines. Curse figurines, of which several exam-
with various illnesses, bedbugs, business problems, catching
ples and descriptions have survived, were also widely used.
thieves, and horse races. To find out what the future holds,
To curse someone, one made a wax or clay figurine of the
a host of mantic spells and longer rituals are provided. Out-
person and then stuck needles or nails into the figurine or
standing among all these collections are the so-called Mithra-
mutilated it, while curse formulas were spoken over it. Like
ic Liturgy, which exhibits yet unexplained relationships to
curse tablets, the figurines were deposited in the ground.
the Mithraic cult, and the “Eighth Book of Moses,” which
This form of curse was apparently popular in erotic magic.
contains three different versions of an initiation ritual. In ad-
Drawings. Drawings have magical power in themselves,
dition to collecting magical material, the handbooks told
as extant magical papyri show. The subjects of the drawings
magicians how to make and use amulets, curse tablets, figu-
can be deities, persons, or animals.
rines, and drawings, and how to use tools.
Tools. Magical tools are known to have existed and have
Secondary sources. Whereas primary sources present
in fact been found (nails, disks, etc.). The most important
magical practices and beliefs directly, secondary sources pre-
discovery was a set of tools found in Pergamum.
suppose, describe, or discuss them. The literature of Greek
and Roman antiquity contains innumerable examples of
Symbols. A large number of magical signs and symbols
such secondary sources, but careful distinctions must be
appear on amulets, gems, and tablets. Although seemingly
made: while many authors have real knowledge of popular
in use since Pythagoras (see Lucian, Pro lapsu 5), most of
magic or even access to primary sources of magical literature,
them are still unexplained today. The magicians called them
there is at the same time a purely literary tradition in which
charact¯eres. In Gnosticism they were also taken over by
the same themes, motifs, and terms show up again and again.
Christian magic (Book of Jeu, Pistis Sophia).
Therefore some authors simply imitate the descriptions of
Incantations. Incantations belong to the magic of the
magical acts found in earlier authors or attempt to supersede
word. They consist of magical formulas, prayers, and chants.
them. While both kinds of authors may flourish simulta-
The term comes from the Latin incantamentum, “incanta-
neously, some authors may have received their information
tion, spell” (Gr., epoide). Many examples of incantamenta are
from secondary sources exclusively.
found in inscriptions, papyri, and literature, where they are
Literary texts. Magic is a common literary motif in both
quoted or described. They were widely used in medicine
Greek and Latin literature. Homer’s Iliad and Odyssey con-
(healings, exorcisms), weather magic, cultic invocations of
tain many allusions to and descriptions of magical acts. Pliny
gods and demons, and erotic magic. Their significance for
(Natural History 30.1) states that the Odyssey in particular
philosophy and rhetoric was recognized by the Sophists and
was recognized simply as a book of magic. In fact, Homeric
Plato. They also appear as literary motifs in sagas, novels,
verses were used later as magical formulas. Magic plays a role
myths, aretalogies, mystery cults, and collections of oracles.
in Odysseus’s encounter with the witch Circe (Odyssey
Hymns. Hymns to the gods are closely related to incan-
10.274ff.) and his descent into Hades and consultation with
tations. In terms of poetry and religion, hymns are more and
the seer Teiresias (Odyssey 11.14ff.). The Homeric Hymns
even highly developed forms. They were composed metrical-
have numerous references to magic, some of which (depend-
ly and sung, with accompanying cithara and dance. Their
ing on whether the hymns actually were used in the cult) may
basic form included the invocation of the gods, the gods’
be primary rather than merely secondary sources. The Hymn
names and epithets (expressed in relative clauses, participles,
to Demeter 228–230 is especially important because of its ref-
adjectives, etc.), and the petition. Hymns existed from Ar-
erence in the Demophon episode to a ritual baptism of fire.
chaic times on. Major extant collections include the Homeric
From the beginning, literary interests were focused not only
Hymns (mainly from the eighth to the sixth centuries BCE),
on erotic magic but also on death and the underworld with
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: MAGIC IN GRECO-ROMAN ANTIQUITY
5575
its deities, especially Hekate and Persephone (e.g., Hesiod’s
book 28). Although written as an apology, Apuleius’s Apolo-
Hekate episode in Theogony 411–452). There is also, of
gia (De magia) is in fact a compendium of magic. Apuleius’s
course, a close relationship between the literary and the pic-
other works are also valuable sources for the magical beliefs
torial art. Greek drama took to the subject as well, expressing
of his time (see especially the Metamorphoses).
it either in episodes (e.g., the calling up of the ghost of Darius
in Aeschylus’s Persae 619–842) or in whole tragedies (e.g.,
Legal provisions. Ancient law had no provisions for
Euripides’ Medea, treating one of the great witches of antiq-
prosecuting magicians for the practice of magic. However,
uity). Ancient comedy used magic for its own purposes, as
there are numerous accounts of trials in which magic played
in the description of a go¯es (“quack”) in Aristophanes’ Plutus
a role. These were trials not only of magicians and witches
(649–747) or Menander’s Deisidaimon and Theophorou-
but also of philosophers (e.g., Anaxagoras, Socrates, Apollo-
mene. Theocritus’s second idyll, entitled Pharmakeutria (The
nius of Tyana, and Apuleius of Madaura). According to an-
Witch), became a literary prototype for many later poets.
cient writers, these persons were accused of murder by poi-
soning (pharmako¯n) or of failure to honor the gods properly
The superstitious man as a literary and ethical type was
(asebeia), accusations broad enough to add emotional furor
described by Theophrastus (Characters 16). The hymnic tra-
to a wide range of charges. If magic as such was not a reason
dition was continued by the third-century BCE poet Callima-
for prosecution, harming a person by means of magic was.
chus (Hymn to Demeter 3–6; On the Bath of Pallas 9) and his
Plato included legal provisions against such injury in his
pupil Apollonius of Rhodes, whose Argonautica included sev-
Laws (11.933. D). The Romans went further and included
eral magical sections (3.7ff., invocation to Erato; 744–911,
property damages caused by weather or agricultural magic in
Medea’s preparation of magical drugs; 1163–1224, Jason’s
the Tabulae XII.
nocturnal sacrifice to Hekate; 1225–1407, Jason’s magical
defeat of the giants). Especially popular were descriptions of
JEWISH MAGIC. Magic played a somewhat different role in
scenes of necromancy. In the Roman period the second-
Judaism as compared with neighboring religions. The Old
century Greek satirist Lucian of Samosata provides an almost
Testament shows that Israelite religion was well aware of the
complete inventory of magical beliefs and practices, as did
importance of magic in the religions of Egypt and Babylon,
the Greek novels.
but on the whole it viewed magic negatively. For the Old
Testament, magic is either foreign or marginal. Magicians
In Roman literature the tradition continues with an in-
are called in by Pharaoh (Ex. 7–10) or Nebuchadrezzar (Dn.
creasing interest in the dramatic and the bizarre. Vergil’s
2:2); they serve Jezebel (2 Kgs. 9:22) and Manasseh (2 Chr.
eighth eclogue (64–110) describes a magical ritual performed
33:6). The prophets warn against magic (Is. 47:9–15, Jer.
by a deserted lover that shows exact knowledge of magical
27:9, Ez. 13:17–19, Na. 3:4, Mal. 3:5, Mi. 5:11–12). The
details, although it is based upon Theocritus’s second idyll.
religion of Israel is believed to be more powerful than all
In the Aeneid, dramatic magical scenes are connected with
magic, which is excluded by law (Ex. 22:18; Lv. 19:26,
the death of Dido (4.504–676). Horace’s fifth epode has a
19:31, 20:6, 20:27; Dt. 18:9–22). Especially important is the
macabre scene of the abduction and murder of a child.
necromancy in the story of the witch of Endor (1 Sm. 28).
Philosophical and scientific investigations. According to
This picture, however, is deceptive. Pre-Israelite reli-
ancient tradition, philosophers have been preoccupied with
gions, most of them saturated with magic, have left numer-
magic since pre-Socratic times. The names of Heraclitus, Py-
ous traces in Israelite religion; furthermore, popular Israelite
thagoras, Empedocles, and Democritus appear several times
religion must not be confused with what the Old Testament
in connection with magic, and spells under the names of Py-
conveys. In this popular religion, magic has a firm place that
thagoras and Democritus are found in the Greek Magical Pa-
was often approved of even by “official” religion (e.g., Moses’
pyri. Although the historical value of these references is
and Elijah’s magical wands in Ex. 4:20, 17:8–13; 2 Kgs. 4:29,
doubtful, philosophers seem to have investigated magical
4:31; Urim and Tummim, ephod and terafim in 1 Sm. 2:18,
phenomena since Pythagoras, who also may have been the
14:3, 14:18; Jgs. 17–18; Dt. 33:8). More important than am-
first to make a positive use of it.
ulets and rituals was the magic of the word, especially curses
Greek philosophy in general rejected magic. The Skep-
and blessings and above all the name of Yahveh (see especial-
tics, Epicureans, and Cynics produced an entire literature
ly Jgs. 13:6, 13:17–18; Ex. 3:14). The name of Yahveh be-
combating magic. But the attitude gradually changed with
came the most important magical element in Judaism and,
the development of demonology, mantic, and astrology. The
beyond it, in Hellenistic syncretism. Therefore the God Iao
Hermetic writings and the Neoplatonic philosophers Iam-
plays an enormous role in the Greek Magical Papyri, and on
blichus and Proclus (and probably even Plotinus) accepted
the magical gems and amulets of the Hellenistic and Roman
forms of magic and integrated them into their systems.
period.
Scientific compendia of magical beliefs and practices are
These various developments persist on a far broader
extant from the Roman period. Pliny’s Natural History con-
scale in rabbinic Judaism. The official rejection of magic in
tains a history and theory of what he calls the magicae vani-
rabbinic literature must be seen against the background of
tates (30.1–18) and a large collection of remedies (see also
popular religion and the whole mystical tradition
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5576
MAGIC: MAGIC IN GRECO-ROMAN ANTIQUITY
(Merkavah, Qabbalah), both of which were very open to
BIBLIOGRAPHY
magical beliefs and practices.
No complete collection of the vast remains of ancient magic exists,
but there are useful editions and translations, indices, and
CHRISTIAN MAGIC. For early Christianity, magic presented
surveys of literature. For new publications, see the annual
difficulties. On the one hand, Christians had inherited Juda-
bibliography in Marouzeau, L’annee philologique, section on
ism’s negative attitude toward magic (see Gal. 5:20, and the
“Magica.”
typical attitudes expressed in Acts 8:9–24, 13:6–12, 19:13–
Texts and Translations
19). On the other hand, the emphasis on miracles and sacra-
Betz, Hans Dieter, ed. The Greek Magical Papyri in Translation,
ments implied approval of some forms of magic. Jesus’ activi-
Including the Demotic Spells. 2 vols. Chicago, 1986.
ties as a miracle worker were soon attacked as being the work
Kropp, Angelicus M. Ausgewählte koptische Zaubertexte. 3 vols.
of a magician possessed by Beelzebub (Mk. 3:22–27 and par-
Brussels, 1930–1932. Volume 1 has the edition of Coptic
allels). Beginning with the presynoptic sources of the Gos-
texts; volume 2 has their German translation; volume 3 is in-
pels, New Testament apologetics was increasingly preoccu-
troductory.
pied with defending Jesus against classification with the
Preisendanz, Karl. Papyri Graecae Magicae: Die griechischen Zau-
magicians. Since his exorcisms and miracle work could not
berpapyri. 2 vols. Edited by Albert Henrichs. 2d ed. Stutt-
be ignored, distinctions were introduced to separate miracles
gart, 1973–1974. Edition of Greek texts, with German
translation, notes, and bibliography.
from magic. Similarly, miracles worked by Christian healers
had to be separated from those of non-Christians. This was
Studies
accomplished by treating the latter as acts done by magicians.
Abt, Adam. Die Apologie des Apuleius von Madaura und die antike
Zauberei. Giessen, 1908.
Problems arose also because of the close affinities be-
Aune, David E. “Magic in Early Christianity.” In Aufstieg und
tween the epiphanies of the crucified and resurrected Christ
Niedergang der römischen Welt, vol. 2.23.2 (Berlin and New
and the magical concept of the return as demons of persons
York, 1969), pp. 1507–1557. A comprehensive bibliograph-
who had died of violence (biaiothanatoi) (see especially Lk.
ical report.
24:36–43, Jn. 20:19–23). Moreover, magical presupposi-
Bonner, Campbell. Studies in Magical Amulets, Chiefly Graeco-
tions in the rituals of baptism and the Eucharist led to prac-
Egyptian. Ann Arbor, 1950.
tices approved by some and disapproved by others (see espe-
Burkert, Walter. Griechische Religion der archaischen und klassisc-
cially Paul, who tried to correct misuse in 1 Cor. 1:10–16,
hen Epoche. Stuttgart, 1977. Translated as Greek Religion
8:1–11:1, 11:17–34, and in Rom. 6:3–10). Paul first distin-
(Cambridge, Mass., 1985). Important and up-to-date com-
ments on various aspects of magic in the archaic and classical
guished between abuse (magical misconceptions) and proper
periods of Greek religion.
use (sacraments) of these rituals. The fundamental theologi-
Grant, Robert M. Miracle and Natural Law in Graeco-Roman and
cal problems stated or implied in these early texts continued
Early Christian Thought. Amsterdam, 1952.
to assert themselves throughout the history of Christianity
Herzig, Otto. Lukian als Quelle für die antike Zauberei. Würzburg,
and have led to ever new conceptualizations.
1940.
From the second century on, popular Christian religion
Hopfner, Theodor. Griechisch-ägyptischer Offenbarungszauber. 2
showed greater interest in amulets, relics, symbols, and signs
vols. Leipzig, 1921–1924. Still the best survey of the entire
(see the apocryphal gospels and Acts). The gnostics also made
range of material.
positive use of magic (see especially the Book of Jeu, the Pistis
Hopfner, Theodor. “Mageia.” In Real-Encyclopädie der classischen
Sophia, and the writings found at Nag Hammadi, Egypt).
Altertumswissenschaft, vol. 14 (Stuttgart, 1928),
The official church, through its bishops, synods, and the
pp. 301–393. Mostly a summary of the former work.
writings of the church fathers, was forced to combat and sup-
Luck, Georg. Arcana Mundi. Magic and the Occult in the Greek
press new Christian forms of magic and superstition. The ex-
and Roman Worlds. Baltimore and London, 1985. A useful
collection of sources in translation, with brief introductions
tant wealth of amulets, spells, relics, holy places, symbols,
and notes.
and images indicates that complete suppression was impossi-
Nilsson, Martin P. Geschichte der griechischen Religion. 3d ed. 2
ble. Still, Christian theology was able to contain and restrain
vols. Munich, 1967–1974. Has important sections on magic
the lower forms of magic by accepting some forms of chris-
at the various stages of development in Greek religion.
tianized magic while eliminating other, unwanted forms. Lit-
Scholem, Gershom. “Der Name Gottes und die Sprachtheorie der
urgy and sacramental theology developed special kinds of
Kabbala.” Eranos-Jahrbuch 39 (1970): 243–297.
magic thought to be compatible with the doctrines of the
Thee, Francis C. R. Julius Africanus and the Early Christian View
church. By the end of antiquity, the church had become the
of Magic. Tübingen, 1984. The volume contains the Kestoi
home of many forms of magic that coexisted in an uneasy
of Julius Africanus (c. 160–240 CE) in translation, together
and tenuous symbiosis. Some magic was banned, some was
with commentary, extensive introduction, and a survey of
tolerated, some was approved, but none achieved dom-
the early Christian views on magic.
ination.
Thorndike, Lynn. A History of Magic and Experimental Science,
vols. 1–2, The First Thirteen Centuries of Our Era. New York,
SEE ALSO Amulets and Talismans; Cursing; Incantation;
1923. Written from the perspective of the history of science;
Theurgy.
incomplete series of studies.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: MAGIC IN MEDIEVAL AND RENAISSANCE EUROPE
5577
Trachtenberg, Joshua. Jewish Magic and Superstition (1939). Re-
he still felt a need to respond to pagan critics of Christianity,
print, New York, 1982.
and one part of his argument was the link between paganism
Trumpf, Jürgen. “Fluchtafel und Rachepuppe.” Mitteilungen des
and magic. For Augustine, magic was taught by demons and
Deutschen Archäologischen Instituts, Athenische Abteilung, 73
worked through the power of demons. Magical plants and
(1958): 94–102.
stones might seem to have inherent power, but it is demons
Widengren, Geo. Religionsphänomenologie. Berlin, 1969. Refer-
who disclose this power. Augustine conceded that there are
ences on various aspects of magic can be found in the index,
objects in nature (such as the magnet) that do have inexplica-
s. v. v. Magie, Magier.
ble properties, but what he referred to specifically as magic
H
was for him a form of pagan idolatry.
ANS DIETER BETZ (1987)
From the seventh century into the twelfth, the theologi-
cal tradition was passed down through writers, including Isi-
dore of Seville (c. 560–636) and Hincmar of Rheims
MAGIC: MAGIC IN MEDIEVAL AND
(c. 806–882), who continued to draw on early Christian lit-
RENAISSANCE EUROPE
erature. This tradition’s concern was fourfold: (1) to trace the
Information about medieval and early modern notions of
origins of magic, seen as largely the invention of Zoroaster;
magic is derived mainly from two types of source: (1) theo-
(2) to categorize various types of magic, particularly forms
logical writings that describe and condemn magic, generally
of divination such as pyromancy (divination by fire), aero-
referring to it explicitly by the term magic, and (2) other
many (air), hydromancy (water), geomancy (earth), and nec-
works telling in greater or lesser detail how to perform partic-
romancy (consultation of spirits); (3) to expose the effects of
ular types of magical operation, which are usually not identi-
magic as largely illusory; and (4) to explain its real effects as
fied explicitly as magical. The word magic is mainly an ab-
caused by the aid of demons. Within this tradition, magi-
stract and analytical term used in the theological literature.
cians were so named because of the greatness of their evil
Practitioners more often described the purposes their opera-
acts—the noun magus (magician) is derived from the adjec-
tions served (e.g., healing, cursing, arousing love), without
tive magnus (great). They cause storms by disrupting the ele-
troubling to place these operations in an abstract category
ments, they transform natural objects, they cause disturbance
such as magic. In the fifteenth century this distinction broke
to people’s minds, and, by the power of incantations, they
down, and individuals who prescribed and practiced magic
can kill their victims.
began referring to themselves as magicians or workers of
magic. Apart from the theological works dealing with magic
John of Salisbury’s (1120–1180) Polycraticus stands
and the descriptions of concrete magical procedures, the
within this tradition. John divided magic into three primary
study of law codes and the records of prosecution also pro-
categories: illusions (praestigia), bewitchments (maleficia),
vide some insights.
and divination (mathematica). He took over from classical
and early medieval sources various subdivisions of divina-
Magical techniques mentioned in medieval and early
tion, depending on the means used for divining the future.
modern sources are largely identical with those found in
Among the many practitioners he catalogued are vultivoli,
many other cultures: manipulation of images to afflict anoth-
who use figures of wax or clay to bewitch people; imaginarii,
er person physically or emotionally, administration of po-
who use images to gain control over spirits; specularii, who
tions for these same ends, recitation of charms for healing
gaze into reflecting surfaces such as mirrors or basins and
or curses for harm, placing curative or apotropaic substances
foretell the future according to what they see. If these arts
on a client’s body, placing harmful substances in a victim’s
have any efficacy, it can only be through their reliance on de-
bed or under the threshold, gazing into reflective surfaces to
mons. John himself was exposed to the operations of the
divine the future or learn about hidden affairs, and conjuring
specularii when he was a boy, and he was sent to learn Latin
spirits and bidding them to provide aid.
from a priest who engaged in these practices and used his pu-
THE THEOLOGICAL TRADITION. Many early Christian writ-
pils as mediums.
ers condemned magical practices, which they associated with
Hugh of Saint Victor (d. 1142) in his Didascolicon gave
the pagan traditions of Greco-Roman society. The North Af-
a classification of the types of magic similar to John of Salis-
rican writer Tertullian (c. 200 CE) represented magic as a
bury’s categories. He argued that magic is alien both to phi-
kind of fraud taught by demons to impressionable women.
losophy and religion, that it is immoral and illegal, and that
Origen (c. 185–c. 254) discussed magic chiefly in his work
it is false and thus deceptive. True law, religion, and erudi-
against the pagan writer Celsus. He too represented magic
tion, he insisted, all repudiate it.
as an art taught by demons, but he emphasized the real effica-
cy of words, whether sacred or magical. The early Christian
Thomas Aquinas (c. 1225–1274) spoke of magic as
attacks on magic were transmitted to the medieval West pri-
used for purposes such as disclosing the future and finding
marily by The City of God and other writings of Augustine
hidden treasure, opening closed doors, making people invisi-
of Hippo (354–430). Although Augustine wrote after the
ble, causing inanimate bodies to move about and speak, and
Roman emperor Constantine (d. 337) and his successors had
summoning spirits. He believed that magicians make use of
given Christianity an official status as an established religion,
herbs and other natural objects, verbal formulas, 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
5578
MAGIC: MAGIC IN MEDIEVAL AND RENAISSANCE EUROPE
scribed figures and characters. They use rituals such as sacri-
cy. Medical adjurations are usually more explicit in their
fices and prostrations. With astrological calculation, they ob-
meaning: An adjuration is a type of charm addressed to the
serve the proper times for obtaining their effects. He also
disease itself, or to the disease agent (pictured as a demon,
described the notory art (ars notoria), which claims to acquire
a worm, an elf, or some other maleficent being), which is
knowledge through rituals of fasting and prayer, along with
commanded to depart. Adjurations and other medicinal
occult figures and formulas. However, the underlying cause
charms were widely recommended and used, sometimes by
of these effects is the working of demons. Still, Thomas rec-
physicians, throughout medieval Europe. The body parts of
ognized in his letter “On the Occult Works of Nature” that
animals and birds (e.g., the various organs of the vulture)
many wondrous effects are possible through manipulation of
were also sometimes catalogued according to their medical
occult forces within the natural order. But many practices
utility.
that might elsewhere have been categorized as magic he in-
cluded under the category of superstition, which he defined
Instructions for divination were various and ranged
as the inappropriate veneration of a proper object or the di-
from simple lists (e.g., of favorable or unfavorable days for
recting of veneration to an improper object.
various undertakings) to more complicated procedures for
telling the future. One particularly famous text, the Sortes
The position of Albert the Great (1193–1280) is more
Sangallenses (Saint Gall Oracles) is found in a manuscript
difficult to summarize. In his strictly theological writings he
from around the year 600. Individuals wanting to know
repeats traditional condemnations of magic, but his scientific
about medical prognoses, fortunes in love, the outcome of
works tend to portray magic in a more benign light. He rec-
judicial business, or other matters could consult these ora-
ognizes plants as having divine or magical effects, and he
cles, using dice to find the correct answers to their questions.
writes with apparent approbation about the efficacy of magi-
Astrology could furnish more sophisticated counsel about
cal stones and inscriptions. The Speculum astronomiae, plau-
one’s fortunes and was also popularized in simpler forms of
sibly attributed to Albert, is concerned mainly with distin-
lunar astrology—in particular, by giving almanac-like indica-
guishing between the valid prescriptions of astrological
tions of what one might expect for each day in the moon’s
magic (i.e., operations making use of inscribed astrological
phases.
symbols for exploiting the powers of heavenly bodies) and
Of the works on the wonders of nature, one of the more
the reprobate operations of necromancy (which appeal to de-
famous was the lapidary written by Marbode of Renne
monic powers). Also complex was the position of William
(1035–1123). Writing in literary Latin, Marbode recom-
of Auvergne (c. 1180–1249), who had studied and con-
mended using a sapphire to gain the favor of God and of
demned works of demonic necromancy but explicitly recog-
mortals, chalcedony to obtain victory in battle, selenite to
nized natural magic as a branch of science that might be rari-
reconcile quarreling lovers, and other gems for a wide range
fied (many of its operations required substances that might
of purposes—although it is difficult to know whether readers
be plentiful in India and other lands but were rare in Europe)
actually used these gems with the expectation of obtaining
but was not forbidden.
concrete results or merely read the compilation for the excite-
THE LITERATURE OF MAGICAL INSTRUCTIONS. Before the
ment of knowing about marvelous magical effects.
twelfth century, works telling how to make use of occult—or
magical, to the theologians—powers fell mainly into three
The literature of magical instructions was greatly ex-
categories: (1) works of medicinal magic that might combine
panded in the twelfth and thirteenth centuries, when interac-
Galenic conceptions of healing with the use of occult sub-
tion between Christians and Muslims (especially in Spain)
stances and formulas; (2) instructions for divination; and (3)
resulted in the transmission of a substantial mass of astrologi-
lists of the wondrous properties to be found in gems and
cal and magical learning to western Europe that had long
other natural objects.
been preserved in Arabic. Adelard of Bath (1075–1160) was
a particularly important Christian student of the Arabic oc-
Medicine could be classed as magical if it made use of
cult sciences and did much to make them available to Euro-
symbolic remedies or adjurations. The late Anglo-Saxon text
peans in the twelfth century. The most famous work of Ara-
Lacnunga recommended, for example, that a pregnant
bic astrological magic, translated into Spanish and Latin in
woman fearful of miscarrying should obtain milk from a cow
the thirteenth century at the behest of King Alfonso the Wise
that is of one color, pour it into running water, retrieve the
of Castile (1252–1284), was a compilation known in the
water and drink it, return from the stream by a route differ-
West as Picatrix. This book told in detail how to conjure the
ent from the one she took in approaching it, enter into a dif-
spirits associated with the planets, how to inscribe on metal
ferent house from the one she left, and throughout the proce-
the images of the heavenly bodies to accomplish one’s pur-
dure remain silent and take care not to look around. The
poses (including bodily harm to individuals and groups), and
symbolic meanings in this operation are not obvious, but it
how to use other magical procedures and objects. The book
is at least clear that by taking these measures the woman is
also gives instructions on how to use fumigations to attract
ensuring that she will bear a child and have milk for it to
spirits with the smoke of particular plants and other sub-
drink, and that, with the variations in her route, she is break-
stances and on how to manufacture a magical mirror, which
ing from a past experience of a presumably difficult pregnan-
must be fumigated with a mixture of effluvia 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
MAGIC: MAGIC IN MEDIEVAL AND RENAISSANCE EUROPE
5579
human body. More explicitly than most magical texts, Pi-
1574), at whose urging he translated the Hermetic Corpus
catrix recognizes magic as a noble science and the magician
into Latin. He was also well acquainted with the third-
as an exalted and honorable figure.
century Neoplatonist philosopher Plotinus (205–270), from
whom he took the notion of the universe as a great living
The astrological magic of Picatrix was at times referred
being whose members worked in sympathetic harmony one
to as necromancy, but in the later Middle Ages this term
with another; the fourth-century Neoplatonist Iamblichus,
more often referred to conjuring of demons. The term origi-
who had taught how to summon and make use of spirits by
nally meant summoning the spirits of the deceased, but in
means of magical procedures; the Picatrix, which he used as
late medieval Europe the terms necromantia (necromancy)
a source for some of his prescriptions; and other works of Ar-
and nigromantia (roughly, black magic) were fundamentally
abic astrological magic. His main interest was in using the
interchangeable. Works describing how to conjure demons
beneficent influence of heavenly bodies (particularly the Sun
were, not surprisingly, often prey to inquisitorial fires, but
and Jupiter) to enhance human life and health. This might
some have survived. They center mainly on verbal formulas
be done by fashioning astrological images with the symbols
commanding the demons to present themselves and to carry
of these celestial bodies, but in general Ficino was more fa-
out the will of the necromancer. The terms coniuro (I con-
vorably disposed to astrological “medicines” by which astral
jure), exorcizo (I exorcize), and impero (I command) meant
influences could be transmitted more effectively to humans:
the same thing: a conjuration or an exorcism was a command
Saffron and honey, for example, were good repositories of
addressed to a demon, whether it was being ordered to come
solar virtue. Ficino also made use of Orphic hymns for their
or to depart. The necromancer typically made reference to
beneficent effect. Anticipating criticism for his use of magic,
sacred names and sacred events as sources of magical power
he pointed out that the magi in Matthew’s gospel were hon-
over the demons; thus, the conjuration “I conjure you by the
orable models for imitation, that Jesus had exercised healing
passion and death of Christ” might be used to invoke a
arts, and that it was thus fitting for a priest and healer such
demon to appear and perform some service. Necromancers
as Ficino himself to use magical techniques to promote
often stood within circles, which served mainly as further
health and enhanced life. He insisted that he was advocating
means of magical power but also could be seen as protecting
only natural magic, not demonic magic, although he did see
the necromancer from the demons summoned. Practitioners
astral powers as coming from heavenly bodies that were asso-
of necromancy were expected to know Latin and basic litur-
ciated with attendant spirits, and he left himself open to the
gical formulas. They clearly were, for the most part, clerics.
suspicion that these spirits were demonic.
Writings on the conjuration of demons continued to circu-
late in the early modern period, when they became known
Ficino’s younger contemporary, Giovanni Pico della
as grimoires.
Mirandola (1463–1494), was also eclectic in his use of mate-
rial but, unlike Ficino, he ascribed special importance to the
Although the magic of Western Christendom from the
magical efficacy of the practical Qabbalah—in particular, the
twelfth century onward was heavily indebted to Arabic
power found in Hebrew words. In 1486 Pico proposed nine
sources, it drew also on Jewish tradition for inspiration. One
hundred theses for public debate at Rome—many of which
particularly interesting example is the notory art ascribed in
had to do with natural magic and Qabbalah. In the theses
the later Middle Ages to King Solomon. This was a method
and in his defense of them, he was concerned more with the
of prayers and meditations meant to instill command of the
theory of these arts than with concrete prescriptions for its
liberal arts and other knowledge. There was a long Jewish tra-
practice. He provoked a systematic refutation of his argu-
dition of gaining knowledge through magical contact with
ments (published 1489) by the Spaniard Pedro Garcia, who
angels, and the ars notoria built on this tradition.
refused to acknowledge that there was such an art as natural
THE MAGICIANS OF RENAISSANCE EUROPE. For the most
magic as distinct from the demonic sort.
part, the literature of magical instruction either was anony-
In northern Europe, the most comprehensive Renais-
mous or was pseudonymously ascribed (e.g., to Solomon, to
sance articulation of magic was that of Heinrich Cornelius
Aristotle, or to Albert the Great). Beginning in the later fif-
Agrippa (1486–1535), whose encyclopedic Three Books on
teenth century, it was far more common for notable figures
Occult Philosophy showed how natural substances, astral
in society to practice and to write about what they themselves
powers, mathematical figures, sacred names, and rituals
called magic. Their practices might be indebted to the Arabic
could be used to magical effect. Agrippa wrote his work in
tradition of the occult sciences, but two further sources that
1510 as a young man, and he later condemned all occult
commanded attention from the 1480s onward were the writ-
learning as vain. Yet he finally published his compendium
ings from antiquity ascribed to the mythical Hermes
in 1533, perhaps because he had renewed confidence in its
Trismegistus titled Hermetic Corpus and the aspect of Jewish
validity, but possibly (as some have suggested) in a cynical
mysticism known as practical Qabbalah.
quest of publicity. The incorporation of demonic magic only
The Italian humanist Marsilio Ficino (1433–1499), in
hinted at in Ficino is more explicit in Agrippa, who explains
his Three Books on Life (completed 1489), provided one of
how demons may be conjured and commanded, although he
the most important and influential syntheses of magical liter-
warns that the magician must do this with the aid of good
ature. Ficino was associated with Cosimo de’ Medici (1519–
spirits.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5580
MAGIC: MAGIC IN EASTERN EUROPE
The image of the Renaissance magician gave rise to the
specific texts and studies include Marsilio Ficino, Three Books
legend of Doctor Faust, who conjured and made a pact with
on Life, with introduction and notes by Carol V. Kaske and
the demon Mephistopheles, resigning his soul to Satan in re-
John R. Clark (Binghamton, N.Y., 1989), Giovanni Pico
turn for twenty-four years in which Mephistopheles would
della Mirandola, Syncretism in the West: Pico’s 900 Theses
be at his service. Loosely based on the report of a historical
(1486): The Evolution of Traditional, Religious, and Philo-
person, this legend was popularized in a German Faust Book
sophical Systems: Text, Translation, and Commentary, translat-
ed by S. A. Farmer (Tempe, Ariz., 1998), Henry Cornelius
published in 1587, which inspired Christopher Marlowe to
Agrippa, Three Books of Occult Philosophy, translated by
write his play, The Tragical History of Doctor Faustus. The as-
James Freake and edited by Donald Tyson (St. Paul, Minn.,
sumption behind the legend is that Renaissance magicians
1993), and Charles Garfield Nauert, Agrippa and the Crisis
were more like necromancers than they themselves claimed
of Renaissance Thought (Urbana, Ill., 1965).
to be.
RICHARD KIECKHEFER (2005)
Giordano Bruno (1548–1600) is sometimes viewed as
bringing Renaissance magic to its culmination, chiefly for his
use of the Hermetic corpus and Qabbalah. His work On
Magic, written late in his life, advocated the use of imagina-
MAGIC: MAGIC IN EASTERN EUROPE
tion as a way of gaining access to demonic power and dis-
Demonology, introduced by Christian religious thought in
cussed means for “binding” spirits. But this work was not
the fifteenth and sixteenth centuries, profoundly affected
published until 1891, and Bruno’s notoriety in his own time
western European thought with respect to its conception of
was based mostly on his cosmological and philosophical the-
magic. The transformation of the witch into an expression
ories. Still, On Magic is important in the history of Renais-
of the demon who seeks to ensure his power on earth and
sance magic for its frank acknowledgment of the demonic
prepare for his own advent obscured popular thinking,
element in magic. In Bruno, the complex relationship
which possessed its own type of representations and its own
between natural and demonic magic that runs through Re-
system of values inherited from a rather deep-rooted pagan-
naissance tradition from Ficino onward finds a striking reso-
ism. In eastern Europe, where this intervention did not occur
lution.
in the same way, the phenomenon of magic continued to
evolve in its primary form, as a unified practice anchored in
BIBLIOGRAPHY
a popular culture of which it represented only one facet.
The most general and comprehensive study of the history of magic
is Lynn Thorndike, The History of Magic and Experimental
For so long isolated from the historical and sociological
Science (New York, 1923–1958). For medieval magic in par-
upheavals that affected western Europe, the peoples of east-
ticular, see Edward Peters, The Magician, the Witch, and the
ern Europe still hold to a different worldview and use differ-
Law (Philadelphia, 1978), Richard Kieckhefer, Magic in the
ent means to account for the human condition. As Mircea
Middle Ages (Cambridge, U.K., 1989), Valerie I. J. Flint,
Eliade states in his De Zalmoxis à Gengis-Khan (1970): “As
The Rise of Magic in Early Medieval Europe (Princeton, N.J.,
in all other provinces of the Roman Empire, autochthonous
1991), and Bengt Ankarloo and Stuart Clark, eds., Witch-
religious realities outlived, more or less transformed, both the
craft and Magic in Europe, vol. 3, The Middle Ages (Philadel-
romanizing and the christianizing processes. There is enough
phia, 2002).
proof of a pagan heritage” (p. 73). The common inherited
Numerous texts of magical instruction from medieval Europe
substratum preserved by the Romanian and Balkan popula-
have been edited, translated, and studied. For example, see
tions is considered by Eliade as “the principal unifying ele-
Godfrid Storms, ed., Anglo-Saxon Magic (The Hague, 1948),
ment in the entire Balkan peninsula” (ibid., p. 183). As early
Karen Louise Jolly, Popular Religion in Late Saxon England:
as the 1930s, Pierre Bogatyrev, in the introduction to his
Elf Charms in Context (Chapel Hill, N.C., 1996), Marbode
Actes magiques, rites et croyances en Russie subcarpathique
of Renne, De lapidibus, edited by John M. Riddle and trans-
(1929), noted a renaissance of paganism among ethnic
lated by C. W. King (Wiesbaden, 1977), Charles Burnett,
Magic and Divination in the Middle Ages: Texts and Tech-
groups practicing orthodox religions, even though he insists
niques in the Islamic and Christian Worlds (Aldershot, U.K.,
that this renaissance evidently took place “under the aegis of
1996), and David Pingree, ed., Picatrix: The Latin Version
the Revolution and Soviet government.” He adds: “Ortho-
of the Gha¯yat Al-H:ak¯ım (London, 1986). For a discussion of
dox religion and witchcraft, the rival sisters, . . . form an un-
necromancy and related forms of ritual magic, see Richard
expected ensemble. All of village Russia is divided into witch-
Kieckhefer, Forbidden Rites: A Necromancer’s Manual of the
craft parishes that do not yield to ecclesiastical parishes.”
Fifteenth Century (Stroud, U.K., 1997; reprint, University
Park, Penn., 1998), and Claire Fanger, ed., Conjuring Spirits:
Given the importance of the pagan heritage (not to
Texts and Traditions of Medieval Ritual Magic (University
mention the circulation of motifs, sociocultural exchanges,
Park, Pa., 1998).
and so on), it is not surprising that a rather large body of
For general studies of Renaissance magic, see Daniel P. Walker,
magical practices is shared by the majority of the traditional
Spiritual and Demonic Magic: From Ficino to Campanella
societies of southeastern Europe. In fact, there is no domain
(University Park, Pa., 2000), and Frances A. Yates, Giordano
in which magic is not practiced; magic crosscuts all spheres
Bruno and the Hermetic Tradition (London, 1964). More
in which human beings move. But recourse to magic be-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: MAGIC IN EASTERN EUROPE
5581
comes especially obligatory for the different phases of the life
should not intersect. An extended comparative study, for ex-
cycle; in this way it ensures its principal function, that of in-
ample, could be undertaken on the magical precautions
tegrating individuals into their own collectivity and their
taken so that the dead remain dead and do not transform
own development. Throughout this region, for example, the
themselves into vampires, who are today still dreaded, feared,
Fates, those fabulous beings whom the Bulgars call “women
and fought. Represented as wild or monstrous carnivorous
or fairies of fate” and whom the Greeks name simply Morai
animals, these eternally unsatisfied beings are doomed to seek
(“fates”), participate in the “programming” of an entire life,
out earthly pleasures. They refuse to be relegated to the be-
from birth to death, including marriage. They are the ones
yond and, instead, assume human form in order to finish on
to whom a woman addresses herself (even today, in a hospital
earth what they could not realize in life. In order to make
setting) on the third day after childbirth:
sure the dead do not become vampires, certain preventive
measures can be undertaken. One can, for example, deposit
You, the Saints, You the Good Ones, You the Fates Pre-
nine stones, nine marble chips, and nine millet grains under
destine this child, This newborn. Come as sweet as
the person’s head and utter the following incantation:
honey, Come as smooth as water, And as good as bread,
As gay as wine, As limpid as water, And give him intelli-
Your mouth, I petrify. Your lips, I marbleize. Your
gence and wisdom. To this child newborn, Give him
teeth, to millet I transform. So that harm shall you
health and good fortune in life. May he be protected by
never wreak.
God.
Numerous magical practices (echoing religious rites) are also
In Romania, especially in the region known as Little Wala-
associated with the cyclical succession of the seasons and with
chia, the Fates intervene in the principal magical rites dealing
the household. Incantations surrounding the home usually
with marriage and love through the intermediary of their
seek to expel malevolent forces and bring good luck:
plant, the mandrake. When, for example, a mandrake is un-
earthed during rites designed to determine a young woman’s
Just as the waters melt in March, Just as they are trans-
mate, the Fates are addressed in the same terms as those used
ported by the torrent And just as they clean and carry
to ask about a child’s destiny: “You, the Saints, / You the
All the rust, All the trash, May my home and all those
who live in it also be Cleansed Of all malfeasance, all
Good Ones, / You the Pure, / I give you honey, wine, bread,
bad luck, All illness, all ill will That may be in its walls.
and salt. / Let me know the destiny of [so-and-so].” The
Fates are also invoked through their plant in incantations
These incantations and the rites they accompany are essen-
that accompany magical rites aiming to reunite separated
tial, for they situate man in a context of rituals that integrate
couples:
him with nature and the order of the cosmos. In fact, it is
in this domain that, from Romania to Bulgaria to Russia to
You mandrake, You the Benefactress, Herb of the
Greece and Albania, the magical rites most resemble each
Saints, Know her lot. And if her husband had been des-
other in both form and content.
tined to marry, If this union be his fate, Bring him back
And reunite them, Keep them bound forever. . . .
Magical practices are also directed at administrative and
Give them a second chance. . . . If God had wanted
legal authorities. For villagers the power of persuasion is the
them to separate, May they separate. But if not, Bring
best weapon against these authorities with whom they are
them together, you, Benefactress, Herb of the saints.
usually involved in a “battle of words.” Silencing the authori-
Unite them a second time. Enliven her home. . . .
ties is seen as the ultimate form of persuasion, and many in-
At times of death, the Fates through their plant are once
cantations thus request that they be silenced just like the
again asked to intervene in a sort of ritual magic that is expe-
dead:
rienced and felt as a form of euthanasia. After the mandrake
Just as the dead have now grown cold, May all members
is unearthed “in order to summon death,” an act performed
of the tribunal grow as cold. May no one be able to pro-
in complete silence and sadness; it is boiled and the ill person
claim my guilt. May they stop speaking, May they lose
is bathed with the decoction; at this time the Fates are in-
their voice Just as the dead have lost theirs. The arms
voked and asked to declare the lot they have selected for the
of the dead are crossed over their chest. May the case
sufferer: death or life. If it is death (as is usually the case),
made against me grow as cold as they. May it go away.
they are asked to palliate the victim’s suffering: “May his fate
In many regions of eastern Europe one could say that folk
be decided. / If it be death may it come quickly. / May he
culture was not profoundly modified by the more or less im-
not suffer any longer.” This type of magic ritual also appears
portant changes that occurred in modes of production. It is,
in the Balkans, at least among the Bulgars, as Christo Vaka-
however, not easy to speak of magic and witchcraft as it is
relski (1969) demonstrates.
currently practiced and experienced in these countries, be-
Many other magical practices are shared by these tradi-
cause both official discourse and research data relegate these
tional societies. Among them, the most important are the
practices to an obscure past or consider them forms of charla-
rites aiming to vitiate the contamination associated with
tanism. A series of field trips conducted in Romania in recent
childbirth and those aiming to avoid the contamination of
years, however, confirms that folk beliefs remain very much
death—all intended to ensure the separation of worlds that
alive and that recourse to magical practices in frequent, espe-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5582
MAGIC: MAGIC IN EASTERN EUROPE
cially when it concerns the health of children, the prosperity
the rival to wander to the ends of the earth; the mandrake,
of the home, the productivity of animals, and so on. In fact,
which can make people go mad; and an insect or a frog (seen
one does not have recourse to magic merely on an occasional
as the mistress’s substitute) captured under special conditions
basis; it is the imaginary fabric into which all individuals are
and made to suffer the worst treatments.
enveloped. There are few mothers, for example, who do not
Specific procedures accompany the use of any of these
know one or another incantation to neutralize the effects of
means. For example, while piercing a symbol representing
the evil eye (belief in the evil eye is found throughout the
her rival with the charmed knife, the woman will utter the
Mediterranean Basin and elsewhere). The following Roma-
following incantation:
nian example is expressed in extremely violent terms:
You, charmed knife, Go into her body. Beat her, Crush
May he burst, the envious one. Evil eye he cast. May
her, So that her blood spouts forth. If she is alive, pierce
he explode. If a virgin spellbinds him, May her braids
her heart. If she is dead, seek her out in the Beyond.
fall off. If his wife spellbinds him, May her milk dry up,
May her breasts wither, May her child die of hunger.
While thinking of her rival a woman may prick an insect
If a youth spellbinds him, May he burst completely.
with a needle or a knife and utter:
Many practices and incantations form part of any individu-
May the one who is breaking my home, The one who
al’s basic knowledge, but one seeks recourse to magic only
does not let me live with my man, The one who gives
if one has the gift, the power, the desire, and the daring to
me no peace, May that one die and disappear.
do so. The specialists commonly known as witches possess
In the second form—identified as the “magic of filth”—the
the gift and the daring to practice a distinct form of magic.
wife will simply attempt to dissolve the soiled relationship
A witch is frequently described as someone who uses super-
in which her husband is involved in order to reestablish her
natural forces to do evil (although most witches will say they
original tie with him. She will use decoctions made from
do what they do for the good of humankind). Witches were
urine, semen, menstrual blood, fecal matter, sweat, or other
and still are enormously feared because they are said to “give
secretions of intimate life (which serve as substitutes for the
life or death.” Consulting them always means incurring some
people concerned). These decoctions may be clandestinely
form of danger, especially since they are thought to collabo-
fed to the husband. If he eats his own secretions (an act of
rate with the Devil (who appears in his diverse forms during
autocannibalism), he is said to devour himself, thus reinte-
the séance). Access to witches is also difficult and trouble-
grating the forces and energies he seeks to dispense elsewhere.
some: they live often in faraway places (necessitating a tire-
If he eats the substitutes of his wife, he is said to become im-
some journey, waiting one’s turn among the others who have
pregnated by her, filled with her person.
come for consultations, sleeping in a strange place); one can
Incantations accompany the administration of these de-
only see them on specific days and at specific times (at night,
coctions; if, for example, the wife uses menstrual blood, she
for example); one must be recommended to them by some-
utters the following words (similar to those used in practices
one in whom the witch has confidence. Thus access to spe-
on certain Greek islands today):
cialized magic could be said to presuppose a kind of punitive
expiatory path.
Just as the menses are cyclical, Have their hour and
time, So, to each of my words May he likewise return.
People have recourse to witchcraft especially in cases of
May he return to my body, May he return to my de-
serious disequilibrium or when a significant disturbance has
sire. . . . May my husband cling to me, May he ex-
disrupted the natural order of things. Witches are especially
plode, may he burst, May he not do without me.
sought out, for example, in cases in which a marriage is en-
The wife may also manipulate these secretions in other ways.
dangered by the intervention of a third party (usually the
She may, for example, take the earth on which her rival has
husband’s mistress, a rival who wishes to substitute herself
trod and place it on her husband’s feces, uttering an incanta-
for his legitimate wife). Indeed, marital relations and extra-
tion all the while.
marital ties are a source of great conflict and violence, and
the greater part of specialized forms of magic is played out
One could speak at length about these and other forms
in this arena.
of magic still practiced in Romania and other east European
countries. Indeed, despite all the sociocultural modifications
To control her husband, who should not waste his ener-
and modernizing trends that have taken place in this part of
gies elsewhere, a woman has recourse to two forms of special-
the world, magic has adapted itself to its new environment.
ized magic, both of which aim to reunite the legitimate cou-
It is not a survival of a bygone era but an integral aspect of
ple. In the first form the wife attempts to kill the intruder
popular culture; it provides people with the power and
(the “rival,” the “stranger”) or to eliminate her from the pro-
know-how to understand their world and their position
tected sphere. In the process, the two women enter into a
within it. Magic is still the arena through which different
kind of magical battle using a number of possible weapons:
communities find a common language, a discourse through
a charmed knife that must symbolically reach the other; dolls
which they recognize themselves.
made from scraps of the man’s or the mistress’s clothing: a
yellow plant (dosnica), described as “terrifying,” which causes
SEE ALSO Incantation.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: MAGIC IN ISLAM
5583
BIBLIOGRAPHY
black magic ( Eilm al-sih:r), theurgy ( Eilm al-khawa¯s:s:
Argenti, Philip P., and H. J. Rose. The Folk-Lore of Chios. Cam-
wa-al-t:ala¯sim), and white or natural magic ( Eilm al-h:iyal wa-
bridge, 1949.
al-sha Dwadhah). The first section will deal with divinatory
Bïrlea, Ovidiu. “Descïntecul.” In his Folclorul românesc, vol. 2.
magic, exorcism of demons, spells and the summoning of
Bucharest, 1983.
spirits into bodily forms. The second section will examine
Bïrlea, Ovidiu, and Ion Muslea. Tipologia folclorului: Din raspun-
the properties of divine names, numbers and certain spells,
surile la chestionarele lui B. P. Hasdeu. Bucharest, 1970.
sympathetic magic or sorcery, amulets, talismans and po-
Bogatyrev, Pierre. Actes magiques, rites et croyances en Russie subcar-
tions, charms, and the properties of medicinal plants. The
pathique. Paris, 1929.
third section will consider the mutual connections between
Eliade, Mircea. De Zalmoxis à Gengis-Khan. Paris, 1970. Translat-
effective and efficient forces, the ability to vanish instantly
ed as Zalmoxis, the Vanishing God: Comparative Studies in the
from sight, and prestidigitation.
Religions and Folklore of Dacia and Eastern Europe (Chicago,
1972).
BLACK MAGIC. From the many QurDanic verses relating to
magic (sixty-six, of which only three were revealed in Medi-
Eliade, Mircea. Occultism, Witchcraft, and Cultural Fashions: Es-
na), one might conclude that the phenomenon of sih:r occurs
says in Comparative Religions. Chicago, 1976.
in the revelation only in the form of a condemnation of
Gorovei, Arthur. Descïntecele românilor. Bucharest, 1931.
pagan practices. In certain verses, however, magic appears as
Kabbadias, Georgios B. Pasteurs-Nomades méditéranéens: Les Sara-
a fragment of a celestial knowledge that was given to humans
catsans de Grèce. Paris, 1965.
by fallen angels such as Ha¯ru¯t and Ma¯ru¯t (su¯rah 2:102).
Krauss, Friedrich S. Slavische Volksforschungen. Leipzig, 1908.
These angels revealed to humans secrets “that they ought not
Lorint, F. E., and Jean Bernabé. La sorcellerie paysanne. Brussels,
to have known” (Apocalypse of Enoch 64:10). Thus, “God de-
1977.
cided, in his justice, that all the inhabitants of the world
Megas, George A. Greek Calendar Customs. 2d ed. Athens, 1963.
would die [by flood], for they knew all the secrets of the an-
Stahl, Paul-Henri. “L’organisation magique du territoire villageois
gels, and possessed the hateful power of the demons, the
roumain.” L’homme 13 (1973): 150–162.
power of magic” (ibid., 64:6). Another group of verses, con-
Vakarelski, Christo. Bulgarische Volkskunde. Berlin, 1969.
demning this almost instinctive quest by humans to pene-
New Sources
trate the will of God, connects magic with divination.
Aleksieva, Ekaterina, and Dinna Ancheva. Ancient Magic in Bul-
Divinatory magic. The boundaries between magic and
garian Folklore: Perls of Syncretic Folk Art, Village of Bistritsa,
divination remain blurred. In their classification of the sci-
Bulgaria. Sofia, Bulgaria, 1991.
ences, the Muslim encyclopedists, such as al-Afka¯n¯ı,
Brzozowska-Krajka, Anna. Polish Traditional Folklore: The Magic
Ta¯shköprüzade, and H:a¯jj¯ı Khal¯ıfah, call divination a branch
of Time. Translated by Wieslaw Krajka. East European
of magic. According to Edmond Doutté, the transition from
Monographs, no. 498. Boulder; New York, 1998.
magic to mantic takes place via a phenomenon of “objectiv-
Petzoldt, Ruth, and Paul Neubauer, eds. Demons, Mediators be-
ization of the desire” (Doutté, 1909, p. 352). Whether in-
tween this World and the Other: Essays on Demonic Beings from
ductive or intuitive, divination partakes of magic in certain
the Middle Ages to the Present. Frankfurt am Main; New
York, 1998.
of its techniques. One of the sources of knowledge common
to the magician and the seer is demonic inspiration. Further-
Ryan, William Francis. The Bathhouse at Midnight: An Historical
Survey of Magic and Divination in Russia. University Park,
more, the Arab seer (ka¯hin), and especially the female seer,
Pa., 1999.
practiced magic and divination concurrently (see my book
Voiculescu, Vasile. Tales of Fantasy and Magic. Translated from
La divination arabe, Leiden, 1966, pp. 92ff.), so that in Is-
the Romanian by Ana Cartianu. Bucharest, 1986.
lamic magical literature, the two run parallel without min-
gling. Both make use of supernatural means to predict natu-
Yovino-Young, Marjorie. Pagan Ritual and Myth in Russian Magic
Tales: A Study of Patterns. Lewiston, N.Y., 1993.
ral elements; both share a practical and nontheoretical
character. One searches in vain for a theoretical definition
IONNA ANDREESCO-MIEREANU (1987)
of magic in the QurDa¯n or the h:ad¯ıth (prophetic traditions).
Translated from French by Brunhild Biebuyck
Revised Bibliography
Exorcism and spells. If divinatory magic has recourse
to secrets revealed by fallen angels, the magic of incantations
and spells is meant to compel the jinn and the demons to
MAGIC: MAGIC IN ISLAM
accomplish a desired end, by pronouncing the formula
Magic in Islam forms part of what are called Eulu¯m al-ghayb,
“’Azamtu Ealaykum” (“I command you”). The QurDa¯n and
“the occult sciences,” which include divination, astrology,
the h:ad¯ıth say nothing of this, but theological consideration
oneiromancy, and all fields of learning relating to prophecy.
led to the following conclusion, formulated by H:a¯jj¯ı
Magic (Arab., sih:r) is an important branch, like divination
Khal¯ıfah:
and astrology, with which some forms of magic overlap.
This thing is possible and lawful, according to reason
Following the very rich literature of magic in Islam, I
and the law; whoever denies it is not highly regarded,
shall here treat the various categories of sih:r in three sections:
because he winds up failing to acknowledge the omnip-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5584
MAGIC: MAGIC IN ISLAM
otence of God: to subjugate the spirits, to humble them
is supported in his activity by the spirit of God. The
before him, and to make them subordinate to men, is
sorcerer, on the other hand, does his work by himself
one of the miracles of [God’s] creation. (H:a¯jj¯ı
and with the help of his own psychic power, and, under
Khal¯ıfah, ed. Flügel, 1955–1958, vol. 4, pp. 205–207)
certain conditions, with the support of devils. The dif-
ference between the two concerns the idea, reality, and
Two kinds of conjuring, however, may be distinguished.
essence of the matter. (Ibn Khaldu¯n, op. cit.)
One variety consists in directing the mind toward an object
other than God, and thus being unfaithful to him. When this
Ibn Khaldu¯n himself locates the distinction in external
unfaithfulness appears as one of the elements making up the
criteria, which he defines as follows;
magical act through one of the means used to realize it, it
Miracles are found [to be wrought] by good persons for
becomes forbidden magic. In this case, the magician acts in
good purposes and by souls that are entirely devoted to
a manner that is wicked and harmful to others, and, indeed,
good deeds. Moreover, [they include] the ‘advance chal-
a controversy arose among medieval jurists concerning the
lenge’ [tah:add¯ı] of the claim to prophecy. Sorcery, on
question of knowing “whether they must be killed because
the other hand, is found [practiced] only by evil persons
of the unbelief which is antecedent to the practice [of sor-
and as a rule is used for evil actions, such as causing dis-
cery], or because of their corrupting activity and the resulting
cord between husband and wife, doing harm to ene-
mies, and similar things. And it is found [practiced] by
corruption of created beings” (Ibn Khaldu¯n, trans. Rosen-
souls that are entirely devoted to evil deeds. (ibid.)
thal, 1967, vol. 3, p. 159.).
He adds that “this is also the view of the metaphysicians,”
On the other hand, the conjuring of spirits is permissi-
and he concludes that “among the Sufis some who are fa-
ble when it is performed “with perfect piety and the com-
vored by acts of divine grace are also able to exercise an influ-
plete absence of all unlawfulness, in solitude and isolation
ence upon worldly conditions. This, however, is not counted
from the world and in surrender to God” (H:a¯jj¯ı Khal¯ıfah,
as a kind of sorcery. It is effected with divine support” (ibid.).
op. cit., pp. 205–207). This interpretation is basically consis-
tent with the demonological conception of Islam, which con-
One should point out, finally, that wishing does not
siders the jinn servants of God, somewhat in the manner of
make a magician; indeed, to be a magician presupposes a dis-
humans and angels.
position and a preparation not required of the worker of mir-
acles. “This art,” the Pseudo-Majr¯ıt:¯ı tells us, “can be prac-
The writers differ on how this power derived from God
ticed and applied only by one who has [the power of ] it in
is applied. Fakhr al-D¯ın al-Ra¯z¯ı sums up the opinion of the
his nature” (al-Majr¯ıt:¯ı, ed. Ritter, 1933, p. 187), and Ibn
theologians thus:
Khaldu¯n says that the philosophers “think that a sorcerer
When the conditions are brought together and the in-
does not acquire his magical ability but has, by nature, the
cantations pronounced, God makes the latter like a
particular disposition needed for exercising that type of influ-
mighty devastating fire, encircling the demons and the
ence” (op cit., p. 167). This disposition is called al-tiba E al-
jinn, until the [four] corners of the world close in
tamm, “the perfect nature”; the person who possesses it at-
around them, and there is no place left for them to hide,
tains “knowledge of the secrets of creation, of natural causes,
nor any other choice than to come out and resign them-
and of the mode of being of things” (al-Majr¯ıt:¯ı, op. cit.,
selves to do as they are commanded. What is more, if
p. 187; cf. Fahd, 1966, p. 192, n. 29). Pseudo-Majr¯ıt:¯ı’s quo-
the performer is skillful, being of good conduct and
tation from the so-called Book of Hermes the Sage defines this
praiseworthy morals, God will dispatch powerful,
perfect nature in these terms:
rough, and strong angels to the demons to inspire them
and lead them to obey and serve him. (quoted in H:a¯jj¯ı
The microcosm that is man, if he possesses the perfect
Khal¯ıfah, loc. cit.)
nature, has a soul like the solar disc, unmoving in the
heavens and illuminating every horizon with its rays. It
Summarizing the views of the Muslim theologians, H:a¯jj¯ı
is the same with the perfect nature whose ray is found
Khal¯ıfah adds: “The obedience of demons and jinn to hu-
in the soul; it flashes out, touches the translucent forces
mans is not something unimaginable, either from the stand-
of wisdom, and draws them to the soul that is its point
point of reason or from the standpoint of accepted practice.”
[of origin], just as the sun’s radiance attracts the forces
The best illustration of this conception of magical incanta-
of the universe and lifts them up into the atmosphere.
tion is given by certain exalted mystics, the North African
(al-Majr¯ıt:¯ı, op. cit., pp. 193–194)
marabouts, or t:a¯libs, who transform the old pagan magic and
The progressive assimilation of the magician to the
subordinate it to the omnipotence of the one God. How, in
forces that he conjures, evokes, or invokes contributes to
this case, can obtaining a miracle by divine favor be distin-
the effectiveness of his work and the success of his endeavor.
guished from the effects of magic?
The spiritual beings (ru¯h:an¯ıyah) then appear to him as if in
For the philosophers, whose views are summed up by
person, speaking to him and teaching him all things.
Ibn Khaldu¯n,
Evocation of spirits. In conjuring and incantation, the
The difference between miracles and magic is this: a
magician relies on the service of jinn and demons to accom-
miracle is a divine power that arouses in the soul [the
plish his ends; in evocation, he compels the spirits of the
ability] to exercise influence. The [worker of miracles]
dead, the demons, and the planets to carry out his wishes.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: MAGIC IN ISLAM
5585
Necromancy, which really belongs with divination, is
THEURGY. Other techniques aimed at tapping the planetary
steeped in black magic. Like the summoning of demons, it
and stellar virtues lie on the borders between magic and the-
generally involves two phases: a material phase, consisting of
urgy. The distinction between the two, according to Ibn
the preparation of a mixture of various products belonging
Khaldu¯n, lies in the fact that
to a special pharmacopoeia and fumigations of every kind,
the sorcerer does not need any aid, while those who
plus an intellectual phase, consisting of the formulation of
work with talismans seek the aid of the spiritualities of
a prayer naming all the qualities and attributes of the spirit
the stars, the secrets of numbers, the particular qualities
invoked and stating the wishes to be realized.
of existing things, and the positions of the sphere that
exercise an influence upon the world of the elements,
The evocation of the spirits of the planets is based on
as the astrologers maintain. The philosophers, there-
the knowledge of the qualities and properties of each of
fore, say that sorcery is a union of spirit with spirit,
them: its color (red-gray for Saturn, white-gray for Jupiter,
while the talisman is a union of spirit with body. (Ibn
the yellow-green-red of red-gold for Mars, red-gold for
Khaldu¯n, op. cit., p. 166)
Venus, a mixture of all colors for Mercury, and green-white
“As they understand it,” Ibn Khaldu¯n continues, “that
for the Moon), its odor, and its flavor (for details, see
means that the high celestial natures are tied together with
al-Majr¯ıt:¯ı, op. cit., pp. 140, 150–156). To evoke the spirit
the low [terrestrial] natures, the high natures being the spiri-
of a planet, one must be dressed in its color and perfumed
tualities of the stars. Those who work with [talismans], there-
with its scent; further, by means of ingestion, one must as-
fore, as a rule, seek the aid of astrology” (ibid., p. 167).
sume its essence and flavor. Having done so, one must watch
Such is the theory, but in practice it is rare to find men-
for the moment when the planet reaches the point corre-
tion in the texts of a magical act carried out without recourse
sponding to it in the zodiac, on a direct line that does not
to a material support. While the talismanic art assumes a per-
cross the line of another planet of a different nature. When
fect technique, grounded in astronomical, astrological, and
this is so, the line from the planet to earth will be straight
other data, this is not required for the practice of magic,
and uninterrupted.
which is performed with the help of prayers, evocations, and
Next, from metals attributed to the planet, one must
attempts to unite spirits, demons, and stars by magical
fashion a cross, hollow from top to bottom and with a hole
means.
at the top, resting on two feet. This cross is to be mounted
The talisman. According to H:a¯jj¯ı Khal¯ıfah, the art of
on the image of whatever it is one plans to ask of the spirit
talismanry is intended
invoked: that of a lion, for example, or a serpent, in case one
to combine the active celestial forces with the passive
desires to go to war or to overcome an enemy, that of a bird
earthly forces at moments favorable to the desired ac-
if one wishes to escape danger, of a man seated on a throne
tion and influence, with the help of vapors [able] to
if one aspires to fame, power, or respect, and so on. Likewise,
strengthen and attract the spirit of the talisman, with
to gain control of someone, one carves that person’s likeness
the intent of producing unusual manifestations in the
from a stone characteristic of the planet that presided over
world of generation and decay. In comparison with
his birth, at the proper time and in the position described
magic, this science is more accessible, for both its prin-
above. This image then serves as a base for the cross. The
ciples and its causes are known. Its usefulness is obvi-
choice of a cross has to do with the fact that every body takes
ous, but mastery comes only after a great deal of effort.
this shape; thus it serves to establish a connection between
(H:a¯jj¯ı Khal¯ıfah, op. cit., pp. 165ff.)
the higher spiritual entity and an image that resembles it. An
In fact, skill in talismanry can be acquired only by one who
incense burner made of the same metals as the cross is also
understands its principles, which spring from the branches
used; it must have only one opening at the top of the cover,
of knowledge making up natural philosophy, in particular
for the smoke to escape.
mathematics, physics, and metaphysics.
To summon a celestial spirit, a proper location must be
A great many elements come into play in the creation
selected, completely open to the sky. The ground should be
of a talisman. In addition to ease and efficiency, sympathy
strewn with plants of the same properties as the planet whose
and antipathy, time and place, there is relativity, a basic prin-
strength is to be attracted, on the principle that like attracts
ciple of the talismanic art, the relationship between the plan-
like; there must be nothing else on the ground or in the area.
et and the object of the talisman as well as the similarities
Incense of the same essence as the planet being evoked must
and parallels among its various components. To be effective,
be burned so that the fumes, escaping from the single open-
these connections should be located on the straight line
ing in the burner, will pass through the hollow cross from
crossing the talisman’s field of influence.
bottom to top. All this must be done at a propitious time.
Time plays a fundamental role in talismanry. Indeed,
If all these conditions are met, the upper world will be in har-
the proper moment is a condition sine qua non for the success
mony with the lower and thus the request will be received
of the undertaking. In order to seize it, one must observe the
favorably. (See al-Majr¯ıt:¯ı, op. cit., pp. 182–186; for a
planet until it arrives at its operative position, the most favor-
French translation, see Fahd, 1966, pp. 170–171.)
able point in its influence, its conjunction with the other
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5586
MAGIC: MAGIC IN ISLAM
planets and its position with respect to them, the exact in-
kingdoms, is marked by its Hellenistic origins and by the rich
stant when the talisman must be set in place, and so forth.
syncretism from which it emanates. Popular magic in Islam
Position plays an equally important part, in particular the
has preserved this spirit, while opening it to new influences
observer’s vantage point, the spot where the talisman is made
in the various Islamized countries, hence the existence
and set up, and the place of origin of the materials used to
of magical practices peculiar to each of the major Muslim
fabricate it. Numbers, as the measure of time and moment,
regions.
are, like speech, necessary for the expression of quantity.
There are innumerable survivals of ancient theurgy in
Quality, meanwhile, is equivalent in talismanry to cau-
Muslim tradition, where many instances are ascribed to the
sality. The object on which the talisman acts must bear a per-
Prophet himself, and in the abundant magical literature that
fect resemblance to the quality transferred to it, so that its
spread out throughout the Muslim world. A saying attribut-
sphere of activity can spread. This is the basis of the connec-
ed to the Prophet reflects an important principle of ancient
tion between the higher and lower natures. Quality here is
magic, namely the magical power of the spoken word:
none other than inherent nature, the source of causality. Its
“There is,” he is supposed to have said, “a kind of utterance
role is therefore essential, not only in the discovery of the
that is none other than magic” (quoted in al-Majr¯ıt:¯ı, op. cit.,
limited properties and influences of the planets but also in
p. 9). By virtue of this principle, onomatomancy became
the diffusion of these same properties and influences. This
widespread in Muslim lands, and the ninety-nine “most
leads to an increase in the quality of the material of which
beautiful names” of God, like the most ancient su¯rahs of the
the talisman is made, by causing equivalent qualities to act
QurDa¯n, played a very great role in spells, amulets, and po-
upon it (al-Majr¯ıt:¯ı, op. cit., pp. 99–100).
tions. Muslim magic was based in large part on the knowl-
The properties. In the words of Paul Kraus, the proper-
edge of the letters that made up the supreme name of God.
ties of beings are
At the base of these speculations, we find the theory asserting
the virtues proper to minerals, plants, and animals, their
that the letters of the alphabet, being at the root of creation,
sympathies and antipathies, as well as the use of these
represent the “materialization” of the divine word.
virtues in the various arts and in medicine. The miracu-
However, according to Ibn Khaldu¯n, there is
lous occupies an important place here, and affinities
with magic are undeniable. Men, animals, and plants
a real difference between persons who practice talisman-
are no longer considered objects of reasoned inquiry,
ry and those who work with the secret virtues of names,
but are endowed with occult powers, able to heal any
regarding the manner in which the soul is made to act
malady and to procure happiness and miraculous power
on living beings). . . . This soul has inherently the
of man. (Kraus, 1942–1943, vol. 2, p. 61)
ability to encompass nature and control it, but its effect,
Among the physical properties, those of stones hold pride of
among those who operate by means of talismans, is lim-
place in talismanic practice, and knowledge of them is one
ited to drawing down from above the spirits of the
of the essential conditions for a talisman’s success, likewise
spheres and tying them to certain figures or numerical
for the properties of animal bodies, where magic comes to
supports. . . . It is otherwise with those who, to give
their souls the ability to act, make use of the secret
the aid of medicine; the latter are considered healthful even
properties of names; they must be illuminated by the
for incurable diseases. Plants possess many properties used
celestial light and sustained by divine help. (Ibn
in the rich magical repertoire of fumigations. A large number
Khaldun, op. cit., pp. 175ff.)
of these are found in the geographical compilation known
as Nabatean Agriculture, and Pseudo-Majr¯ıt:¯ı also collected
These latter avoid giving the name of magic to practices con-
many of them. Among the plants used in magical operations
sisting of the use of secret properties of letters, numbers, and
are laurel, marshmallow, mandrake, elm, pennyroyal, myrtle,
names. Nonetheless, in practice, “they fall under the idea of
olive, horseradish, darnel, rice, beans, chickpeas, watermel-
sorcery” (ibid., p. 181), although they tend to locate their ac-
on, and chicory.
tivities in the legitimate realm of natural magic.
The magical powers of plants are commonly connected
WHITE OR NATURAL MAGIC. The branch of magic known
with the natures of the planets. These natures impart their
in English as white magic, or natural magic, is denoted in
virtues to whatever responds to them. The fact that a plant
Arabic by two terms: one, simiya¯ D, of Greek origin (s¯emeia),
sprouts in one soil and not in another comes not from the
and the other, n¯ırinja¯t, Persian (neyrang). Both are applied
particular nature of the soil but from the marriage of a fixed
generally to illusionism, prestidigitation, fakery, and leger-
disposition with given conditions of air and water. “The
demain.
prime cause of this lies on the line crossing the horizon of
According to H:a¯jj¯ı Khal¯ıfah (op. cit., pp. 646–647),
this piece of ground and marking the zone of influence of
natural magic involves imaginary phenomena, occurring in
certain planets on certain countries; thus the existence of
space and having no correspondence to anything palpable.
plants and specific features in a given country to the exlusion
Their production and causes remain a secret known only to
of others” (al-Majr¯ıt:¯ı, op. cit., pp. 385ff.).
the practitioners. Often it includes mixtures concocted by
This learned theurgy, which systematically and “ratio-
the magician out of natural essences, ointments, liquified
nally” exploits the virtues of animal, vegetable, and mineral
materials, or even special words with suggestive powers. 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
MAGIC: MAGIC IN SOUTH ASIA
5587
range of such practices is very large: aerial illusions, atmo-
BIBLIOGRAPHY
spheric vapors, playing with fire, tricks with bottles, cups,
Primary Sources
and glasses, illusions with eggs, fruits produced out of season,
Buni, Ahmad ibn EAl¯ı al-. Shams al-ma Ea¯rif wa-lat:a¯ Dif al- Eawa¯rif.
wax figures, animal taming, discovery of hidden objects,
4 vols. Cairo, 1905. A most important source for practical
preparation of magic ink, and so on.
and theoretical understanding of Islamic magic. There are
three versions of this work: short, medium and long. It exists
In the Gha¯yat al-h:ak¯ım of Pseudo-Majr¯ıt:¯ı, the term
in several lithographs and numerous manuscripts.
n¯ırinja¯t is applied to charms that have an extraordinary
H:a¯jj¯ı Khal¯ıfah. Kashf al-z:unu¯n. 8 vols. Edited by O. Flügel. Lon-
power over human beings and natural phenomena alike,
don, 1955-1958. A large encyclopedia with material ar-
such as a magic ring that transfixes anyone who looks at it,
ranged in alphabetical order. See especially the articles on
amulets that ward off bad weather or neutralize weapons held
sih:r, simiya¯ D, t:ala¯sim, and the keywords given therein.
by enemies, and so on (al-Majr¯ıt:¯ı, op. cit., pp. 242ff.). The
Ibn Khaldu¯n. Al-muqaddimah. Edited by M. Quatremère. Paris,
making of these n¯ırinja¯t requires extreme precision and care-
1858–. Translated by Franz Rosenthal as The Muqaddimah:
ful handling of the poisonous materials used in their compo-
An Introduction to History, 2d ed., 3 vols. (Princeton, 1967).
sition. These are potions that act by mans of absorption or
The emphasis in this work is on the theoretical aspect of
fumigations of various powders and oils. The anticipated ef-
magic.
fects of these potions vary, and their application depends
Majr¯ıt:¯ı, Maslamah ibn Ah:mad al-. Gha¯yat al-h:akim. Edited by
upon astrological conditions, as in all magical activity, and
H. Ritter. Leipzig, 1933. Translated by H. Ritter and M.
on the simultaneous utterance of a formulaic spell containing
Plessner as “Picatrix”: Das Ziel des Weisen Pseudo-Majr¯ıt:¯ı
incomprehensible names.
(London, 1962). A study of magic and theurgy from the
double perspective of theory ( Eilm¯ı) and practice ( Emal¯ı).
In the same class of magical activity belongs the rain-
Completed in AH 395/1004 CE, it is the most important
maker, who commands the stars and who alternates between
work in this field. On the question of its attribution to Mas-
a demanding, coercive, and occasionally even insulting tone
lamah al-Majr¯ıt:¯ı (“of Madrid”), see H. Ritter’s article in Vor-
toward the heavens and flattery toward God. The impreca-
träge der Bibliothek Warburg 1 (1921–1922): 95–124.
tions he pronounces have a clearly magical character: often
Secondary Sources
they include the use of the divine names with the aim of
Doutté, Edmond. Magie et religion dans l’Afrique du Nord. Algiers,
bending the will of heaven. The author of the Theology of Ar-
1909. An important study on magical practices in North
istotle, followed by Ibn S¯ına¯ (Avicenna), affirms that “prayer
Africa.
influences the sun and the stars, by imparting a certain mo-
Fahd, Toufic. “Le monde du sorcier en Islam.” In Le monde du
tion to them, because the parts of the world form a single
sorcier, pp. 157–204. Paris, 1966. Includes an extensive bibli-
whole, like a ‘single animal’” (quoted in A. Goichon, Direc-
ography. The present article owes much to this study.
tives et remarques, Paris, 1951, p. 250). For greater effective-
ness, the rainmaker stood inside a circle (mandil) or a magic
Kovalenko, Anatoly. Magie et Islam. Geneva, 1981. A 721-page
volume containing a detailed description of magical proce-
square.
dures, with an exhaustive bibliography. This is an invaluable
In this same category is also included the evil eye. Ibn
reference work.
S¯ına¯ explains it as “an admiring tendency of the soul that ex-
Kraus, Paul. Ja¯bir Ibn H:ayya¯n. 2 vols. Cairo, 1942–1943. A valu-
ercises, by this property, a weakening influence on the object
able tool for the study of the occult sciences in Islam and
of its admiration” (ibid., p. 523). For Ibn Khaldu¯n, the effect
their relationship to Hellenism.
is
Mauchamps, Émile. La sorcellerie au Maroc. Paris, n.d. A posthu-
mous work preceded by a study on the author and the work
natural and innate. It cannot be left alone. It does not
by Jules Bris. Mauchamps’s investigation into magical prac-
depend on the free choice of its possessor. It is not ac-
tices in Morocco is an exemplary model; every Muslim re-
quired by him. [It is] an influence exercised by the soul
gion needs such an inquiry.
of the person who has the evil eye. A thing or situation
appears pleasing to the eye of a person, and he likes it
TOUFIC FAHD (1987)
very much. This [circumstance] creates in him envy and
Translated from French by David M. Weeks
the desire to take it away from its owner. Therefore he
prefers to destroy him. (Ibn Khaldu¯n, op. cit.,
pp. 170–171)
MAGIC: MAGIC IN SOUTH ASIA
It may be concluded from the foregoing that Islam, the heir
Since the beginning of modern Indology in the writings of
of ancient civilizations, has preserved for us, in its rich cultur-
travelers, missionaries, and administrators, Hinduism has
al and folkloric patrimony, remnants of Semitic and Helle-
been described as a religion saturated with magic and super-
nistic notions that were developed and intermingled in the
stition. The work of the missionary-traveler Abbé Jean-
wide expanse of the ancient and medieval Near East.
Antoine Dubois (1765–1848) set the tone for this type of
discourse, but the British utilitarians who administered India
SEE ALSO Theurgy.
were more influential in differentiating the magical from 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
5588
MAGIC: MAGIC IN SOUTH ASIA
gious and scientific rationality. Major dimensions of Hindu-
MAGICAL TERMS AND PRACTICES. Due to the prevalence of
ism were reduced to the animistic practices and beliefs of
magical practices throughout the subcontinent, from Nepal
peasants, a “lower” form of religion that was designated pejo-
to Sri Lanka and from the tribal communities such as the
ratively as magical. Sir Monier Monier-Williams, for in-
Bhils, Warlis, or Gonds to the upper classes of Mumbai, the
stance, identified village gods with tutelary powers that ward-
variety of terms is impressive. A very brief sample of various
ed off demons and evil spirits pervading the countryside.
terms in Sanskrit, Hindi, Tamil, Newari, Sinhala, and other
Peasants worshiped fetishes, symbols endowed with intrinsic
languages includes ya¯tu¯ or ja¯du¯, ma¯ya¯, karman, kr:tya¯, ´sa¯n˙ti,
powers, and were far more interested in the avoidance of
abhica¯ra, tona¯, t:ot:aka¯, tantra-mantra, bhu¯t, mantravaadi,
harm than in spiritual goals.
peey, peey-pisasu, tuna, mikha¯, sya˜ka¯h:, kaiphat:, najar,
abhica¯rin, ojha¯, sokha¯, gunia, baiga, bhagat, yakku, kod:ivina,
The distinction between “high” Brahmanic religion and
mantrayas, dis:t:iya, and yaks:a.
the lower folk superstitions thus marked a boundary, on one
side of which lay two types of rationality—religious and sci-
These refer to a number of concepts, practices, and
entific—and on the other side of which lay what E. B. Tylor
types of specialist, both in ancient times and today. The most
and James G. Frazer codified as homeopathic magic. Even
common area of magical concern is the healing of humans
the great German sociologist, Max Weber, who emphasized
(adults and children), animals, and even machinery such as
the ideological foundations of socioeconomic practices in
vehicles. Since the time of the Atharvaveda, the dominant
India, succumbed to this distinction. Subsequent Western
folk etiology has ascribed numerous health problems—when
scholarship, including the specialized textual studies of magic
witchcraft or sorcery was not suspected—to the invasion of
by Willem Caland, Victor Henry, and Maurice Bloomfield,
the person by ghosts or spirits (bhu¯t-pret, pi´sa¯c, jinn in
were thoroughly taken in by the distinction between religion
Hindi/Urdu). Healing has often taken the form of exorcism,
and science on the one hand, and magic on the other. The
either at home or at specialized locations such as Bharatpur,
or Baba Bahadur Sayyid in Banaras. These rituals are usually
mid-twentieth-century scholars who followed in their foot-
performed by specialists such as ojha¯s or sokha¯s or gunia in
steps (for example, Jan Gonda and Louis Dumont) contin-
Nepal. The rites take the form of an expulsion, driving the
ued to regard Indian magic as a domain that, if not limited
invading agent out by mimicry and with the use of mantras
to folk religion, is certainly a type of attitude that displays
and the help of the goddess, and imprisoning it in the body
belief in supernatural causality, the faith in a ritual’s power
of an animal such as a fish or bird, which is then released into
over nature and gods, and the intrinsic value of the fetish ob-
the wild. Patients are often given protective amulets (kavac)
ject (Gonda, 1980, pp. 249–250).
to prevent future problems.
Recent developments in a number of disciplines bearing
The single most pervasive concern may be failure to
on South Asian cultures, among others, make the distinction
conceive or safely deliver a child. Magical treatments range
between magic and religion hard to sustain, however. Medi-
from exorcism to bathing in certain well-known pools, such
cal anthropology and ethnomedicine (including ethnopsy-
as the Lorlark Kund in Banaras, the ritual offering of special-
chiatry), performative and ritual theories based on the work
ly manipulated (and pricked) fruit such as coconuts, strad-
of John Austin (and Stanley J. Tambiah), cognitive theories
dling S´iva-lin˙gams, and chanting mantras. The specific prob-
such as those of John Skorupski and Pascal Boyer, the use
lem and its remedy may be identified througha variety of
of postcolonial approaches, and the increasing focus on
divinatory rituals that includes the spinning of sticks, the
women’s religious practices now allow researchers to under-
throwing of dice, or the painting of fingernails with lamp-
stand so-called magic in a more inclusive manner. Numerous
black or collyrium (ka¯jjal). Some diviners specialize in locat-
practices previously labeled magical can be seen as sharing
ing lost relatives and may work with the aid of reluctant spir-
a basic rationality with either religion or medicine, psychia-
its who whisper into their left ear, having been brought
try, conflict resolution, or even technology. The rickshaw
under control through so-called tantric rituals (Svoboda,
driver in Banaras who hangs a bottle of Ganges water in his
1986).
vehicle could be symbolically articulating a wish for good
fortune rather than trying to influence his fate. The pervasive
Despite the enormous technological and educational
practice of vrata, votive rituals in which practitioners, usually
changes taking place throughout South Asia, few areas of
women, enact ritual performances in order to effect the well-
human concern are untouched by magical technique. Even
being of others, cannot be seen either as exclusively magical
many of the trucks that speed along on highways display
or exclusively religious.
signs that threaten: “he who casts the evil eye (najar) will get
a black face.” The concept of evil eye—the damage done by
Still, the languages of South Asia contain dozens of
an unfavorable glance—is extremely pervasive, and children
terms that are either associated with magical practices, or in
are often armed (with facial paint) against it. Astrologers still
some way connote magic. This may be one of the main rea-
do a booming business, from coordinating marriage matches
sons that the conceptual distinction between magic and reli-
to establishing auspicious travel dates. Art in villages, espe-
gion (or science) is still influential among many contempo-
cially wall art, along with the ritual application of abstract
rary scholars.
diagrams (ko¯l:am in Tamil, rangoli in Maharashtra, etc.) 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
MAGIC: MAGIC IN SOUTH ASIA
5589
thresholds throughout the subcontinent, is associated with
INTELLECTUAL FOUNDATIONS OF INDIAN MAGIC. One of
protection and auspiciousness. House construction, boat-
the basic and most frequently discussed aspects of Hindu
building, and rickshaw and car purchase may be accompa-
thought is the Vedic cosmological continuity between the
nied by special pu¯ja¯ rituals for the pacification of evil influ-
transcendent and mundane realms, or between the sphere of
ences and the peaceful enjoyment of ownership. Life-cycle
gods (adhidevata) and the sphere of humans (adhya¯tman).
rituals—especially those connected with young children
The two realms resemble or correspond to each other
(first solid feeding, cutting of hair, naming) and weddings—
through an infinitely rich system of homologies (nida¯na).
as well as the vrata rituals that religious practitioners (usually
These correspondences are instantiated—with a one-to-one
women) undertake are all associated with symbolic perfor-
precision—within the Vedic sacrifice (yajña), which is the
mances, mantras, and beliefs that may be interpreted as magi-
ritual that mediates between the two realms while forming
cal. The same even applies to yoga technique—Patañjali’s
yet a third. This foundational conception has been very fe-
Yoga Su¯tra promises extraordinary powers to advanced prac-
cund in sprouting several distinct traditions, which have in-
titioners—and tantric sa¯dhana, and even the common pu¯ja¯
cluded the ritualistic sciences of the bra¯hman:a texts, the mys-
that most Hindus perform frequently utilizes techniques and
tical speculations of the Upanis:ads, the medical systems of
tools of magic.
A¯yurveda, the physio-psychology of yoga, and the alchemy
of Tantra to name but a few. At the most basic level, these
MAGICAL TOOLS AND TECHNIQUE. Magic in South Asia is
traditions shared the insight that a connection between the
not a failure of scientific rationality or transcendental meta-
human/individual realm and the divine/transcendent is pos-
physics. It is the daily application of a subtle ideology that
sible, as long as it was produced through a specialized tech-
enchants the world of the senses by means of divine power.
nique, knowledge, or healing substance. An early and vivid
The tools and techniques vary from one region to the next,
example of this connection can be seen in the Br:hada¯ran:yaka
but a number of basic features prevail universally. The first
Upanis:ad’s opening line: “The head of the sacrificial horse,
and foremost is the mantra, which is used as a verbal formula
clearly, is the dawn—its sight is the sun.” Cosmology and
for blessing, cursing, mind-altering, spells, and so forth. The
ritual (sacrifice) mirror each other and form a seamless conti-
mantras vary from Vedic and Atharvavedic versions (Vis:en:a
nuity, which the ritual specialist can exploit.
hanmi te vis:am, “with poison I kill your poison”) to tantric
ones: “hr¯ım
˙ , ´sr¯ım
˙ , kr¯ım
˙ , pa-ra-me-´sva-ri, sva¯-ha¯” and even
Throughout Indian history the sacrificial ritual has
ad-hoc formulas such as “S´a¯nte ´sa¯n, glory of Ali, hit my
played a role not only in cosmology, but also in other con-
enemy with a thousand arrows.” Mantras may be sung,
texts as well. Tantric traditions, as David Gordon White
chanted, whispered, and even blown into a bottle or onto the
shows, are systems of (alchemical) mediations based on the
head of patients. Scholars have debated the meaning and
science of the sacrifice. Fluids, semen, moon, and mercury
function of mantras, but in magical practice they are regard-
on the one hand, and fire, blood, sun, and sulfur on the other
ed as the single most powerful tool in the magician’s bag.
are mediated by air, wind, and breath to unify the macro-
cosm with the microcosm. Similarly, as the oldest medical
Mantras are often associated with or replaced by geo-
knowledge (A¯yurveda) was becoming systematized and situ-
metric designs—yantras and man:d:alas—that depict in spatial
ated within the normative traditions of dharma, it was the
terms the meaning of the mantra, or embody the power and
sacrifice that provided the primary method of linking the
attributes of a god or goddess. The diagrams utilize precise
work of the surgeon to religious cosmology: the A¯yurvedic
geometric symbols, but also rely on an elaborate color sym-
surgeon was merely replicating the work of the divine A´svin
bolism (for instance, white, red, black, and yellow all have
twins who had learned from Praja¯pati (and Brahma¯) how to
symbolic meaning) or on numbers. These symbolic systems
reattach the head of the sacrifice severed by Rudra (Su´sruta
owe their significance to tantric alchemical ideas, Atharvave-
Sam:hita¯ 1:17–20).
da authority, A¯yurveda medical cosmology, or local tradi-
tions (Goudriaan, 1978, pp. 175–190).
Although the three broad traditions (Upanis:ads, Tantra,
A¯yurveda) are distinct in most ways of reckoning, all assume
Regional variations also determine the types of herbs,
some continuity between the divine and mundane realms.
plants, oils, and other remedies used, the kinds of animals
In fact, most traditions inspired by the Vedic ethos refuse to
regarded as beneficial or harmful, and the tombs, shrines,
differentiate categorically between speculative (or “scientif-
trees, ponds, or hills which constitute centers of healing, fer-
ic”) and pragmatic concerns. The Vedic sacrifice itself is as
tility, or exorcism. For example, in Banaras, muscle or joint
much about prosperity and health as it is about obtaining
pain might require the rubbing of fish oil, while in Raja-
heaven, immortality, or the selfless nurturing of the gods.
sthan, lizard oil serves as the remedy. Pastoral tribes may
favor the goat for curing asthma while settled villagers may
A ready example of this combined orientation is the lit-
rely on buffalo or perhaps the leaves of the nim tree. In every
erature on domestic rituals. Systematically expounded in the
case the performance of magical rituals reveals a close famil-
Gr:hyasu¯tras, domestic rituals ensure the correct maintenance
iarity with the natural environment, an acuity of sensory per-
of the household, but are equally attentive to the threefold
ception, and a sophisticated attention to the social and psy-
knowledge (of gods, a¯tman—the mystical self—and sacri-
chological needs of patients.
fice) that defines the worthiest Bra¯hman:. The same texts 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
5590
MAGIC: MAGIC IN SOUTH ASIA
describe how to part the hair of a pregnant woman with a
of sorting out the world is not an expression of “magical”
porcupine quill in order to obtain a son, also explain what
thinking, but rather a privileging of sensory experience as the
is superior knowledge and why it is so (S´a¯n˙kha¯yana
index of God’s creative energy, and a recognition of its po-
Gr:hyasu¯tra). Another way of putting the matter is that the
tential to further one’s interests.
techniques most closely associated with mukti (liberation)—
By recognizing the connection between divine power
namely concentration, austerities, self-control, recitation—
(ma¯ya¯) and sense perception, humans can transcend empiri-
are also conducive to bhukti (enjoyment): long life, health,
cal reality (mukti) and ma¯ya¯, but they can also use this recog-
power, children, and wealth (Cha¯ndogya Upanis:ad 5:19:2).
nition to live a good life (bhukti). This is possible only as long
Within this worldview, no insurmountable boundary
as the meshes of the phenomenal net, so to speak, are not
separates the “arts” of magic from mystical speculation. Ac-
broken. In fact, all practical magic commences with a prob-
cording to the R:gvidha¯na (1:15:4), a mystical mantra,
lem, a tear in the net or web of perceived relations. The
chanted in reverse, can be used to destroy one’s foes: it has
health problems of humans and animals, failure to conceive,
the power of brahman, which is the hidden potency of the
or bad luck in business—all problems brought to the atten-
Vedic ritual, and is the underlying principle of the bra¯hman:a
tion of the magician—may be understood implicitly as the
texts and the Upanis:ads. Much of what is generally regarded
rip in Indra’s net.
as mystical (transcendent, speculative) is also magical (mun-
dane, pragmatic) and vice versa.
LITERARY SOURCES OF MAGIC. Due to the difficulty of iso-
lating a distinct magical domain within Indian culture and
Two intersecting and overlapping concepts that under-
literature, it is hard to name uniquely magical texts. Only
score this point are “Indra’s net” (Indraja¯la) and ma¯ya¯ (illu-
two texts within the ancient corpus can be regarded as almost
sion). In the R:gveda, Indra (or Maghavan) is a magician-god
completely magical works in the sense that they focus exclu-
who can change forms at will, “changing shape by the use
sively on rites and mantras conforming to the ideology out-
of magic” (3.53.8; 7.99.4). Indra uses his magic to bring
lined above. One of these is the Atharvaveda, the fourth and
rains, using the lightning as his magician’s wand. His net is
latest addition to the Vedic canon. It is primarily a collection
a powerful tool with a profound effect on human perception:
of verbal formulas uttered by the atharvan: priest in a wide
“Indra’s net is vast, as big as this world, and with Indra’s
array of circumstances: The majority focus on health matters,
net—this magic—I enmesh, entrap, those people with dark-
but many deal with procreation, love, wealth, warfare, prop-
ness.” Lee Siegel argues that these ideas indicate the intimate
erty disputes, travel, justice and, of course, the counteracting
link between ancient Indian conceptions of magic and con-
of sorcery.
juring: both involve deception and illusion, resting as they
do on the vulnerable nature of human perception.
The other primarily magical text is the Kau´sika Su¯tra
(c. 700 BCE), which either reflects an ancient ritual tradition
As Jan Gonda has observed, “ma¯ya¯ is an incomprehensi-
that paralleled the atharvanic formulas, or was artificially
ble wisdom and power enabling its possessor, or being able
composed to illustrate the ritual contexts in which the Athar-
itself, to create, devise, contrive, effect, or do something.”
vaveda was meant to be used. Hundreds of rituals, most of
(Gonda, 1965, p. 216) The possessor may be divine or
them nearly indecipherable without the much later commen-
human, but in either case the power to create has a profound
taries of Darila and Ke´sava Ka¯´sm¯ırin, cover matters of con-
phenomenal upshot: it fashions a sense-based reality that is
cern similar to those of the Atharvaveda.
both wondrous and powerful in hiding what is ultimately
real. It is the card up the magician’s sleeve.
But, more broadly, the R:gveda (and R:gvidha¯na) with its
mantras and mythical allusions, and the Yajurveda and, later,
In short, Indra’s net, the snare with which God rules
the bra¯hman:as with their sacrificial rituals, are also rich
over the sensory world and over humans, is his power, his
sources of magical ideas and performances. In fact,
ma¯ya¯. This is how S´an˙kara, the ninth-century philosopher,
M¯ıma¯m:sa¯ philosophy explains that what makes Vedic rituals
interprets the passage in the Bhagavadg¯ıta¯ in which Kr:s:n:a
powerful and efficacious is the adr:s:ta type of action, the ac-
says to Arjuna: “My ma¯ya¯ is hard to overcome” (7:14). The
tion that has no visible or empirical utility. For instance, the
net is a fitting image to describe the power of God because
ritual’s insistence on facing in a particular direction is more
it is sensory perception that binds humans in this world. At
efficacious in producing results than cleansing the ritual
the same time that it binds, however, sensory perception also
utensils.
provides a connection to God’s creative energy (Goudriaan,
1978, p. 216). What is perceived by humans in this world
The Gr:hyasu¯tras prescribe the rituals and mantras that
corresponds to elements of the divine order, creating a bond,
must be used in the household, governing the life stages (in-
a correspondence that is sense-based and lies at the root of
cluding pregnancy, birth, feeding, and naming) of twice-
the homological rationality that one sees in much of India’s
born members of society from the moment of conception
traditional thinking: the elaborate system of resemblances
until death. They describe in some detail, occasionally inter-
and correspondences that misled James Frazer and Victorian
secting with the prescriptions of the Kau´sika Su¯tra, the ver-
scholars into perceiving what they encountered as homeo-
bal and ritual parameters that have to be observed in every
pathic and superstitious. The principle underlying this way
stage of life. For instance, the guru¯ must initiate the student
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: MAGIC IN SOUTH ASIA
5591
by sprinkling him with water three times—neither more nor
SEE ALSO Alchemy, article on Indian Alchemy; Mantra;
less—as the student joins his hands in greeting (S´a¯n˙kha¯yana
Ma¯ya¯.
Gr:hyasu¯tra 2.2.10). During the wedding ceremony the
groom seizes the bride by the thumb if he desires boys, by
BIBLIOGRAPHY
the other fingers if he wishes to bear girls (A¯´svala¯yana
Bloomfield, Maurice. Hymns of the Atharvaveda. Sacred Books of
Gr:hyasu¯tra 1.7.3–4).
the East, vol. 42. New York, 1969. Extensive translations of
Kau´sika Su¯tra rituals alongside the Atharvaveda material,
What makes these rituals “magical” is not that they are
with useful commentaries.
regarded as ya¯tu¯ or abhica¯ra, or that they seem to manifest
Bloomfield, Maurice, ed. The Kau´sika Su¯tra of the Atharvaveda.
magical thinking of the type defined by Frazer or even cur-
Delhi, 1972. The full text, edited with the major commen-
rent theorists. The operative criterion is a recognition, based
taries, but not yet available in English.
on sensory perception and performed symbolically, that life
Caland, Willem. Altindisches Zauberritual: Probe eines (Über-
is constituted by interrelated phenomena (the number three,
setzung der wichtigsten Theile des Kau´sika Su¯tra). Amsterdam,
water, fingers, and children) that are both meaningful and
1900. The most extensive translation of the Kau´sika Su¯tra
controllable when properly understood. Numerous addition-
rituals, with dated analysis of magic.
al examples can be found in the Su´sruta Sam:hita¯ and the
Desjarlais, R. R. Body and Emotion: The Aesthetics of Illness and
Caraka Sam:hita¯, the two major texts of A¯yurveda medicine.
Healing in the Nepal Himalayas. Philadelphia, 1992.
Both texts are encyclopedic in range, covering every known
Freed, Ruth S., and Stanley A. Freed. Ghosts: Life and Death in
medical topic, from medical philosophy (and cosmology) to
North India. New York, 1993. A comprehensive survey and
diets, prognostics, surgery, pharmacology, and others. Both
analysis of practices related to the belief in ghost possession
are based on a sophisticated humoral theory and both con-
and exorcism.
tain hundreds of healing procedures.
Gangadharan, N., trans. The Agni Pura¯n:a, Parts I–II. Delhi,
The legal texts, for example Ma¯nava Dharma´sa¯stra, also
1985.
describe rituals that could be characterized as magical by
Gellner, David N. The Anthropology of Buddhism and Hinduism:
these ideological standards. The courtroom is a sacrificial hall
Weberian Themes. New Delhi, 2001. A sociological analysis
and the criminal, especially the one who willingly confesses
of Newari practices and beliefs in Nepal, including extensive
and submits to punishment, is a sacrificial player (the victim)
discussions of magic, especially possession and healing.
who benefits by the punishment. Similarly, the Ka¯masu¯tra
Glucklich, Ariel. The End of Magic. New York, 1997. A theoretical
is renowned for its use of carefully prescribed procedures de-
and descriptive interpretation of magic, including a new the-
signed to help in seduction, perpetuate or enhance love, im-
ory of magic, based on material from Banaras.
prove sex, enrich the diet, and restore health. Even the prag-
Gonda, Jan. Change and Continuity in Indian Religion. Leiden,
matic Artha´sa¯stra of Kaut:ilya describes the use of special
1965.
procedures for complementing the normal devices of state-
Gonda, Jan. Vedic Ritual: The Non-Solemn Rites. Leiden, 1980.
craft—for instance, using mantras and potions to confuse
Contains a brief but detailed discussion of ancient Indian
and subdue one’s enemies.
magic, based on the rituals of the Vedas, Gr:hyasu¯tras, and
Kau´sika Su¯tra.
The Maha¯bha¯rata and Ra¯ma¯yan:a both feature episodes
Goudriaan, Teun. Ma¯ya¯ Divine and Human. Delhi, 1978. A de-
involving magicians, although few rituals are explicitly pre-
tailed textual study of the ideological foundations in ma¯ya¯
scribed. In contrast, some Pura¯n:a texts dating to the first mil-
and Indra’s net of Indian magic.
lennium of the common era, most notably the Agni Pura¯n:a,
Henry, Victor. La magie dans l’Inde antique. Paris, 1904. A mostly
contain large collections of spells, procedures, and formulas
descriptive study of magic in ancient India based on the
(including diets and herbal concoctions) for a variety of pur-
Atharvaveda and Kau´sika Su¯tra.
poses: healing, undermining enemies, victory in battle,
Jayakar, Pupul. The Earth Mother. New Delhi, 1990. Somewhat
health, longevity, interpretation of dreams, astrological suc-
informal but useful look at the mutual influences between
cess, and so on. Other Pura¯n:as are not as detailed, but the
Vedic and tantric traditions and tribal/folk cultures, especial-
Dev¯ı Pura¯n:a provides lengthy verbal formulas with detailed
ly in the domain of art and magic.
descriptions of their use.
Kapferer, Bruce. A Celebration of Demons: Exorcism and the Aes-
A vast repository of magical practices and verbal formu-
thetics of Healing in Sri Lanka. 2d ed. Oxford, 1991.
las can be found in the literature that is broadly termed Tan-
Oldenberg, Hermann, trans. The Grihya Sutras, Parts I–II. Sacred
tra. Such texts as Rasa¯rn:ava (tenth–eleventh centuries CE),
Books of the East, vols. 29–30. Delhi, 1989.
or the Rasahr:daya Tantra of Govinda (tenth–eleventh centu-
Scott, David. Formations of Ritual: Colonial and Anthropological
ry CE), contain spells and chants (mantras), geometric de-
Discourses on the Sinhala Yaktovil. Minneapolis, 1994. A his-
signs, alchemy, color symbolism, medical practices, and ex-
torical ethnography of Sinhala ideological and ritual dis-
orcism procedures.In popular street usage in India today, the
courses on malevolent spirits.
word tantra has come to mean magic, due to the prestige of
Siegel, Lee. Net of Magic: Wonders and Deceptions in India. Chica-
the tradition, along with its accessibility compared to the
go, 1991. Studies the link between the arts of conjuration
Vedic and A¯yurvedic literature.
and ancient Indian cosmology.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5592
MAGIC: MAGIC IN EAST ASIA
Stutley, Margaret. Ancient Indian Magic and Folklore: An Introduc-
Buddhism of the Tang period (618–907 CE). Similarly, the
tion. Boulder, Colo., 1980. A clear and accessible survey that
hemerological symbols of the calendrical cycle were not sim-
relies primarily on the work of Bloomfield.
ply neutral signs marking the passage of time; they constitut-
Svoboda, Robert E. Aghora: At the Left Hand of God. New Delhi,
ed a succession of spirits whose magical powers could be
1986. A biographical and vivid account of the work of a con-
summoned through spells and talismans.
temporary Aghori tantric sorcerer.
The Warring States (403–221 BCE), Qin (221–206
White, David Gordon. The Alchemical Body: Siddha Traditions in
BCE), and Han (206 BCE–220 CE) periods were the formative
Medieval India. Chicago, 1996. A close examination of the
age for Chinese magic. Earlier, magic was employed in deal-
homological cosmology, based on fire and fluids, at the heart
ings with the spirits and was important in the royal ancestral
of alchemical magic within tantric literature.
religion of the Shang and early Zhou (c. sixteenth–eighth
ARIEL GLUCKLICH (2005)
centuries BCE). But the proliferation of magical arts, and an
increasing differentiation between magic as employed in ar-
chaic religion and magic for its own sake, began during the
Warring States and continued to develop in Qin-Han times.
MAGIC: MAGIC IN EAST ASIA
The history of Chinese magic in later centuries followed
Magic and mantic arts are endemic in Chinese life and prom-
from the developments of this period. It was during the same
inent in the religions of China, both in popular religion and
period that the theory of symbolic correspondence was for-
in Buddhism and Daoism. The same is true of Korea and
mulated, and developments in occult sciences paralleled sig-
Japan, where indigenous beliefs have been overlaid by the
nificantly those in magic.
cultural influence of China. The magical practices of China
found ready acceptance in Korea and Japan. Although many
Before the Warring States the principal practitioners of
of the practices traveled on their own, religion—chiefly Bud-
magic were the wu, a class of female (and in lesser numbers,
dhism, which had already absorbed elements of Chinese
male) shamans who mediated between the human and spirit
popular beliefs and of Daoism—was an important vehicle for
worlds. Their methods included trances in which spirits
the transfer of Chinese magic. The result was an amalgam
might descend into their bodies or in which the shaman
of magical lore in East Asia, with Chinese knowledge often
might journey into the spirit world, invocations and male-
providing a frame to which specifically Korean or Japanese
dictions, and the utilization of magical materials to either at-
practices and permutations were affixed.
tract or repel the spirits. Their functions overlapped those of
incantators (chu) and other ritual officiants; however, the lat-
CHINA. In general, one should distinguish between magic,
ter did not engage in ecstatic trances. The Warring States and
which provides a means to accomplish specific ends (through
Qin-Han periods witnessed the decline in prestige of these
spells, gestures, amulets, talismans, and the like), and various
shamans, who came to be increasingly associated with witch-
occult sciences (such as yarrow-stalk divination with the Book
craft; the rise of occult specialists (fangshi, literally “masters
of Changes, astrology, hemerology, geomancy, and alchemy),
of recipes”), whose skills extended to magical operations; and
even though this distinction was not strongly maintained in
the formation of a Daoist clergy, who adapted magic to fill
the traditional Chinese schema of magic and the occult.
the needs of the newly emergent religion (organized Daoist
There was in fact a fluid boundary between magic (where
religious communities made their first appearance in the sec-
there was no cause for rationalization) and occult sciences,
ond century CE). The general populace also practiced forms
which were elaborated in terms of a theory of symbolic corre-
of superstitious magic in the course of daily life.
spondence based on the concepts of yin-yang dualism and of
Five Actions (wuxing: water, fire, wood, metal, and earth).
Historical records of Han rulers who favored shamans
Not only was this theory the product of prior conceptions
and masters of recipes provide an important source of infor-
of the magical power of fire, water, and other primary forces
mation about ancient Chinese magic. Liu Che (posthumous-
in nature (e.g., wind), but even after its full elaboration the
ly titled Wu Di; r. 140–87 BCE), for example, established
symbolic correspondences did not negate the validity of mag-
cults for shamans and made his court a gathering place for
ical practices. Not infrequently, occult theory supplied a
masters of recipes who claimed to possess magical powers
modus operandi for magic and religious worship. For exam-
and the secrets of immortality. One master of recipes, Li Sh-
ple, an astrological instrument designed to calculate the posi-
aoweng, was a psychopomp who gained Liu Che’s favor by
tion of the Big Dipper (Chinese archaeology has recently
conjuring the ghost of the ruler’s recently deceased concu-
brought to light a second-century BCE specimen of the de-
bine; he was executed after he was exposed for fabricating
vice) was used by the usurper Wang Mang to direct the
portents. Near the end of Liu Che’s reign the court was para-
power of the Dipper against his enemies in 23 CE. From the
lyzed by an outbreak of a type of shamanic witchcraft known
beginning, this astrological instrument served as one means
as gu. The word gu referred to a demonic affliction that at-
for conjuring the god of the Dipper and polestar (talismanic
tacked its victim as the result of witchcraft. According to
replicas of the constellation cast in metal were also used). The
some accounts, gu was a poison produced by sealing certain
same instrument was influential in Daoist star magic, and it
creatures in a vessel until only one remained, which became
was the model for an astrological man:d:ala in the esoteric
the gu. The tradition that the gu is a magical potion cultivat-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAGIC: MAGIC IN EAST ASIA
5593
ed by women and passed down through generations is still
occultism, while at the same time enriching Daoist and pop-
alive today. Those who ingested the gu were believed to die
ular practices.
and become the demon-slaves of the gu and its keeper. In two
of the witchcraft incidents at Liu Che’s court the gu agent
Most existing knowledge of actual magical procedures
was discovered to be a wooden effigy buried in the ground,
in premodern times comes from Daoist and Buddhist writ-
where it was intended to bring harm to the ruler. There were
ing, which naturally reflect the practices of Daoism and Bud-
other cases of witchcraft during the Han period in which sha-
dhism. Recently, Chinese archaeologists have discovered
mans were hired to work black magic.
manuscripts from the third and second centuries BCE that de-
scribe magic as it was practiced in the ancient popular reli-
Accusations of charlatanism against masters of recipes
gion and occult tradition. Two of the manuscripts are alma-
and fear of shamanic witchcraft were widespread during the
nacs that are strikingly similar to Chinese almanacs in use
Han period. A negative perception of magical practices crys-
today and attest to a continuity in magic and occult practice.
tallized around the government’s concern for its own politi-
The Chinese almanacs combine information on portents to
cal and spiritual authority. All magic and occultism were po-
watch for during the year with material on spells, talismans,
tentially subversive. They incited social unrest and infringed
and other magical devices.
upon the holiness of the monarch, whose position as the Son
of Heaven made him the only legitimate authority to oversee
Many of the common forms of magic described in pre-
dealings with the spirit world. Popular religious cults not
modern sources are still practiced. There are spells to sum-
under the direct control of the government were branded
mon deities and to drive off demons (versions of popular,
“abusive worship” (yinsi), and ordinary citizens could be exe-
Daoist, and Buddhist spells are preserved). Spitting and
cuted if caught illicitly performing magic or uttering impre-
spouting water over which a spell has first been uttered is an-
cations. Such practices were identified as the “way of the left”
other common device (sometimes Daoist or Buddhist priests
(dso-dao). The word left did not connote the sinister aspects
will spout ignited alcohol). Substances believed to have magi-
Western cultures associate with the left. Rather, in cosmo-
cal properties are often identified in traditional materia
ritual symbolism the left was the ruler’s position of honor,
medica. Amber, for example, wards off nightmare demons
and those who practiced the way of the left were abusing
and is used in making headrests. Amulets to be hung in the
powers belonging properly to the ruler.
open or worn on the body exist in many forms. Peachwood
amulets are perhaps the most ancient. Talismans (fu) made
The Daoist sects that arose in the second century CE in-
from strips of silk and inscribed with undecipherable writing
veighed against those who placed their faith in shamans, wor-
have been discovered in a second century BCE tomb. A medi-
shiped demons, and believed the occultists’ shams. These
cal manuscript discovered in the same tomb includes a recipe
practices were an offense to the true deities of the Dao. Dao-
for curing gu witchcraft by burning a talisman, scattering its
ist liturgy incorporated many elements of popular worship,
ashes over sheep broth, and bathing the victim with the
however, and the clergy engaged in many of the magical
brew. Water over which the ashes of talismans have been
practices that they condemned in others. Indeed, in the eyes
scattered has been used in Daoism to cure sickness since the
of the Han government the Daoist sects were rebel organiza-
time of the earliest Daoist sects. Daoism talismans inscribed
tions whose religion represented simply another outbreak of
with symbols and magic writing have many uses. The deities
“abusive worship.” For the Daoist sects the fundamental
are summoned with talismans, which may be used in con-
issue was heterodoxy—the use of magic not sanctioned by
junction with spells. And, in addition to using the ashes,
religious authority. But in the continual process of syncret-
Daoists may wear talismans as phylacteries or swallow them
ization that occurred over the centuries as Daoism interacted
in order for them to take effect. Love magic is represented
with popular religion and with Buddhism, the standard of
in a second century BCE manuscript that provides recipes for
orthodoxy fluctuated.
two philters with which a person can “obtain the object of
desire.” Another example in the same manuscript is a recipe
The Buddhist attitude toward magic was similar. Illicit
that instructs a person engaged in a lawsuit to write the op-
magical practices fell under the category of the “arts of Mara”
ponent’s name on a slip and insert it in a shoe, magically
(moshu), Mara being the tempter and chief of malevolent de-
trampling the opponent.
mons. Moshu parallels other Chinese terms such as “sha-
manic arts” (wushu) and “way of the left” in referring to the
KOREA AND JAPAN. In Korea, cults formed around female
forms of magic prohibited by the orthodox church (and the
shamans were a source of native Korean magic. This popular
government). However, as early as the fifth century CE there
religion is known as Mu-sok (“shamanic customs”). Contacts
was a tradition of Buddhist spell-casting in China rivaling
between Korea and China began well before the Tang, but
the Daoist practices. Buddhist magic was most prominent in
increased markedly during that period. Knowledge of Chi-
the esoteric practices of Tantrism. The Tantric literature
nese magic and occultism was part of the general flow of Chi-
contained magical formulas to be used to gain prosperity or
nese culture into Korea. And the initial impact of Chinese
harm adversaries; Tantric mantras, mudra¯s, and man:d:alas
religion—before, for example, there was a more sophisticated
were utilized as instruments for working magic. Tantric
understanding of Buddhist theology—was an admiration for
magic incorporated elements of native Chinese magic and
its great magical power as compared with native practices.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5594
MAGNA MATER
Chinese political institutions and ethics were also influential
MAGYAR RELIGION SEE HUNGARIAN
in the formation of the early Korean kingdoms. In general,
RELIGION
the antagonism between government and practitioners of
magic, and between Buddhism and popular religion, fol-
lowed along lines similar to the situation in China.
MAHA¯BHA¯RATA. Hindu India’s national epic takes
its name from Bharata, an ancestor of the central family of
In the native religion of Japan, which came to be known
heroes. It is the story of his descendants, the Bha¯ratas or
as Shinto¯ (“way of the spirits”) after Buddhism took hold,
Kurus. The Maha¯bha¯rata (Great story of the Bha¯ratas) is a
there were two categories of religious personnel. The miko
massive encyclopedic text. In one famous verse it claims to
(female shaman) was a medium into whose body a spirit
contain everything. It is said to consist of 100,000 verses, al-
might descend, sharing essential characteristics with shamans
though no known recension comes to quite that number.
throughout East Asia. The kannushi (spirit controller) was
The text is also known as Jaya (Victory), a reference to its
more in the nature of a priest who oversaw the worship of
concern with the victory of dharma over adharma as assured
the spirits. As with the shamans in China, the miko were in-
by Kr:s:n:a, who as the incarnation of Vis:n:u guides the main
creasingly associated with witchcraft, whereas the kannushi
action of the story. The text is further called the Ka¯rs:n:aveda
came to function as officiants in the state cult. Esoteric tan-
(Veda of Kr:s:n:a), a reference whose ambiguity may be intend-
tric Buddhism had a strong influence in Japan, leading to a
ed since the text not only is concerned with this Kr:s:n:a but
syncretism of Shinto¯ and Chinese-Buddhist magic. Buddhist
is alleged to have been written by Kr:s:n:a Dvaipa¯yana, the “is-
ascetics called hijiri (sage) and yamabushi (mountain recluse)
land-born Kr:s:n:a,” whose more familiar name is Vya¯sa. Final-
traced their origins to the eighth century CE and were re-
ly, it is called the “fifth Veda,” indicating the importance that
nowned for their magical powers. As in Korea, in Japan other
the epic’s brahman poets attached to its prolongation of the
forms of Chinese magic and occultism were absorbed into
Vedic heritage. The epic is a smr:ti (“traditional”) rather than
the culture.
´sruti (“revealed”) text, but its reputed author, Vya¯sa, is the
very person whom epic and classical mythology credits with
BIBLIOGRAPHY
the “division” of the Vedas into four.
Blacker, Carmen. The Catalpa Bow. London, 1975. A well-
The actual composition of the epic seems to have been
documented and groundbreaking study of shamanistic tradi-
carried out between about 500 BCE to 400 CE. The authors,
tions in Japan, both from a historical and contemporary per-
however, probably drew on older bardic traditions with roots
spective.
in Aryan lore of much greater antiquity. The central story
is set in the area of the Ganges-Yamuna¯ doab, and recalls
Chang Chu-keun. “Mu-sok: The Shaman Culture of Korea.” In
tribal kingdoms that had settled in and around that area,
Folk Culture in Korea, edited by Chun Shin-yong,
pp. 59–88. Seoul, 1982. A more popular account of Korean
after earlier residence in the Punjab, from about 1000 to 500
shamanism.
BCE. It is sometimes assumed that the Painted Gray Ware
culture of this period provided the historical setting for a real
Groot, J. J. M. de. The Religious System of China (1892–1910). 6
war, of which the text of the Maha¯bha¯rata is but an embel-
vols. Reprint, Taipei, 1967. A comprehensive description of
lished account. More likely, if the Painted Gray Ware peo-
religion in China, valuable for its copious translations of pri-
ples transmitted an early version of the story, it was as part
mary sources.
of their mythology, for the epic has an Indo-European
Haguenauer, Charles M. “Sorciers et sorcières de Corée.” Bulletin
mythological structure.
de la Maison Franco-Japonaise (Tokyo) 2 (1929): 47–65. A
Scholarly work since the 1940s, initiated by Stig Wi-
scholarly examination of shamanism and magic in Korea.
kander and Georges Dumézil, has shown that the text is es-
Ngo Van Xuyet. Divination, magie et politique dans la Chine an-
sentially mythological, though not denying that it integrates
cienne. Paris, 1976. An excellent study of magic and occult-
much “didactic” material, particularly in its postwar books.
ism in the formative Qin-Han period, including a translation
It prolongs the Vedic heritage by correlating the epic story
of the chapter of biographies of occult specialists in the Hou
and its leading characters with Vedic, and in some cases para-
Han shu (Documents of the Later Han).
Vedic and Indo-European, mythological figures and narra-
tive (particularly eschatological) themes. More recent work
Sieffert, René. “Le monde du sorcier au Japon.” In Le monde du
has focused on the epic’s treatment of the war as a “sacrifice
sorcier, “Sources orientales,” vol. 7, pp. 355–389. Paris,
of battle,” relating the narrative to Indian sacrificial tradi-
1966. An excellent survey of the practice of magic in Japan,
with a detailed discussion of magic in Buddhism and Shinto¯.
tions, particularly from the Bra¯hman:as. Most notably, Ma-
deleine Biardeau has shown that the treatment of Vedic my-
DONALD HARPER (1987)
thology and Brahmanic sacrifice in the epic forms part of a
bhakti rereading of the Vedic revelation (´sruti). From this
perspective the epic is the first and grandest monument of
bhakti, focused on Kr:s:n:a as the avata¯ra (incarnation) of
MAGNA MATER SEE CYBELE
Vis:n:u.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAHA¯BHA¯RATA
5595
The main story begins when Vis:n:u and other gods de-
bly hall, and when she protests, Karn:a commands Duh:´sa¯sana
scend or in some way assume human forms to relieve the
to disrobe her. But Duh:´sa¯sana is unsuccessful, for new saris
burden of the goddess Earth, who is oppressed by demons.
keep descending upon Draupad¯ı—according to most ver-
Following a succession crisis in the Lunar (i.e., Bha¯rata)
sions, thanks to her prayer to Kr:s:n:a—to keep her covered.
dynasty, which rules India’s “middle region,” demons (as-
When Draupad¯ı is thus miraculously saved, Dhr:tara¯s:t:ra
uras) infiltrate the royal lineages of the other kingdoms. In
grants her husbands their freedom and returns their weap-
this situation two groups of cousins are born into the central
ons, which the Pa¯n:d:avas will use in the war to fulfill their
lineage, each with its own succession claims: the five sons of
vows to destroy Draupad¯ı’s offenders.
King Pa¯n:d:u (the Pa¯n:d:avas) and the hundred sons (the
In a second gambling match the Pa¯n:d:avas lose again,
Kauravas) of Pa¯n:d:u’s older brother, Dhr:tara¯s:t:ra, who is pre-
and together with Draupad¯ı they are exiled for thirteen
vented by blindness from ruling. The Pa¯n:d:avas are actually
years. The last year must be spent incognito if they are to get
sons of gods, and their birth is part of the divine plan to res-
back their kingdom. They adopt disguises and escape detec-
cue Earth. By means of a mantra their mothers (Kunt¯ı, the
tion, yet when the thirteen years are over Duryodhana refuses
senior wife of Pa¯n:d:u, and Ma¯dr¯ı, the junior wife) had in-
to return the Pa¯n:d:avas’ half of the kingdom. But the brothers
voked deities to sire them, thus circumventing a curse that
have spent their exile in pilgrimage and penance (Arjuna in
would have caused Pa¯n:d:u’s death had he had sexual relations
particular has done tapas to get weapons from S´iva). Their
with his wives. Thus, with Kunt¯ı, the god Dharma sired
last year in exile has the character of a d¯ık´sa¯ (consecration
Yudhis:t:hira, Va¯yu sired Bh¯ıma, and Indra sired Arjuna; with
preparatory to a sacrifice), and they have thus prepared
Ma¯dr¯ı, the twin A´svins sired the twins Nakula and Sahadeva.
themselves for the sacrifice of battle.
Following the interpretation of Wikander and Dumézil,
As the war looms, Kr:s:n:a’s role becomes increasingly
these groups of gods and heroes may be seen to represent a
central. Although he serves as the Pa¯n:d:avas’ peace ambassa-
hierarchical axis within the Vedic (and Indo-European) pan-
dor and is himself sworn to noncombatancy, he actually pre-
theon that further evokes the order of the upper three Aryan
pares both sides for war. Then, just before the first day’s bat-
classes (varn:as) and, more archaically, what Dumézil has
tle, as Arjuna’s charioteer he “sings” the Bhagavadg¯ıta¯, thus
called the three functions: (1) religious sovereignty and law
convincing Arjuna of his duty to fight. The eighteen-day war
(Dharma and Yudhis:t:hira), (2) warfare (Va¯yu and Bh¯ıma,
on the plain of Kuruks:etra (an ancient sacrificial terrain) then
Indra and Arjuna), and (3) economic welfare and service (the
follows, in which all the divine and demonic forces converge
A´svins and the twins). While the Pa¯n:d:avas thus represent the
in a vast holocaust that has been variously interpreted as a
nucleus of social and divine hierarchy and the principle of
sacrifice or as the end of the universe (pralaya). By leading
dharma, their hundred cousins—incarnations of ra¯ks:asas
the Pa¯n:d:avas to victory, Kr:s:n:a as avata¯ra achieves his task
(disruptive goblins), except for the eldest, Duryodhana, who
of relieving Earth’s burden and renovating the dharma at the
is an incarnation of the asura Kali (Discord), the demon of
juncture between the dva¯para and kaliyugas, the latter of
the kaliyuga—represent undifferentiated chaos and adharma.
which is our present age.
During their youth the two groups of cousins vie with
each other and form alliances that continue into the war.
SEE ALSO Arjuna; Bhagavadg¯ıta¯; Epics; Indo-European Reli-
Thus Karn:a, son of Kunt¯ı and the sun god Su¯rya (Kunt¯ı had
gions, overview article; Kr:s:n:a; Kuruks:etra.
first tried out her mantra with Su¯rya before marriage, and
then abandoned the son), allies with Duryodhana. At the
BIBLIOGRAPHY
Pa¯n:d:avas’ polyandric wedding with Draupad¯ı (incarnation
The most accessible full translation is that by P. C. Roy and K.
of S´r¯ı, goddess of prosperity), they ally themselves with
M. Ganguli, The Mahabharata of Krishna-Dwaipayana
Draupad¯ı’s brother Dhr:s:t:adyumna, the incarnation of Agni
Vyasa, 12 vols. (1884–1896), 2d ed. (Calcutta, 1970). A par-
tial translation by J. A. B. van Buitenen, The Maha¯bha¯rata,
(Fire), who will lead their army. It is also at the marriage of
3 vols. (Chicago, 1973–1978), covers five of the epic’s eigh-
Draupad¯ı that the Pa¯n:d:avas first meet their cousin Kr:s:n:a
teen books and is now being continued by several translators.
(who is Kunt¯ı’s brother’s son) and consolidate their relation
C. V. Narasimhan’s The Maha¯bha¯rata (New York, 1965) is
with him.
the best abridgment.
For a brief period the two parties divide the kingdom;
Early work on the Maha¯bha¯rata culminates and is best summa-
the Kauravas retain the ancestral throne at Ha¯stinapura,
rized in E. Washburn Hopkins’s The Great Epic of India
while the Pa¯n:d:avas build a new palace at Indraprastha. But
(1901; reprint, Calcutta, 1969) and Epic Mythology (1915;
when Yudhis:t:hira performs a Ra¯jasu¯ya sacrifice to lay claim
reprint, New York, 1969). Stig Wikander’s “Pa¯n:d:ava-sagan
och Maha¯bha¯ratas mytiska forutsattningar,” Religion och
to universal sovereignty, Duryodhana is inconsolable until
Bibel 6 (1947): 27–39, can also be read in French in Georges
his friends suggest he invite the Pa¯n:d:avas to a dice match and
Dumézil’s Jupiter Mars Quirinus, vol. 4, Explication de textes
win their wealth at gambling. At the dice match Yudhis:t:hira
indiens et latins (Paris, 1948). Dumézil’s own most compre-
gambles away everything; the last stakes are his brothers,
hensive treatment of the Maha¯bha¯rata can be found in his
himself, and finally Draupad¯ı. Duryodhana then orders his
Mythe et épopée, vol. 1, L’idéologie des trois fonctions dans les
vilest brother, Duh:´sa¯sana, to drag Draupad¯ı into the assem-
épopées des peuples indo-européens (Paris, 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
MAHA¯MUDRA¯
5596
Other works that develop various views in connection with Indo-
maha¯mudra¯ is the Mañju´sr¯ımu¯lakalpa (c. seventh century),
European and Indian myth and ritual include Madeleine
where the term refers primarily to a “five-peaked” hand-
Biardeau’s “Études de mythologie hindoue, Chap. II, Bhakti
position said to be the “heart-gesture of the tatha¯gatas,” pure
et avata¯ra,” Bulletin de l’École Française d’Extrême Orient 63
and stainless, the accomplishment of all worldly and ultimate
(1976): 111–263 and 65 (1978): 87–238; Alf Hiltebeitel’s
aims, the highest of all dharmas. Maha¯mudra¯ is mentioned
The Ritual of Battle: Krishna in the “Maha¯bha¯rata” (Ithaca,
N.Y., 1976); Heino Gehrts’s Maha¯bha¯rata: Das Geschehen
with increasing frequency in the more soteriologically ori-
und seine Bedeutung (Bonn, 1975); and Jacques Scheuer’s
ented yoga Tantras (first appearing in the late seventh centu-
S´iva dans le Maha¯bha¯rata (Paris, 1982). See also Vishnu S.
ry). In such texts as the Tattvasam
˙ graha and the
Sukthankar’s On the Meaning of the Maha¯bha¯rata (Bombay,
Vajra´sekhara-tantra, maha¯mudra¯ is linked with three other
1957), which emphasizes the epic’s reliance upon Upanisadic
mudra¯s—the action (karma), pledge (samaya), and dharma
formulations, and B. B. Lal’s “Excavation at Hastina¯pura and
seals—employed to confirm particular meditative attain-
Other Explorations in the Upper Ganga¯ and Sutlej Basins,
ments. Maha¯mudra¯ here connotes a series of hand positions,
1950–52,” Ancient India 10/11 (1954/55): 5–151, which
mantra recitations, and visualizations that symbolize and
discusses epic place names in relation to Painted Gray Ware.
help to effect one’s complete identification with a deity’s di-
New Sources
vine form or awakening mind (bodhicitta). The maha¯yoga
Hiltebeitel, Alf. Rethinking the Mahabharata: A Reader’s Guide to
Tantras (first appearing around the eighth century) maintain
the Education of the Dharma King. Chicago, 2001.
the yoga Tantras’ concern with complex, man:d:ala-based
ALF HILTEBEITEL (1987)
meditative practices (the “creation stage,” utpattikrama), but
Revised Bibliography
also emphasize yoga within the human subtle body (the
“completion stage,” utpannakrama), and explicitly evoke
erotic, violent, and other transgressive themes. In the
MAHA¯MUDRA¯
Guhyasama¯ja, an important maha¯yoga Tantra, maha¯mudra¯
is a multivalent term of great impor-
has multiple meanings, including a contemplation-recitation
tance in later Indian Buddhism and Tibetan Buddhism. It
conducive to the adamantine body, speech, and mind of the
also occurs occasionally in Hindu and East Asian Buddhist
tatha¯gatas; and the object—emptiness—through realization
esotericism. Best translated from Sanskrit as “the great seal,”
maha¯mudra¯ denotes a ritual hand-gesture, one of a sequence
of which “all is accomplished.” Elsewhere, the Guhyasama¯ja
of “seals” in Tantric practice, the nature of reality as empti-
describes the awakening mind—synonymous with
ness, a meditation procedure focusing on the nature of mind,
ma¯hamudra¯—as primordially unborn, empty, unarisen,
an innate blissful gnosis cognizing emptiness nondually, or
nonexistent, devoid of self, naturally luminous, and immacu-
the supreme attainment of buddhahood at the culmination
late like the sky.
of the Tantric path. Maha¯mudra¯ is best known as a central
In the elaborate, sexually charged, and profoundly gnos-
feature of the philosophical view, meditative practice, and
tic yogin¯ı Tantras (first appearing around the late eighth cen-
conception of enlightenment in the Bka’ brgyud (Kagyu)
tury), maha¯mudra¯ emerges as a major Buddhist concept.
sect of Tibetan Buddhism, but it has a place in most Tibetan
Though still connected there to creation-stage man:d:ala-
Buddhist traditions, as it did in late Indian Buddhist Tantric
practice, it is more often related to completion-stage medita-
literature. It has inspired devout meditation, profound phi-
tions involving the manipulation of mental and physical
losophy, and brilliant poetry throughout the Indo-Tibetan
forces in the subtle body so as to produce a divine form and
Buddhist world for over a millennium. Any attempt to write
a luminous, blissful, nonconceptual gnosis. In the comple-
a “history” of maha¯mudra¯ is complicated by the concept’s
tion-stage discussions in such Tantric systems as the Hevajra,
complexity, as well as uncertainties about the Indian and Ti-
Cakrasam
˙ vara, and Ka¯lacakra, maha¯mudra¯ has three espe-
betan texts and authors crucial to understanding it. With
cially important meanings. First, it may refer to a practition-
these difficulties in mind, this survey will attempt to reflect
er’s female consort in sexual yoga practices. Second, as be-
general scholarly consensus on the evolution of the concept
fore, it is one of a sequence of mudra¯s corresponding to
of maha¯mudra¯ in India, its articulation in Tibet, practices
various Buddhist concepts, experiences, and path-stages.
characteristic of it in Bka’ brgyud tradition, and controver-
Here, though, it usually is the culmination of the series, a
sies over its interpretation.
direct realization of the nature of mind and reality that tran-
MAHA¯MUDRA¯ IN INDIA. The history of maha¯mudra¯ in India
scends and perfects other, more conventional seals, including
may tentatively be traced through the roughly chronological
those involving actual or visualized sexual yoga. Third,
Tantric traditions that arose there and the works of the great
maha¯mudra¯ by itself connotes the ultimate truth, realization,
adepts (maha¯siddhas) who expounded on Tantric themes in
or achievement of yogin¯ı Tantra practice: the great seal that
song and treatise.
marks all phenomena and experiences; a synonym for such-
Maha¯mudra¯ in the Tantras. In the ritually focused
ness, sameness, emptiness, space, and the goddess Naira¯tmya¯
kriya¯ and carya¯ Tantras, as in much Indian yogic literature,
(no-self); unchanging bliss beyond object and subject, shape,
the term mudra¯ refers to a hand-position that “seals” reli-
thought, or expression; and the ultimate gnostic attainment,
gious procedures. Perhaps the first text to mention
maha¯mudra¯-siddh¯ı.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAHA¯MUDRA¯
5597
The Maha¯siddhas. Despite maha¯mudra¯’s apparent ori-
cal, or soteriological, and it had become a crucial Buddhist
gin in the Tantras, the “canons” of maha¯mudra¯ texts identi-
term that could describe the nature of reality and of the
fied later by Tibetan scholars consist primarily of collections
mind, a ritual or meditative procedure for seeing that nature,
of Tantric commentaries, treatises, and songs attributed to
and the enlightenment ensuing from that realization. Its us-
the elusive, charismatic, and unconventional maha¯siddhas
ages sometimes were deeply Tantric, as when related to com-
who were prominent in north Indian Buddhism before and
pletion-stage notions like great bliss and luminosity, and
just after 1000 CE. Many of these maha¯siddhas practiced the
sometimes more evocative of philosophical and meditative
yogin¯ı Tantras, and thus placed maha¯mudra¯ near the center
themes in Maha¯yana¯ wisdom traditions, including Madhya-
of their conceptual world, alongside such related notions as
maka and Yoga¯ca¯ra. Though these Tantric and non-Tantric
the yogin¯ı or d:a¯kin¯ı, emptiness, great bliss, the innate (saha-
approaches would eventually be distinguished, in the syn-
ja), and nonduality—and the gnosis comprehending all of
cretic milieu of late Indian Buddhism, they were virtually in-
these. They often expressed themselves in colorful and para-
separable.
doxical language, and utilized a “rhetoric of immediacy” to
MAHA¯MUDRA¯ IN TIBET. Some Tibetan Buddhists probably
emphasize a natural, nonconceptual approach to life and lib-
were familiar with maha¯mudra¯ (Tib., phyag rgya chen po) as
eration.
early as the ninth century, during the imperial period, when
Three of their collections were given special attention
Indian Tantras using the term were first translated into Ti-
by Tibetan traditions. The “Seven Texts on Attainment,” in-
betan. Maha¯mudra¯’s real importance in Tibet, however,
cluding Padmavajra’s Guhyasiddhi, Indrabhu¯ti’s Jña¯nasiddhi,
dates from the eleventh-century “renaissance” of Buddhism
and Laks:m¯ın˙kara¯’s Advayasiddhi, are poetic commentaries
there. Traditions originating in this period all were shaped
on themes in the maha¯yoga and yogin¯ı Tantras. Maha¯mudra¯
by the maha¯yoga and, especially, yogin¯ı Tantra systems that
is mentioned occasionally, usually denoting “ultimates” such
dominated late Indian Buddhism, so they usually accounted
as the nature of mind, nonconceptual awareness, and a bud-
for maha¯mudra¯ in their descriptions of the Buddhist path.
dha’s dharma body; maha¯mudra¯ also is explicitly synony-
Maha¯mudra¯ was relatively peripheral among the Bka’ gdams
mous with such common terms as the innate and nonduality.
(Kadam), who de-emphasized the Tantras in favor of prac-
The “Trilogy on the Essential” comprises the “King,”
tices concerned with renunciation, compassion, and wisdom;
“Queen,” and “People” couplet-treasuries (doha¯kos:as) credit-
the Sa skya (Sakya), who were heir to many maha¯siddha tra-
ed by Tibetan tradition to Saraha. These texts seldom refer
ditions, but tended to restrict the term to the final result of
to maha¯mudra¯, but they do mention related concepts like the
the Tantric path, maha¯mudra¯-siddhi; and the Rnying ma
innate, nonduality, great bliss, the yogin¯ı, and buddhahood;
(Nyingma), whose central concern was the Great Perfection
other songs ascribed to Saraha mention maha¯mudra¯ often,
(Rdzogs chen), which is described much like maha¯mudra¯, but
describing it as, for instance, “the lamp of innate gnosis,” the
arose from different Tantric contexts. Maha¯mudra¯ was more
union of method and wisdom, emptiness, uninterrupted
central to Zhi byed, Gcod, and Shangs pa Bka’ brgyud,
bliss, and mind itself. The “Twenty-Five [Texts] on the
where it was closely connected to both Tantric practices and
Dharma of Unthinking,” attributed to Maitr¯ıpa (1007–
Maha¯ya¯na wisdom perspectives. These traditions never de-
1085), contain few overt references to either maha¯mudra¯ or
veloped strong institutional bases, and their practices eventu-
unthinking (amanasika¯ra), but do discuss the attainment of
ally were absorbed by other sects.
a nonconceptual realization equivalent to maha¯mudra¯.
Early Bka’ brgyud. It was in the traditions of the Dvags
Maitr¯ıpa addresses maha¯mudra¯ frequently in other texts as-
po Bka’ brgyud (Dakpo Kagyu) that maha¯mudra¯ became
cribed to him, most notably the Maha¯mudra¯kanakama¯la¯,
central, and their long-term success helped assure
which provides a long list of “ultimate” synonyms for it, and
maha¯mudra¯’s place in Tibetan religious discourse. The Ti-
concludes that “the path of maha¯mudra¯ is unthinking.”
betan progenitor of the Dvags po Bka’ brgyud was Mar pa
Other siddhas also expounded on maha¯mudra¯, includ-
Chos kyi blo gros (Marpa, 1012–1097), a farmer and transla-
ing Na¯ga¯rjuna, S´avaripa, Tilopa, Na¯ropa, Viru¯pa, and
tor who traveled to India to acquire texts and teachings, and
Vajra¯pani. The maha¯siddhas not only sang maha¯mudra¯’s
who studied there with the maha¯siddha Maitr¯ıpa, under
praises, but sometimes analyzed it in terms of other Tantric
whose guidance he claimed to have attained
mudra¯s, as well as Maha¯yana¯ “Perfection Vehicle” concepts
maha¯mudra¯-realization. Tradition also claims he met the
like emptiness, mind-only, and tatha¯gata-garbha, or buddha-
scholar-yogin Na¯ropa (c. 966–1040), who taught him the
nature. They also divided maha¯mudra¯ into sequences of
completion-stage practices called the “Six Dharmas of
basis, path, and result—or view, meditation, action, and re-
Na¯ropa” (inner heat, illusory body, dream, clear light, inter-
sult—and increasingly identified it as a distinct style of medi-
mediate state, and consciousness-transfer), as well as
tation in which, by various means, one settles nonconceptu-
maha¯mudra¯ instructions received from his teacher, Tilopa
ally into contemplation of the nature of mind as empty,
(fl. tenth century). Mar pa and his greatest disciple, the ascet-
luminous, blissful gnosis.
ic yogin Mi la ras pa (Milarepa, 1028/40–1111/23), adapted
Indian Tantric song styles to Tibetan forms, and maha¯mudra¯
By the end of the Buddhist period in India, maha¯mudra¯
is often referred to in poems attributed to them. Their usages
evoked a variety of meanings, whether ritual, yogic, ontologi-
are multiple, but two are especially prominent: maha¯mudra¯
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAHA¯MUDRA¯
5598
as related to Tantric completion-stage practices like the Six
cal concepts like tatha¯gata-garbha and extrinsic emptiness
Dharmas of Na¯ropa, and maha¯mudra¯ as a wisdom-tradition
(gzhan stong), and explored similarities between maha¯mudra¯
technique for directly seeing the nature of mind as primordi-
and the Rnying ma Great Perfection. Gtsang smyon Heruka
ally empty, luminous, and blissful—though Mar pa and Mi
(Tsangnyön Heruka, 1452–1507) composed classic hagio-
la ras pa probably did not make such a distinction.
graphies of Mar pa and Mi la ras pa, and the definitive collec-
tion of Mi la’s songs; maha¯mudra¯ features prominently in all
Mi la ras pa’s disciple Sgam po pa Bsod nams rin chen,
three. Dvags po Bkra shis rnam rgyal (Dakpo Tashi Nam-
or Dvags po lha rje (Gampopa Sonam Rinchen, 1079–
gyel, 1512–1587) wrote a still-influential compendium on
1153), however, apparently took maha¯mudra¯ to connote re-
maha¯mudra¯ covering su¯tra and Tantra sources, gradual and
alization of the ultimate either through completion-stage
sudden paths, calm and insight meditation, and the four
Tantric practice (the “path of means”) or “Perfection Vehi-
cle” wisdom and insight (the “path of liberation”). For the
yogas. ’Brug chen Padma dkar po (Drukchen Pema Karpo,
latter, initiation is not required; one must, rather, secure the
1527–1592) composed maha¯mudra¯ meditation manuals, a
blessings (byin rlabs) of one’s guru, who gives a direct indica-
history of Bka’ brgyud lineages, and treatises examining
tion (ngo sprod) of mind’s nature. Sgam po pa also described
maha¯mudra¯ in relation to Tantric theory and Madhyamaka
maha¯mudra¯ as an “essential vehicle” beyond su¯tra or Tantra,
philosophy. Synthetic trends emerged, too. Partly inspired
a realization that seals all phenomena and leads to enlighten-
by the Bka’ brgyud, the first Panchen Lama, Blo bzang chos
ment, either gradually through four yogas—one-point-
kyi rgyal mtshan (Lobsang Chökyi Gyaltsen, 1570–1662),
edness, simplicity, single taste, and nonmeditation—or sud-
revealed a Dge lugs (Geluk) maha¯mudra¯ tradition—
denly, in an insight given such names as the “thunder-strike”
involving both su¯tra and Tantra approaches—that was
(thog babs) and the “white medicinal simple” (dkar po gcig
traced to Indian maha¯siddhas, but more directly credited to
thub). By combining Tantric and maha¯mudra¯ teachings
the sect’s founder, Tsong kha pa Blo bzang grags pa (Tsong-
learned from Mi la ras pa with virtue-based practices drawn
kapa Lobsang Drakpa, 1357–1419), who supposedly re-
from the Bka’ gdams, Sgam po pa laid the basis for later Bka’
ceived it in a vision from the wisdom bodhisattva, Mañju´sr¯ı.
brgyud ideology and praxis, and his disciples and subdisci-
Rnying ma pas absorbed maha¯mudra¯ into their Great Perfec-
ples—who included both scholarly monks and “crazy”
tion system, while Karma chags med (Karma Chakme,
(smyon pa) hermits—founded numerous subsects that be-
1613–1678) brought the Great Perfection within the com-
came the backbone of institutional Bka’ brgyud, most nota-
pass of Bka’ brgyud maha¯mudra¯ schemes. The nonsectarian
bly the Kar ma, ’Brug pa (Drukpa), and ’Bri gung (Drikung).
(ris med) master ’Jam mgon kong sprul Blo gros mtha’ yas
(Jamgön Kongtrul Lodrö Taye, 1813–1899) wrote exten-
In subsequent centuries, ’Bri gung ’Jig rten gsum mgon
sively on maha¯mudra¯, published Indian and Tibetan
(Drikung Jikten Sumgön, 1143–1217) promulgated the
maha¯mudra¯ texts, and entered into comparative discussion
Fivefold (lnga ldan) Maha¯mudra¯, in which realization of the
of “ultimates” with members of other traditions.
mind’s true nature is the culmination of gradual practices
drawn from Maha¯ya¯na and the Tantras; and the more radical
In the modern era, maha¯mudra¯ has continued to be cen-
Single Intention (dgongs gcig), where all principles and proce-
tral to Bka’ brgyud (and to a lesser degree, Dge lugs) theory
dures are subsumed under a single gnostic realization. Zhang
and practice. It often has been taught by modern lamas, and
tshal pa Brtson du grags (Zhangtselpa Tsöndudrak, 1123–
has great appeal for Western Buddhists, who often regard it
1193) emphasized the sudden realization of maha¯mudra¯ as
as a simple and natural approach to spiritual life, free of the
the “white medicinal simple,” but also explored it in terms
categories and complexities of more “culturally embedded”
of su¯tra-based Buddhist philosophical schools and paths to
Buddhist practices.
liberation; slow, rapid, and instantaneous practices; the four
Characteristic practices. Though the articulation of
yogas; and so on—as with ’Jig rten gsum mgon, maha¯mudra¯
maha¯mudra¯ was an ongoing process, and formulations of its
became a concept embracing all of Buddhism. The ’Brug pa
practice were various, certain patterns eventually emerged. In
master Gtsang pa Rgya ras pa (Tsangpa Gyarepa, 1161–
a typical Bka’ brgyud account, maha¯mudra¯ generally is divisi-
1211) and others began to describe a “canon” of Indian
ble into basis, path, and result, or, alternatively, view, medi-
maha¯mudra¯ texts drawn from the songs and treatises of
tation, action, and result. The basis is usually tatha¯gata-
the maha¯siddhas, the Tantras, and such Maha¯ya¯na texts
garbha, the mind’s actual or potential enlightened nature.
as the Prajña¯pa¯ramita¯ su¯tras, Sama¯dhira¯ja-su¯tra, and
Rightly viewing the basis provides the motive for entering
Uttaratantra-´sa¯stra. They also identified a number of lin-
the path. Paths are multiple, and divisible into meditation
eages of maha¯mudra¯ instruction, the most important of
and action. In an instantaneous path, one abides in the na-
which went back to Mar pa, thence in India either to Tilopa
ture of mind and acts spontaneously and compassionately
and Na¯ropa (the near lineage) or Saraha, Na¯ga¯rjuna,
right from the beginning. In a Tantric path, one identifies
S´avaripa, and Maitr¯ıpa (one version of a distant lineage).
with a deity such as Vajrayogin¯ı and masters completion-
Later developments. The third Karma pa, Rang byung
stage practices like the Six Dharmas of Na¯ropa, attaining per-
rdo rje (Rangjung Dorje, 1284–1339), wrote a popular poet-
fect gnosis and skill in acting, even if unconventionally, for
ic epitome of maha¯mudra¯, analyzed it in terms of philosophi-
the sake of others. In a gradual non-Tantric path (the one
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAHA¯MUDRA¯
5599
most commonly described), meditation commences with
tions (especially Zen and vipassana meditation), and to re-
standard devotional practices directed to one’s guru and vari-
ports of mystical experience the world around. Thus, though
ous deities. One next attains mental tranquility through con-
maha¯mudra¯ is a concept specific to Indian and Tibetan Bud-
centration on a single object—usually the nature of mind it-
dhist cultural settings, its implications transcend those con-
self—thereby experiencing clarity, bliss, and nonduality.
texts and suggest pan-Buddhist and universal human reli-
With the mind concentrated effortlessly on itself, one pro-
gious concerns.
ceeds to insight meditation, in which an analytic search for
any nonmental phenomenon anywhere, or any truly existent
SEE ALSO Buddhism, article on Buddhism in Tibet.
mind of any sort, yields literally nothing—or emptiness. One
moves then through the four phases of maha¯mudra¯ yoga:
BIBLIOGRAPHY
one-pointedness, where one is fixated on the nature of mind;
Broido, Michael M. “Padma dKar-po on the Two Satyas.” Journal
simplicity, where all mental elaboration is stilled in the expe-
of the International Association of Buddhist Studies 8, no. 2
rience of emptiness; single taste, where all phenomena are
(1985): 7–60. One of a number of scholarly and philosophi-
seen to be sealed by emptiness; and nonmeditation, where
cally sophisticated articles by Broido on the philosophy of
Padma dkar po.
the distinctions between meditation and action, between
sentient being and Buddha—indeed, all dualities—are re-
Chang, Garma C. C., trans. and ed. The Hundred Thousand Songs
solved in a perfectly integrated understanding. As meditative
of Milarepa: The Life-Story and Teaching of the Greatest Poet-
Saint Ever to Appear in the History of Buddhism. 2 vols. New
realization deepens, one’s actions are increasingly natural,
Hyde Park, N.Y., 1962; reprint, Boston, 1989. The greatest
joyous, and beneficial to others. When one is utterly delu-
collection of the poems of Tibet’s greatest poet, with ample
sion-free and completely identified with the luminous, bliss-
references to maha¯mudra¯. For songs attributed to a range of
ful, nondual gnosis that is one’s inmost nature, one achieves
Bka’ brgyud masters, see Na¯landa¯ Translation Committee,
the path’s result: the dharma, enjoyment, and emanation bo-
The Rain of Wisdom (Boulder, Colo., 1980).
dies of a fully enlightened buddha—which are no different
Dalai Lama, H. H., XIV, and Alexander Berzin. The Gelug/Kagyü
from the emptiness, luminosity, and appearances of the
Tradition of Mahamudra. Ithaca, N.Y., 1997. Detailed com-
mind itself. This is maha¯mudra¯-siddhi.
mentary on the first Panchen Lama’s seminal Dge lugs
maha¯mudra¯ text. For an account of completion-stage Tantric
Controversies. Discussions of maha¯mudra¯ in Tibet
maha¯mudra¯ according to the Dge lugs, see Geshe Kelsang
raised several important philosophical and religious issues,
Gyatso, Clear Light of Bliss: Mahamudra in Vajrayana Bud-
which were debated vigorously. Sa skya Pan:d:ita Kun dga’
dhism (London, 1982; 2d ed., 1992).
rgyal mtshan (Sakya Pan:d:ita, 1182–1251) argued that some
The Eighth Situpa and the Third Karma pa. Maha¯mudra¯ Teach-
Bka’ brgyud maha¯mudra¯ teachings derived not from pure In-
ings of the Supreme Siddhas. Translated by Lama Sherab
dian lineages, but from discredited Chinese Chan influences;
Dorje. Ithaca, N.Y., 1995. Includes the third Karma pa’s
that there could be no such thing as a su¯tra-based
popular “Aspiration Prayer of Maha¯mudra¯,” with a learned
maha¯mudra¯ because maha¯mudra¯-siddhi only can result from
and citation-rich commentary on it by the eighteenth-
advanced Tantric practice; and that the Bka’ brgyud rhetoric
century scholar Si tu pan: chen Chos kyi byung gnas.
of immediacy was spiritually dangerous because it suggested
Farrow, G. W., and I. Menon, eds. and trans. The Concealed Es-
that enlightenment was attainable through sudden insight
sence of the Hevajra Tantra, with the Commentary
alone, without recourse to gradual, virtue-based religious
Yogaratnama¯la¯. Delhi, 1992. Includes Sanskrit and English
methods. Later Bka’ brgyud (and Dge lugs) scholars rejected
of the root-Tantra, and English translation of
Sa skya Pan:d:ita criticisms, asserting that maha¯mudra¯’s Indi-
Ka¯n:ha/Kr:s:n:a¯ca¯rya’s commentary on it. See also David Snell-
an roots were unassailable, its meaning articulated in both
grove’s two-volume edition and translation of the root-
Tantra: The Hevajra Tantra (London, 1959).
su¯tras and Tantras, and its “sudden” rhetoric inclusive of vir-
tue—and intended only for advanced practitioners.
’Gos lo tsa¯ ba Gzhon nu dpal. The Blue Annals. Translated by
George N. Roerich. Calcutta, 1949–1953; reprint, Delhi,
Controversies also arose over whether maha¯mudra¯ as a
1979. This great chronicle, written by a Bka’ brgyud pa, con-
gnosis realizing emptiness is intrinsically empty of inherent
tains countless references to maha¯mudra¯ traditions in Tibet
existence just as worldly phenomena are (the rang stong
from the eleventh to fifteenth century.
view), or empty solely of worldly qualities extrinsic to it, itself
Guenther, Herbert V., trans. Ecstatic Spontaneity: Saraha’s Three
being pure and permanent (the gzhan stong view); whether
Cycles of Doha. Berkeley, 1993. Idiosyncratic and philosophi-
meditative experiences of clarity, bliss, and nonduality reflect
cally challenging translation of Saraha’s “Trilogy on the Es-
genuine attainment, or are merely deceptions; and whether
sential.” Earlier works by Guenther include The Life and
the multiple terms by which Tibetan Buddhists described the
Teaching of Na¯ropa (London, 1963), which is a translation
of a hagiography of Na¯ropa, with detailed discussion of the
ultimate (maha¯mudra¯, Great Perfection, Madhyamaka, and
Tantric practices he received from Tilopa, including
so on) had identical or different referents. This latter discus-
maha¯mudra¯ and the Six Dharmas; and The Tantric View of
sion resonates still among contemporary Buddhists, who de-
Life (Boulder, Colo., 1972), which contains frequent refer-
bate how maha¯mudra¯ might relate to other Tibetan notions
ences to maha¯mudra¯, and many quotations from little-
of ultimacy, to ideas and practices in other Buddhist tradi-
studied texts by Indian Buddhist maha¯siddhas.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAHA¯MUDRA¯
5600
Gyaltsen, Khenpo Könchog, trans. and ed., and Katherine Rogers,
Namgyal, Takpo Tashi. Maha¯mudra¯: The Quintessence of Mind
co-trans. and ed. The Garland of Mahamudra Practices: A
and Meditation. Translated and annotated by Lobsang P.
Translation of Kunga Rinchen’s Clarifying the Jewel Rosary of
Lhalungpa. Boston, 1986. Excellent, if under-annotated,
the Profound Fivefold Path. Ithaca, N.Y., 1986. A sixteenth-
translation of Dvags po Bkra shis rnam rgyal’s classic tome,
century account of the ’Bri gung Bka’ brgyud Fivefold
the Phyag chen zla ba’i ’od zer (Moonbeams of maha¯mudra¯);
Maha¯mudra¯ practice.
a wealth of philosophical analysis, practical advice, and textu-
Gyatso, Janet. “Healing with Fire: The Facilitations of Experience
al citations. For other maha¯mudra¯ manuals, see Stephan
in Tibetan Buddhism.” Journal of the American Academy of
Beyer, trans., The Buddhist Experience: Sources and Interpreta-
Religion 67, no. 1 (1999): 113–147. Discusses the concept
tions, pp. 154–161 (Encino, Calif., 1974), which is medita-
of “experience” in relation to Tibetan Buddhist meditation
tion advice from Padma dkar po; Tsele Natsok Rangdrol,
traditions, including the Great Perfection and, especially,
The Lamp of Mahamudra, translated by Eric Pema Kunsang
maha¯mudra¯.
(Boston, 1989), an account by a modern lama; and Jamgon
Kongtrul III, Cloudless Sky: The Mahamudra Path of the Ti-
Hookham, Susan K. The Buddha Within: Tathagatagarbha Doc-
betan Buddhist Kagyü School, edited and translated by Tina
trine according to the Shentong Interpretation of the Ratna-
Drasczyk, Alex Drasczyk, and Richard Gravel (Boston,
gotravibhaga. Albany, N.Y., 1991. Discussion of Tibetan dis-
1992), which includes a poem on maha¯mudra¯ by the first
putes over intrinsic and extrinsic emptiness, with special
Jam mgon kong sprul, and a practical commentary on it by
focus on the Uttaratantra, an Indian poetic treatise regarded
a recent successor.
by Bka’ brgyud pas as central to Perfection-Vehicle
maha¯mudra¯.
Robinson, James B., trans. Buddha’s Lions: The Lives of the Eighty-
Jackson, David P. Enlightenment by a Single Means: Tibetan Con-
Four Siddhas. Berkeley, 1975. Straightforward translation of
troversies on the “Self-Sufficient White Remedy.” Vienna,
Abhayadatta´sr¯ı’s Catura´s¯ıtisiddhapravr:tti, the most influen-
1994. Analysis of the debate over maha¯mudra¯ between Sa
tial Indian collection of maha¯siddha hagiographies; it also in-
skya pas and Bka’ brgyud pas; contains much useful informa-
cludes a list of all works attributed to the maha¯siddhas in the
tion on and extracts from the writings of Sgam po pa and
Peking Tibetan Tripit:aka. For an alternative translation, see
Zhang tshal pa.
Keith Dowman, Masters of Maha¯mudra¯ (Albany, N.Y.,
1985).
Jackson, Roger R., trans. and ed. Tantric Treasures: Three Collec-
tions of Mystical Verse from Buddhist India, pp. 53–116. Ox-
Ruegg, David Seyfort. “A Kar ma bKa’ brgyud Work on the Lin-
ford, 2004. Includes original texts and translations of
eages and Traditions of the Indo-Tibetan dBu ma (Madhya-
Saraha’s “People” Doha¯kos:a, and doha¯kos:as by Ka¯n:ha and
maka).” In Orientalia Iosephi Tucci Memoriae Dicata, edited
Tilopa. For Indian Buddhist songs in a related genre, see Per
by G. Gnoli and L. Lanciotti, pp. 1249–1280. Rome, 1988.
Kvaerne, An Anthology of Buddhist Tantric Songs: A Study of
This study of a sixteenth-century work includes interesting
the Carya¯g¯ıti (Oslo, 1977).
material on the relation among Tantra, Madhyamaka, and
Karma Chagmé. A Spacious Path to Freedom: Practical Instructions
maha¯mudra¯.
on the Union of Mahamudra and Atiyoga. Translated by B.
Snellgrove, David L. Indo-Tibetan Buddhism. 2 vols. Boston,
Alan Wallace. Ithaca, N.Y., 1998. One of several translations
1987. Classic account of Indian Buddhist Tantra and the
of the most famous attempt at a maha¯mudra¯/Great Perfec-
early Tibetan renaissance; helpful for understanding
tion synthesis; includes commentary by a modern Rnying ma
maha¯mudra¯ within its broader social and religious context.
lama, Gyatrul Rinpoche.
For a briefer, but still authoritative discussion of Indian Bud-
Kragh, Ulrich. “Culture and Subculture: A Study of the
dhist Tantra, see Paul Williams, with Anthony Tribe, Bud-
Maha¯mudra¯ Teachings of Sgam po pa.” M.A. research paper
dhist Thought: A Complete Introduction to the Indian Tradi-
(speciale), University of Copenhagen, 1998. Surveys Sgam po
tion, pp. 192–244 (London, 2000).
pa’s literary output and discusses his complex views on the
nature of maha¯mudra¯.
Ta¯rana¯tha. The Seven Instruction Lineages: bKa’ babs bdun ldan.
Translated and edited by David Templeman. Dharamsala,
Kvaerne, Per. “On the Concept of Sahaja in Indian Buddhist
India, 1983. See pages 2–14. Life stories of the lineage hold-
Tantric Literature.” Temenos 11 (1975): 88–135. Pioneering
ers of various Indian practice-traditions, including that of
study of a term often regarded as synonymous with
maha¯mudra¯, by a sixteenth-century Tibetan philosopher and
maha¯mudra¯, especially in its Indian context. For a more re-
historian.
cent study, see Ronald M. Davidson, “Reframing Sahaja:
Genre, Representation, Ritual, and Lineage.” Journal of Indi-
Tatz, Mark. “The Life of the Siddha-Philosopher Maitr¯ıgupta.”
an Philosophy 30 (2002): 45–83.
Journal of the American Oriental Society 107 (1987): 695–
Martin Dan. “A Twelfth-Century Tibetan Classic of Maha¯mudra¯:
711. The best scholarly study of the life of the great eleventh-
The Path of Ultimate Profundity: The Great Seal Instructions
century Indian maha¯mudra¯ master.
of Zhang.” Journal of the International Association of Buddhist
Thaye, Jampa. A Garland of Gold: The Early Kagyu Masters of
Studies 15 (1992): 243–319. Pioneering translation of Zhang
India and Tibet. Bristol, UK, 1990. Includes brief biogra-
tshal pa’s great poem on maha¯mudra¯.
phies of Indian and Tibetan teachers crucial to Bka’ brgyud
Mishra, Ramprasad. Advayasiddhi: The Tantric View of
maha¯mudra¯ traditions, and translations of doha¯s by Tilopa,
Laks:m¯ın˙kara¯. New Delhi, 1993. Sanskrit text, English trans-
Na¯ropa, S´avaripa, Mar pa, and Mi la ras pa. For more exten-
lation, and commentary on one of the “Seven [Texts] on Ac-
sive biographies, drawn from an early Bka’ brgyud source, see
complishment.”
Khenpo Könchog Gyaltsen, trans., The Great Kagyu Masters:
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAHA¯SA¯M
: GHIKA
5601
The Golden Lineage Treasury, edited by Victoria Hucken-
A¯gama became a separate Pit:aka called Sam:yukta Pit:aka. Ac-
pahler (Ithaca, N.Y., 1990).
cording to some sources this section came to include “vaipu-
R
lya su¯tras,” an expression that could refer to Maha¯ya¯na texts.
OGER R. JACKSON (2005)
The last addition to the Maha¯sa¯m:ghika Tripit:aka was a fifth
section, the Dha¯ran:¯ı Pit:aka, a collection of spells and incan-
tations. Some accounts, however, say that the fifth Pit:aka was
MAHARAL OF PRAGUE SEE LÖW, YEHUDAH
a Bodhisattva Pit:aka, which presumably refers to a collection
BEN BETSALDEL OF PRAGUE
of Maha¯ya¯na texts.
Unfortunately, little remains of this canon and it is now
impossible to confirm or even clarify such general state-
MAHA¯SA¯M:GHIKA. One of the earliest of the
ments. The Pra¯timoks:a of the Maha¯sa¯m:ghika survives in its
non-Maha¯ya¯na Buddhist “sects” (the so-called Eighteen
original Sanskrit, and part of the Vinaya survives in the San-
Schools of H¯ınaya¯na Buddhism), the Maha¯sa¯m:ghika has
skrit work Maha¯vastu, which claims in its colophon to be a
been generally considered the precursor of Maha¯ya¯na. How-
work of the Lokottarava¯din Maha¯sa¯m:ghika of Central India.
ever, although the Maha¯sa¯m:ghika and its subschools es-
Apart from these and a few fragments of the Vinaya and the
poused many of the most radical views later attributed to the
Su¯tra section of their canon found at Ba¯miya¯n, the rest of
“Great Vehicle,” other factors and early schools also contrib-
the Indian texts of the school are lost. Even in translation
uted to the development of this movement.
only a few texts survive. There is a Chinese translation of
their Vinaya by Faxian, and what seems to be part of their
EARLY DEVELOPMENT. Traditional accounts differ on the
Su¯tra Pit:aka (Ekottara¯gama). The latter text appears to be a
occasion and reason for the schism that gave rise to the
translation from a prakritic language. There is also a distinct
Maha¯sa¯m:ghika. Some accounts claim that the Maha¯s-
Maha¯sa¯m:ghika influence on a Dharmaguptaka text, the
a
¯m:ghika separated from the Sthavira at the time of the Sec-
S´a¯riputra¯bhidharma S´a¯stra.
ond Buddhist Council (Vai´sa¯l¯ı, c. 340 BCE), others, that it
occurred during a third council (sometimes confused with
The Maha¯vastu—the Buddhist Hybrid Sanskrit text of
the Third Council held at Pa¯t:aliputra under King A´soka, 244
which was preserved in Nepal as a Maha¯ya¯na Su¯tra—
BCE). The reasons for the schism have also been much debat-
represents only that section of the Vinaya that establishes the
ed. It is agreed that the split was motivated by matters of mo-
“historical” basis for monastic institutions, that is, the life
nastic discipline, but scholars disagree on the precise issues
and early ministry of the Buddha. It is primarily a biography
at stake. Most Western scholars are inclined to accept that
of the Buddha from his meeting with D¯ıpam:kara to his first
the Maha¯sa¯m:ghika represented the more lax position in mat-
sermon and the conversion of the first disciples. It also con-
ters of discipline. Less common is the position of those who
tains a number of avada¯nas. But it contains no material on
would claim the opposite, pointing to the fact that the
matters of monastic discipline and its main narrative is inter-
Maha¯sa¯m:ghika had a very conservative Vinaya and that its
polated with numerous digressions, mostly stories of the
Pra¯timoks:a was as strict as that of other H¯ınaya¯na schools.
ja¯taka or avada¯na genre. Although the oldest portions of this
It seems therefore unlikely that laxness in monastic regula-
work must go back to the early stages of the formation of ca-
tions was the motive for the split.
nonical Buddhism, it contains numerous late interpolations
that place the extant recension in the fifth century CE.
Moreover, recent scholarship tends to distinguish the
dispute that provoked the Second Council, which ended in
Although the Maha¯vastu is regarded as a transitional
reconciliation in the order, from a dispute that probably oc-
work, for the most part it does not show doctrinal leanings
curred shortly thereafter (anywhere between sixteen and sixty
radically distinct from those of most Vinayas. There are,
years later). It was this latter dispute that produced the
however, a few clear signs of those elements of doctrine and
schism that divided the H¯ınaya¯na schools into its two major
language that have been traditionally considered characteris-
camps, the Sthaviras and the Maha¯sa¯m:ghikas. Be that as it
tics of Maha¯sa¯m:ghika, some of which also define Maha¯ya¯na.
may, it seems obvious that the Maha¯sa¯m:ghika criticized the
The text speaks of the Buddha’s lokottara (“supramundane”)
arhat ideal and exalted the image of the Buddha, turning the
status, of his presence in the world only by dint of an illusion
historical life of the founder into an event of secondary im-
created in order to conform to the aspirations and percep-
portance and the arhat ideal into an inferior goal. In this
tions of living beings. The fact that the Maha¯vastu is written
sense they were making an argument against tradition, and
in Hybrid Sanskrit would seem to confirm the tradition ac-
whatever the significance of their Vinaya may be, their doc-
cording to which the Maha¯sa¯m:ghika used some form of Pra-
trinal positions were clearly innovative.
krit in their religious literature.
LITERATURE. The Maha¯sa¯m:ghika tendency to innovate can
DOCTRINAL DEVELOPMENTS. The most characteristic doc-
be seen also in the content and structure of their Tripit:aka.
trine of the Maha¯sa¯m:ghika group are the famous “Five
Although in its early stages it is believed to have been com-
Points of Maha¯deva” (sometimes attributed to a certain Bha-
prised of only three parts (Su¯tra, Vinaya, and Abhidharma),
dra), an attack on the arhat that has been the object of at least
the Su¯tra Pit:aka was later expanded so that the Ks:udraka
two interpretations: it can be regarded as an argument 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
5602
MAHA¯SA¯M
: GHIKA
more lax moral standards or it can be seen as an indirect way
preferred Sanskrit as their canonical language, whereas the
of arguing for the value of the bodhisattva ideal. These five
groups in the South used Prakrit. Doctrinally, however, the
points are (1) that an arhat can be seduced by another
distinction is difficult to maintain, since the traditional
(para-upahr:ta—meaning that he can have nocturnal emis-
sources are often contradictory.
sions accompanied by an erotic dream); (2) that ignorance
Lokottarava¯. The Lokottarava¯dins seem to have em-
(ajña¯na) is not totally absent in an arhat (his spiritual insight
phasized the general docetic tendencies of the
does not give him knowledge of profane matters); (3) that
Maha¯sa¯m:ghika more than did the other subschools. Unfor-
an arhat can have doubts (kam:ks:a¯); (4) that an arhat can be
tunately, as the sources seem to conflate all doctrines of the
surpassed by another (para-vit¯ırn:a—a term of obscure
Maha¯sa¯m:ghika splinter groups into their general description
meaning); and (5) that an arhat can enter the higher stages
of the Maha¯sa¯m:ghika, it is difficult to distinguish one from
of the path by uttering a phrase (vacibheda) such as “Oh, sor-
the other or from the parent school. The tenet from which
row!” The exact meaning of these doctrines is far from obvi-
the Lokottarava¯ derives its name, the belief that the “career,”
ous. Even the general intent is not transparent; one may ask
or sequence of lives leading to and including the complete
if the Five Points imply that the arhat is more human than
enlightenment of Buddhas, is only a series of apparitional
he was thought to be in other schools, or that he is weaker
events, is also attributed to the main school. According to
than others believe. Or is the implication that the bodhisattva
this doctrine, Buddhas are supramundane; that is, they are
path is superior?
not human beings but perfectly pure spiritual beings, free
Other doctrines attributed to the Maha¯sa¯m:ghika are
from the limitations of a physical body. This doctrine can
equally tantalizing. For instance, it is said that they held that
be recognized in at least one key passage in the Maha¯vastu,
only prajña¯ liberates, a thesis that may reflect an early em-
but it is far from being the dominant theme in that work.
phasis on prajña¯ such as would have led to the eventual cen-
This does not necessarily prove that the belief was not as cen-
trality of the Perfection of Wisdom (Prajña¯pa¯ramita¯) litera-
tral to the school as claimed by the doxographers. It may be
ture in Maha¯ya¯na. The Maha¯sa¯m:ghika seem also to have
that much of the Maha¯sa¯m:ghika doctrinal speculation took
claimed that all word of the Buddha are n¯ıta¯rtha; that is, they
place in the Abhidharma and the commentarial literature of
are in no need of interpretation. But this may mean not so
the school—all of which is now lost. The monastic, medita-
much that the canon needs no exegesis as that the Buddha
tional, and liturgical life of the communities probably did
when he preaches has no hidden intent except for what living
not reflect the doctrinal rifts that defined the schools.
beings may find in his words, according to their capacities.
Prajñaptiva¯da. In contrast to the general Maha¯sa¯m:-
At least this would be the only way this doctrine could accord
ghika view, this subschool held that all statements of doctrine
with other statements attributed to the Maha¯sa¯m:ghikas, for
are merely of provisional or purely conventional meaning.
they held that the Buddha preaches all dharmas with one
Still, the Prajñaptiva¯dins appear to have preserved some dis-
word, that he preaches even when he does not speak, and that
tinction between absolute and relative truths. In spite of the
there is no conventional truth (sam:vr:tti-satya) in his Dharma.
obscurity of this notion, one can see the connection between
BUDDHOLOGY. Also characteristic of the Maha¯sa¯m:ghika is
it and certain ideas of the Bahu´srut¯ıyas. This may be due to
the belief that there are many Buddhas in all of the ten direc-
a common origin from the Gokulika branch of the
tions and at all times in the past, the present, and the future.
Maha¯sa¯m:ghika.
In this they differ from more conservative Buddhists who be-
From the Prajñaptiva¯da arose other groups, the most
lieve that a Buddha is a rare phenomenon. But the
important being the Apara´sailas and the Pu¯rva´sailas, whose
Maha¯sa¯m:ghika claim may be another side of the doctrine
main center of activity was in Dha¯nyakat:aka (modern An-
that has been called “Buddhist docetism,” that is, the belief
dhra Pradesh). They seem to have counted in their literature
that Buddhas do not lead a human life, even when they seem
some works of Maha¯ya¯na tendency, perhaps even
to be appearing in history. Perhaps related to this doctrine
Prajña¯pa¯ramita texts in Prakrit.
is the notion that bodhisattvas make a vow (pran:idha¯na) to
remain in the cycle of transmigration for the sake of sentient
If the Bahu´srut¯ıya school is also an offshoot of the par-
beings. They prolong their stay voluntarily; in fact, bodhisatt-
ent Maha¯sa¯m:ghika line then we would have to count among
vas may choose a life in hell for the sake of living beings.
Maha¯sa¯m:ghika literature Harivarman’s scholastic treatise,
the Satyasiddhisastra (third century CE). This work clearly
SECTARIAN OUTGROWTHS. Of the various sects that issued
occupies an intermediate position between the Abhidharma
from the Maha¯sa¯m:ghika, the most important are the
of the H¯ınaya¯na schools and the philosophical treatises of
Lokottarava¯dins and the Prajñaptiva¯dins. It has been sug-
Maha¯ya¯na.
gested that these two branches represent two major doctrinal
departures as well as two geographical centers of activity. Al-
INFLUENCE. Direct Maha¯sa¯m:ghika influence did not extend
though both branches and their derivatives were active in
beyond the Indian subcontinent. But through its influence
more than one part of India, the Lokottarava¯din group cen-
in the formation of Maha¯ya¯na the school left its mark in the
tered in the North (Mathura), the Prajñaptiva¯din groups in
history of Buddhism in East Asia and Tibet. Its key doc-
the southeast of India. It also seems that the northern groups
trines—the centrality of prajña¯, the bodhisattva vows, the ap-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAHA¯SIDDHAS
5603
paritional life of the Buddha, the distinction between con-
Masuda Jiryo¯. “Origins and Doctrines of Early Indian Buddhist
ventional and absolute truth—even today continue to affect
Schools.” Asia Major 2 (1925): 1–78.
Buddhist Maha¯ya¯na perception of the world and of the Bud-
Prebish, Charles S. “A Review of Scholarship on the Buddhist
dhist tradition.
Councils.” Journal of Asian Studies 33 (February 1974): 239–
254. Prebish has dedicated serious reflection to the problem
SEE ALSO Arhat; Bodhisattva Path; Buddha; Buddhism,
of the early schools, especially to the history and significance
Schools of; Language, article on Buddhist Views of Lan-
of their Vinaya. See also “The Pra¯timoks:a Puzzle: Facts ver-
guage.
sus Fantasy,” Journal of the American Oriental Society 94
(April–June 1974): 168–176, and Buddhist Monastic Disci-
BIBLIOGRAPHY
pline: The Sanskrit Pra¯timoks:a Su¯tras of the Maha¯sa¯m:ghikas
Aung, Shwe Zan, and C. A. F. Rhys Davids, trans. Points of Con-
and Mulasarvastivadins (University Park, Pa., 1975).
troversy. London, 1915. Classical Therava¯da polemics against
Prebish, Charles S., and Janice J. Nattier. “Maha¯sa¯m:ghika Ori-
the doctrines of the Eighteen Schools.
gins: The Beginnings of Buddhist Sectarianism.” History of
Bareau, André. “Les sectes bouddhiques du Petit Véhicule et leurs
Religions 16 (February 1977): 237–272. A well-argued chal-
Abhidharmapit:aka.” Bulletin de l’École Française d’Extrême-
lenge to the perception of Maha¯sa¯m:ghikas as “Liberals.”
Orient 50 (1952): 1–11. Bareau is the leading scholar on the
Rhys Davids, T. W. “Sects (Buddhist).” In Encyclopaedia of Reli-
early history of the H¯ınaya¯na schools. See also his “Trois
gion and Ethics, edited by James Hastings, vol. 11. Edin-
traités sur les sectes bouddhiques attribués à Vasumitra,
burgh, 1920.
Bhavya et Vin¯ıtadeva,” Journal asiatique 242 (1954): 229–
266; 244 (1956): 167–200; Les premiers conciles bouddhiques
Wayman, Alex. “The Maha¯sa¯n˙ghika and the Tatha¯gatagarbha.”
(Paris, 1955); Les sectes bouddhiques du petit véhicule (Saigon,
Journal of the International Association of Buddhist Studies 1
1955); and “Les controverses rélatives à la nature de l’arhant
(1978): 35–50. Discusses possible connections between the
dans le bouddhisme ancien,” Indo-Iranian Journal 1 (1957):
Maha¯sa¯m:ghika subsects of Andhra and the development of
241–250.
Maha¯ya¯na.
Bareau, André, and H. G. A. van Zeyst. “Andhakas.” In the Ency-
New Sources
clopaedia of Buddhism, vol. 1, edited by G. P. Malalasekera.
Braarvig, Jens, et al., eds. Buddhist Manuscripts in the Scho⁄yen Col-
Colombo, 1965. Analysis of a representative group of
lection Vol. 1. Oslo, 2000. See pages 53–62 and pages 233–
“southern” Maha¯sa¯m:ghikas.
242.
Bechert, Heinz. “Zur Frühgeschichte des Maha¯ya¯na-
Harrison, Paul. “Sanskrit Fragments of a Lokottarava¯din Tradi-
Buddhismus.” Zeitschrift der Deutschen Morgenländischen Ge-
tion.” In Indological and Buddhist Studies: Volume in Honour
sellschaft 113 (1963): 530–535. Summarizes contemporary
of Professor J. W. de Jong on His Sixtieth Birthday, edited by
understanding of the breadth and complexity of H¯ınaya¯na
L. Hercus and et al., pp. 211–234. Delhi, 1982.
sources for Maha¯ya¯na.
Demiéville, Paul. “L’origine des sectes bouddhiques d’après Para-
Hirakawa, Akira. Monastic Discipline for the Buddhist Nuns: An
martha.” In Mélanges chinois et bouddhiques, vol. 1,
English Translation of the Chinese Text of the
pp. 15–62. Brussels, 1931–1932. See also his “À propos du
Maha¯sa¯m:ghika-Bhiksuni-Vinaya. Patna, 1982.
concile de Vai´sa¯l¯ı,” T’oung pao 40 (1951): 239–296.
Prebish, Charles S. “Saiksa-Dharmas Revisited: Further Consider-
Dutt, Nalinaksha. Early History of the Spread of Buddhism and the
ations of Mahasamghika Origins.” History of Religions 35
Buddhist Schools (1925). Reprint, New Delhi, 1980. See also
(1996): 258–270.
Dutt’s Aspects of Maha¯ya¯na Buddhism and Its Relation to
Yuyama, Akira, ed. The Maha¯vastu-avada¯na: In Old Palm-Leaf
H¯ınaya¯na (London, 1930), and “The Second Buddhist
and Paper Manuscripts. Tokyo, 2001.
Council,” Indian Historical Quarterly 35 (March 1959): 45–
56. Most of Dutt’s earlier work on the sects, found hidden
LUIS O. GÓMEZ (1987)
in various journals, was compiled in Buddhist Sects in India
Revised Bibliography
(Calcutta, 1970).
Jones, J. J., trans. The Maha¯vastu. 3 vols. London, 1949–1956.
This is the English translation of one of the few surviving
MAHA¯SIDDHAS. The Buddhist maha¯siddha (“fully
Maha¯sa¯m:ghika texts.
perfected one”), or simply siddha (“perfected one”), is the
Lamotte, Étienne. “Buddhist Controversy over the Five Proposi-
central enlightened ideal of Tantric or Vajraya¯na Buddhism,
tions.” Indian Historical Quarterly 32 (1966): 148–162. The
the last major developmental phase of Indian Buddhism and
material collected in this article is also found, slightly aug-
particularly prominent on the subcontinent between the
mented, in Lamotte’s great Histoire du bouddhisme indien:
eighth and twelfth centuries
Des origines à l’ère Saka (Louvain, 1958), pp. 300–319, 542–
CE. Best known are the list of
543, 575–606, and 690–695. This erudite work is still the
eighty four of the greatest Buddhist siddhas (as enumerated
standard reference on the history of early Indian Buddhism.
by the twelfth-century Indian author Abhayadatta) and the
La Vallée Poussin, Louis de. “Maha¯vastu.” In Encyclopaedia of Re-
grouping of siddhas into seven lineages (by the Tibetan au-
ligion and Ethics, edited by James Hastings, vol. 8. Edin-
thor Ta¯rana¯tha). Like the Buddha for earliest Buddhism, the
burgh, 1915. This article and the one by Rhys Davids listed
arhat for the pre-Maha¯ya¯na tradition, and the bodhisattva for
below are dated, but they contain valuable information and
the Maha¯ya¯na, the siddha stands as the preeminent model
historical hypotheses still defended by some scholars.
of an accomplished person for the Vajraya¯na tradition. 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
5604
MAHA¯SIDDHAS
like those earlier ideals for their traditions, the siddha em-
The siddhas are typically depicted at the beginning of
bodies in his person the particular character and ideals of the
their careers as ordinary people who possess some often un-
Vajraya¯na, with its emphasis on meditation, personal realiza-
specified longing. They are men and women, monks and lay-
tion, the master-disciple relationship, and the nonmonastic
people, privileged and destitute, but they all share a sense of
ways of life of the householder and the wandering yogin.
unavoidable dissatisfaction and circularity in their lives. They
S
reach a critical point in their religious career when they en-
OURCES. Our knowledge of the Buddhist siddhas comes
from a considerable amount of biographical material that
counter a Tantric teacher who presents them with the possi-
survives chiefly in Tibetan texts, which are either translations
bility of a spiritual path—of meditation, of the shedding of
of, or are based directly or indirectly on, Indian written and
habitual patterns, and of awakening. Their response is often
oral tradition. These biographies of the siddhas, which vary
a mixture of attraction and fear, but they share a feeling of
in length from a few lines to hundreds of pages, tell the “lib-
connection with the teacher and with the message he articu-
eration story” (rnam thar) of their subjects, recounting their
lates. Following this encounter, the future siddhas begin a de-
individual journeys from the ordinary human state to one of
manding course of training under their gurus. The impor-
full awakening.
tance of the teacher-disciple relationship in each siddha’s
biography reflects the Vajraya¯na emphasis on the primacy of
The biographies of the siddhas are especially character-
individual awakening and of the necessity of a realized, per-
ized by strong mythological, symbolic, and magical over-
sonal teacher to that process.
tones. As in the case of the Buddha S´a¯kyamuni in his biogra-
phies, but to a much greater degree, the siddhas are depicted
There follows in each siddha’s life a period of study with
as beings whose lives are charged with the transcendent and
a teacher, whom the pupil sometimes attends for many years,
supernatural. At the same time, the siddhas are shown as real
and sometimes meets only periodically for new instructions.
men and women with specific connections to the everyday,
Formless meditation and liturgical Tantric practice
historical world. Their stories depict them as coming from
(sa¯dhana) are unremitting parts of the student’s training, but
particular places, belonging to certain castes, and following
so is activity “in the world”; many of these later-to-be-siddhas
this or that occupation. Their teachers, Tantric practices, and
are instructed to carry out caste occupations and to marry.
lineages are carefully noted. The greatest among them figure
Some are instructed to perform tasks that are anathema to
as great teachers, lineage founders, monastic officials, and
their former identities, such as the brahmans Bhadrapa and
prolific authors of extant Tantric texts. Many siddhas are
Lu¯yipa, who are told to make their living cleaning latrines
known historically to have played important roles in the
and serving a prostitute, respectively. In general, hard tasks
transmission of the Vajraya¯na from India to Tibet, China,
and humiliation of previous ego ideals marks the testing and
and Southeast Asia, and are part of the social and political
training of the siddhas during their student days and their
history of those countries. This confluence of the mythologi-
journey toward classic Buddhist realization of egolessness.
cal and transcendent on the one hand, and the historically
Siddhas as enlightened figures. After many years of ar-
tangible and specific on the other, is one of the particular
duous training, the siddhas emerge as fully enlightened peo-
marks of the siddhas and of the Vajraya¯na in general.
ple. In contrast to the Buddha, who was regarded as one of
STRUCTURE OF THE SIDDHA IDEAL. The siddhas are depicted
a kind thus far in our world age, to the arhat, whose enlight-
in their biographies both as particular individuals and as
enment was seen as less than the Buddha’s, and to the bodhi-
members of a common type: their lives share a certain general
sattva, who is enjoined to postpone his full awakening, the
structure or pattern, resumed here, that marks them as Bud-
siddhas are depicted as having attained full awakening, thus
dhist siddhas.
fulfilling the Vajraya¯na intention to make possible “enlight-
Before enlightenment. The siddha’s life story generally
enment in this very lifetime.”
begins with his birth, sometimes in the great Tantric areas
As enlightened figures, the siddhas manifest a lively indi-
of Ka¯maru¯pa (northeast India), Ud:d:iya¯na (northwest India),
viduality as householders, yogins, or monks. Although the
or Na¯ga¯rjunikon:d:a (southeast India), sometimes in some
siddhas represent a basically nonmonastic ideal, they not in-
other region. There typically follow details of caste status. In
frequently turn up as followers of monastic discipline out-
contrast to earlier Buddhism, where the higher castes are im-
wardly, but realized siddhas within.
plicitly regarded as preferable, the siddhas come not only
from the high castes (bra¯hman:a and ks:atriya) but as often
The classical Vajraya¯na understands itself as a develop-
from the low; some of the greatest siddhas were originally
ment of the Maha¯ya¯na; the siddhas are depicted as bodhisatt-
hunters, fishers, herdsmen, weavers, cobblers, blacksmiths,
vas whose primary motivation is to work for the benefit of
prostitutes, and even thieves. This diversity of social origins
others. Thus, the realized siddhas are all primarily teachers
gives particularly vivid expression to the classical Buddhist
of others. Later Tibetan tradition explains the great diversity
insistence that caste and social distinctions are not spiritually
of origins, training, and teaching methodologies of the sidd-
rooted or inherent in reality, and that enlightenment can
has as a fulfillment of the Maha¯ya¯na bodhisattva vow to help
occur equally in any conditioned situation, whatever its con-
sentient beings in all stations and conditions by adopting
ventionally stated social value.
their way of life.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAHA¯SIDDHAS
5605
This compassionate motivation is also given in explana-
Study of the Vajraya¯na biographies themselves shows
tion of the siddhas’ undeniable unconventionality. As already
that it would be a mistake to take them simply as accounts
noted, teachers sometimes send their students into situations
of single individuals, at least in the ordinary sense. Many
conventionally forbidden to their caste. The siddhas them-
sometimes different, sometimes apparently contradictory ac-
selves often break social and religious taboos as part of their
counts are given in the same and different texts about a single
teaching. The depiction of such unconventional activity is
siddha. In addition, one finds the same motifs and even en-
intended to reinforce the Tantric insistence that genuine
tire stories appearing in the lives of several different siddhas.
spirituality cannot be identified with any particular external
In light of these factors, one perhaps best understands the sid-
social form. Here, the siddhas give characteristic expression
dhas’ lives as sacred biographies, some elements of which un-
to the ancient dictum of the Buddha: awakening is a matter
doubtedly emerged originally in the lives of those individu-
of seeing the conditioned structure of the world as such, not
als, and others of which originated from elsewhere. These
of slavishly identifying with a particular way of life or reli-
became the general property of the tradition, to be used and
gious norm.
reused to clarify the nature of the siddha ideal itself through
the medium of specific biographies.
Magical elements. Magic also plays an important role
in the lives of the realized siddhas. On one level, the siddha
Does this rather flexible approach to writing history re-
biographies articulate the traditional Buddhist (and pan-
flect a lack of historical awareness on the part of Vajraya¯na
Indian) belief that spiritual awakening puts one in possession
biographers? The temptation to answer this question in the
of miraculous powers. In this sense, the siddha carries on a
affirmative must be resisted, at least until the particular
motif present in the depiction of the Buddha, of some of the
Vajraya¯na attitude toward history is clearly understood. The
arhats, and of the bodhisattvas of higher attainment. But in
lives of the siddhas do not restrict themselves to what we in
the siddhas’ lives, magic plays a more prominent role than
the West have typically understood as the legitimate domain
it does in the earlier hagiographical traditions. This greater
of a person’s “life,” beginning with birth and ending with
prominence is probably due to a combination of (1) the great
death. The “life” of a siddha may include “events” that pre-
emphasis in the Vajraya¯na on practice and realization; (2) its
cede birth and postdate death, and may also include dreams,
alignment with nonmonastic, and thus yogic and lay, life;
visions, and supranormal experiences other respected persons
and (3) its bent toward breaking what it sees as the conserva-
may have had of those siddhas before, during, and after their
tism and stolid fixations of earlier Buddhism.
human lives. This more inclusive attitude taken by the
Some accounts of magic appear to be metaphorical,
Vajraya¯na toward a siddha’s life is due not so much to its lack
such as when siddhas turn others into stone, “petrifying”
of historical awareness, but rather to the particular under-
them with their unconventional teaching. Other feats, such
standing of history that it possesses. The siddhas are real peo-
as the production of jewels from a worthless substance, are
ple who are significant precisely because they embody cos-
perhaps psychological, indicating the way in which the sidd-
mic, timeless, and universal dimensions of human reality.
has can, through their insight, transform apparently worth-
They may express themselves equally from their ordinary
less passions of the personality into the highest prize of en-
human as well as their transhuman aspects. For the tradition
lightenment. Other examples of magic, such as Saraha’s
itself, contradictory stories about a siddha may simply indi-
walking on water, may illustrate the siddhas’ freedom from
cate multiple manifestations of that person, while the repeti-
cause and effect. In all these examples the siddhas’ use of
tion of the same stories in several lives may just mean a later
magic points to the basic Vajraya¯na (and classical Buddhist)
siddha is teaching according to an earlier, typical pattern.
teaching that the commonsense world is not as definite and
Such elements are considered in the Vajraya¯na not only a le-
fixed as it appears, but in fact contains unlimited freedom,
gitimate but a necessary part of proper historical writing
power, and sacredness.
about the siddhas.
A final characteristic of the realized siddha is his passing
Finally, it is necessary to mention the important impact
away, which is understood not as a death in the ordinary
of liturgy and of certain later Tibetan Tantric masters’ lives
sense but as a passing into a state that is invisible, but never-
on the understanding of the siddhas’ biographies. What is
theless real and potentially available. The siddhas, we are
understood as the universal and timeless essence of the sidd-
told, do not die, but rather go to a celestial realm from which
has makes it possible to invoke the living and tangible pres-
they may appear at any time.
ence of the siddhas through liturgy. Moreover, many of the
most famous siddhas are understood to be present, in later
HISTORICITY AND THE SIDDHA BIOGRAPHIES. The histori-
incarnations, in the persons of Tibetan tulkus (incarnate
cal concreteness of the siddha biographies, the existence of
lamas). The living example of the tulkus and the invocation
texts, songs, and lineages they created, their social and politi-
of the presence of the siddhas in ritual contribute significant-
cal impact, and the existence of the Vajraya¯na itself leave lit-
ly to the making present and interpreting of the siddhas
tle doubt that the siddhas were historical individuals. But to
whose lives and teachings can be read in the texts.
what extent are their stories simple historical accounts and
to what extent do they represent a gathering of originally dis-
HISTORICAL ROLE OF THE SIDDHAS. The major historical
parate elements around a particular figure?
legacy of the siddhas is the tradition they represented 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
5606
MAHATMA GANDHI
Vajraya¯na lineages they helped build, many of which are
SEE ALSO Amoghavajra; Arhat; At¯ı´sa; Bodhisattva Path;
alive today. On a more restricted front, the siddhas were the
Dge lugs pa; Mar pa; Mi la ras pa; Na¯ ro pa; Padmasamb-
authors of a great many Tantric works, hundreds of which
hava; Shingonshu¯; S´ubha¯karasim:ha; Tsong kha pa; Vajra-
survive in Tibetan translation. The most characteristic com-
bodhi; Zhenyan.
positions of the siddhas are perhaps their doha¯s
(“enlightenment songs”), which survive in independent col-
BIBLIOGRAPHY
lections, in biographies, and in the Tantras themselves.
Abhayadatta’s Catur´s¯ıti-siddha-pravr:tti (History of the Eighty-
These songs are supposed usually to have been composed in
four Siddhas), the most important extant Indian text on the
liturgical situations to express the individuality and sacred-
siddhas, has been translated from the Tibetan by James B.
ness of that moment of awakened experience. The siddhas
Robinson as Buddha’s Lions (Berkeley, 1979). The extended
Tibetan biographies of two of the most important Indian sid-
also composed other varieties of texts, including commen-
dhas, Padmasambhava and Na¯ ro pa, are given respectively
taries on the tantras, biographies of great masters, liturgical
in W. Y. Evans-Wentz’s The Tibetan Book of the Great Liber-
texts, and so on. A list of some six hundred works by Indian
ation (Oxford, 1954) and The Life and Teachings of Naropa,
siddhas is given in the Tantric section of the Tibetan Bstan
translated by Herbert Guenther (Oxford, 1963). Per Kva-
Dgyur (Tanjur); works of the siddhas are also included in
erne’s An Anthology of Buddhist Tantric Songs (Oslo and New
other parts of the Tanjur and in Tibetan collections of Indian
York, 1977) analyzes an important collection of the Indian
Buddhist texts.
siddhas’ songs. Shashibhusan Dasgupta’s Obscure Religious
Cults, 3d ed. (Calcutta, 1969), attempts to see the Indian sid-
The siddhas also played an important part in the history
dhas in their larger religious context; my “Accomplished
of Indian and Asian Buddhism. In India, the siddhas were
Women in Tantric Buddhism of Medieval India and Tibet,”
the prime carriers of the Vajraya¯na for a millennium, in its
in Unspoken Worlds, edited by Nancy A. Falk and Rita M.
early formative period (pre-eighth century
Gross (New York, 1980), pp. 227–242, discusses Indian
CE), during the
women siddhas. Several works provide useful summaries of
time of its prominence (eighth to twelfth century CE), in the
the role of the Indian siddhas and of the Vajraya¯na outside
several centuries following the Islamic decimation of monas-
of India. For Tibet, see David L. Snellgrove and Hugh Rich-
tic Buddhism at the end of the twelfth century, through the
ardson’s A Cultural History of Tibet, (New York, 1968; re-
sixteenth century, when contemporary Tibetan accounts give
print, Boulder, 1980), pp. 95–110 and 118ff.; for China, see
a first hand picture of a strong and vital Vajraya¯na tradition
Kenneth Ch’en’s Buddhism in China (1964; reprint, Prince-
in India. In the history of Tibetan Buddhism, it was the sidd-
ton, 1972), pp. 325–337; for Japan, see Daigan and Alicia
has who carried the Vajraya¯na to that land. All four of the
Matsunaga’s Foundation of Japanese Buddhism (Los Angeles,
major surviving schools, and many that did not survive,
1974), vol. 1, pp. 171–200; and for Southeast Asia, see
ultimately derive from Indian siddhas: the BkaD brgyud pa
Nihar-Ranjan Ray’s Sanskrit Buddhism in Burma, (Calcutta,
1936), pp. 12–14 and 62–99.
from Ti lo pa (988–1069) and Na¯ ro pa (1016–1100); the
Rnying ma pa from Padmasambhava and Vimalamitra (both
New Sources
eighth century); the Sa skya pa from DBrog mi (922–1022);
Davidson, Ronald M. Indian Esoteric Buddhism: A Social History
and the Dge lugs pa from Atisa (982–1054), who, while not
of the Tantric Movement. New York, 2002.
himself a siddha, inherited some of their traditions.
Katz, N. Buddhist Images of Human Perfection: The Arahant of the
Sutta Pitaka Compared with the Bodhisattva and the Mahasid-
Siddhas such as S´ubha¯karasim:ha, Vajrabodhi, and
dha. Delhi, 1989.
Amoghavajra, all of whom journeyed to Tang China in the
Mar pa, et al. The Life of the Mahasiddha Tilopa. Dharamsala,
eighth century, were responsible for bringing the Vajraya¯na
1995.
to that land. Although their unconventional and wonder-
Ray, Reginald. “The Mahasiddha.” In Buddhism and Asian Histo-
working activity proved ultimately discordant with the Chi-
ry, edited by Joseph Mitsuo Kitagawa and Mark D. Cum-
nese outlook, and although the Vajraya¯na they brought did
mings. See pages 389–394. New York, 1989.
not long survive in China, their activity provided the founda-
tion for the transmission of the Vajraya¯na to Japan by Ku¯kai
Urban, Hugh B. The Economics of Ecstasy: Tantra, Secrecy, and
Power in Colonial Bengal. New York, 2001.
(774–835), who founded the Shingon school there. The sid-
dha ideal played an indirect role in the religious history of
White, David G. The Alchemical Body: Siddha Traditions in Medi-
the Mongols as well, following Mongol appropriation of Ti-
eval India. Chicago, 1996.
betan Buddhism in the thirteenth century.
White, David G. Kiss of the Yogini: “Tantric Sex” in its South Asian
Contexts. Chicago, 2003.
Finally, the siddhas carried the Vajraya¯na to Southeast
Asia, where there is evidence of their activity in Java, Sumatra
REGINALD RAY (1987)
Revised Bibliography
and Kamboja from the early ninth century onward. The
Vajraya¯na continued there until the sixteenth century at
least, when the Indian Vajraya¯nist Buddhaguptana¯tha visited
that area and gave firsthand accounts of the Tantric tradition
MAHATMA GANDHI SEE GANDHI,
there.
MOHANDAS
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAHA¯VAIROCANA
5607
MAHA¯VAIROCANA (lit., “the great illuminator”),
Indra’s net. The net constitutes the universe, and at each
the Great Sun Buddha, is the transcendent and cosmocratic
knot there is a jewel that reflects all the other jewels in
apotheosis of the historical Buddha, S´a¯kyamuni. Under the
the net.
earlier designation Vairocana (“the luminous one”), he repre-
MAHA¯VAIROCANA AND TANTRA. The name Vairocana points
sents Buddhism’s most profound speculation on the empti-
to an ultimate perspective to be realized through insight.
ness and interpenetration of all elements in the universe
Maha¯vairocana, in contrast, is realized concretely in ritual
(dharmadha¯tu). As Maha¯vairocana he is concretely envisaged
practice. Maha¯vairocana, the chief deity in much of the Bud-
as the all-encompassing lord of the cosmos and is the object
dhist Tantric tradition, rose to prominence sometime be-
of worship for a form of Tantric Buddhism that spread from
tween the fifth and seventh century CE. While sharing Vairo-
India to Sumatra, China, Japan, and Tibet.
cana’s symbolism, Maha¯vairocana’s distinctiveness in
In India, the name Virocana appears in the R:gveda in
iconography, doctrine, and ritual is signaled by the Sanskrit
connection with celestial phenomena and the luminous resi-
prefix maha¯ (“great”). The principal scriptures that extol
dence of Varun:a. Other Vedic contexts link Virocana vari-
Maha¯vairocana and describe his cult, the Maha¯vairocana
ously with Su¯rya, the solar deity; Candra, the lunar deity;
Su¯tra and the Tattvasam:graha, are no longer fully extant in
and Agni, god of fire. In the Chandogya Upanis:ad, Virocana,
Sanskrit, but their Chinese translations are the basis of the
king of the asuras (anti-gods), loses a competition for true
Chinese Zhenyanand Japanese Shingon (mantra) schools of
knowledge of the Self to his counterpart Indra, king of the
Buddhism. Tibetan translations of these scriptures are re-
devas (gods). Pali Buddhist literature identifies the deity
garded as the root texts of two of the four classes of Tantra
Verocana with the demon Bali, and in the Sam:yutta Nika¯ya
in that country, Carya Tantras and Yoga Tantras. Although
he again opposes his nemesis Sakka (Indra), this time in seek-
Maha¯vairocana was important in Tibetan Buddhism, his cult
ing knowledge from the Buddha.
was overshadowed by deities of the Anuttarayoga Tantras.
For the Tibetans the buddha Aks:obhya, the “primordial
Vairocana is mentioned in other Buddhist texts such as
buddha” (A¯dibuddha), and the dialectical symbolism of cos-
the Maha¯vastu and the Lalitavistara, but his role as a symbol
mic sexuality represented by yab-yum, or “father-mother,”
of ultimate reality is developed only in Maha¯ya¯na scriptures
images found in the Guhyasamaja Tantra and Hevajra Tan-
such as the Da´sabhu¯mika¯ Su¯tra and the Gan:d:avyu¯ha Su¯tra,
tra, were more compelling.
both found in the huge collection known as the Avatam:saka
M
Su¯tra. According to the Chinese Huayan and the Japanese
AHA¯VAIROCANA IN EAST ASIA. The Maha¯vairocana Su
¯tra
and the Tattvasam:graha were brought to China by two Indi-
Kegon traditions, both of which are grounded in the
an a¯ca¯ryas (“teachers”) from the North Indian monastic uni-
Avatam:saka Su¯tra, S´a¯kyamuni, the Buddha who preached
versity at Na¯landa¯, which in the seventh century
the Avatam:saka, had like all buddhas before him spent aeons
CE had be-
come a center for Tantric studies. S´ubha¯karasim:ha (637–
as a bodhisattva striving toward enlightenment. On the night
735) and Vajrabodhi (671–741) arrived to missionize the
of his final enlightenment, he ascended to the palace of the
Tang court in 716 and 720 respectively. Through their ef-
Akanis:t:ha Heaven—the summit of the cosmos—where
forts and those of their disciples, the major texts and com-
abhis:eka (“initiation, consecretion”) was conferred upon him
mentaries concerning Maha¯vairocana were translated. A
by the buddhas of the Ten Quarters. He thus attained the
small but stable cult was established under the cautious pa-
“body of enjoyment” (sambhogakaya) and came to reign from
tronage of the pro-Daoist Emperor Xuanzong (r. 712–756).
the Akanis:t:ha Heaven as the celestial sovereign who preaches
Maha¯vairocana as he is revealed in what became known as
to highly advanced bodhisattvas. Simultaneously with this at-
Esoteric Buddhism (Chin., Mi-chiao; Jpn., Mikkyo¯) assumes
tainment, S´a¯kyamuni realized his identity with the
the symbolism of Vairocana. Maha¯vairocana is described as
dharmaka¯ya (reality as total, transcendent, and ineffable).
the lord of the vast palace of the vajradharmadha¯tu that has
The earthly body of S´a¯kyamuni took up his preaching, but
been created by his wondrous power of transformation
that body, as well as the “body of enjoyment,” were now rec-
(adhis:t:ha¯na). This palace is identified both as the Akanis:t:ha
ognized as manifestations of the transcendent dharmaka¯ya.
Heaven and as the entire cosmos. Like Vairocana,
Thus, Vairocana represents ultimate reality and at the same
Maha¯vairocana has received initiations (abhis:ekas) from all
time permeates all levels of the manifest cosmos and the be-
the Buddhas, and the Akanis:t:ha Heaven is the scene of these
ings in it. The universe is his infinite body. All things are in
initiations as well as of the revelation of the new Tantric
him, and his presence shines in all things.
scriptures. In the Maha¯vairocana Su¯tra, Maha¯vairocana is
This notion of interpenetration—of the part in the
portrayed as the light and sustenance of the manifest cosmos
whole and the whole in every part—is closely linked with im-
and as its supreme sovereign. He is at once the cosmocrat and
ages of light and illumination in the mythology of
the active participant in all manifestation; his presence is felt
Vairocana/Maha¯vairocana. The Gan:d:havyu¯ha Su¯tra de-
not only in the salvific action of bodhisattvas but also in
scribes reality as a universe of infinitely reflected light. As the
weather, constellations, and all other phenomena. The
solar deity, Vairocana is the center of the cosmos, its ruler
Tattvasam:graha tends to emphasize the cosmos as it is reflect-
and sovereign. He is above the cosmos, yet all its variations
ed in Maha¯vairocana. He is the Lord of Light, and the uni-
are reflections of him. A frequently used image is that of
verse is an endless series of reflections of him.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5608
MAHA¯VAIROCANA
ICONOGRAPHY AND WORSHIP. Maha¯vairocana’s distinctive-
for Ku¯kai, the material cosmos was the body of the transcen-
ness is apparent in his texts, which are almost entirely devot-
dent dharmaka¯ya, not an ontologically secondary manifesta-
ed to ritual. While Vairocana represents absolute reality, to
tion as might be surmised from Huayan doctrine.
be realized through insight developed over long aeons,
THE RELIGIOUS MEANING OF MAHA¯VAIROCANA. The Great
Maha¯vairocana is realized through an active and immediate
Sun Buddha Maha¯vairocana represents one of the world’s
ritual participation in his very being. Practice is a ritual
most profound religious conceptions. Like the physical sun,
drama based upon iconographic conventions detailed in
Maha¯vairocana Buddha is the pivot of the manifest cosmos,
man:d:alas, or cosmograms, drawn from the two major texts,
the source of light and life. Yet this is far from pantheism,
and it consists of two intertwined acts. The disciple first at-
since Maha¯vairocana transcends the universe just as he is the
tempts to realize his identity with the deity through imitating
universe. Nor is this docetism. Indeed, no better term may
the iconographic conventions, or “marks,” of the deity as re-
be found than that coined by Masaharu Anesaki (1915), who
vealed in the texts, and through oral instruction. His body
speaks of Shingon’s “cosmotheism.” The full meaning of
and hand posture (mudra¯), ritual incantation (mantra), and
Maha¯vairocana is apprehended in Tantric practice, for there
meditative vision (sama¯dhi) seek to duplicate the very con-
Maha¯vairocana functions as an icon, as both the embodi-
sciousness of the divinity he worships. Success in this imitatio
ment of the divine and as a symbol pointing to divine tran-
is termed siddhi (“accomplishment”). The disciple undergoes
scendence. Thus, in the ritual drama of Tantra the practi-
a series of initiations (abhis:eka) identifying him with deities
tioner realizes his own iconic nature. He is both the
at various levels of the man:d:ala. Should he be deemed fit,
worshiper and the object of worship; he experiences the para-
he may attain final realization of his identity with
dox of divinity that is the world and yet transcends the world.
Maha¯vairocana, reenacting the Buddha’s quest and final as-
He is Maha¯vairocana in this very body.
cent to the Akanis:t:ha Heaven to become an a¯ca¯rya. Having
realized his identity with the deity, he may now exercise that
SEE ALSO Amoghavajra; Buddhas and Bodhisattvas, article
deity’s powers for the good of others. This second act is also
on Celestial Buddhas and Bodhisattvas; Man:d:alas, article on
called siddhi.
Buddhist Man:d:alas; Shingonshu¯; S´ubha¯karasim:ha; Sun;
Vajrabodhi.
Under the aegis of Vajrabodhi’s disciple Amoghavajra
(d. 774), under his Chinese successors, and under Ku¯kai
BIBLIOGRAPHY
(774–835), the Japanese founder of Shingon, the iconogra-
The best introduction to the cult of Maha¯vairocana in the context
phy of Esoteric Buddhism took a definitive form. Certain
of Tibetan Tantric practice is David L. Snellgrove’s Buddhist
man:d:alas were drawn from the Maha¯vairocana Su¯tra and the
Himalaya (Oxford, 1957). On Vairocana and his symbolism
in the Huayan and Kegon traditions see Francis D. Cook’s
Tattvasam:graha to produce the Womb Man:d:ala
Huayan Buddhism: The Jewel Net of Indra (University Park,
(Garbhako´sadha¯tu Man:d:ala) and the Diamond Man:d:ala
Pa., 1977) and Thomas Cleary’s Entry into the Inconceivable:
(Vajradha¯tu Man:d:ala). Maha¯vairocana of the Womb
An Introduction to Hua-yen Buddhism (Honolulu, 1983).
Man:d:ala is usually golden, seated in meditative posture on
The only study of the Zhenyan school in China is Chou I-
a lunar disk that rests on a red lotus blossom. He is regally
liang’s excellent annotated translation (with introductions)
adorned as the master of the cosmos and represents the final
of the lives of S´ubha¯karasim:ha, Vajrabodhi, and Amoghavaj-
achievement of buddhahood. Other divinities depicted in
ra, “Tantrism in China,” Harvard Journal of Asiatic Studies
the man:d:ala represent his compassionate activity (karun:a¯) in
8 (1945): 241–332. Studies of Esoteric Buddhism and thus
all phenomena and the possibility of illumination. The Dia-
of Maha¯vairocana from the doctrinal perspective of Japanese
mond Man:d:ala is composed of nine man:d:alas selected from
Shingon are Minoru Kiyota’s Shingon Buddhism (Los Ange-
the Tattvasam:graha. They represent Maha¯vairocana’s con-
les, 1978), which includes an explanation of the two
man:d:alas, and a hard-to-find but excellent work in French
sciousness or wisdom (prajña¯). The central image of
by the Shingon priest Tajima Ryu¯jun, Étude sur le
Maha¯vairocana is usually white or blue, seated upon a lotus
Maha¯vairocana-su¯tra (Paris, 1936). Tajima’s study includes
blossom resting on a lunar disk. He is adorned and crowned
a translation of the first chapter of this important text. Yoshi-
and his hands are clasped in the Gesture of All-Embracing
to S. Hakeda has provided a fine introduction to Ku¯kai’s life
Wisdom (Jña¯namus:t:i Mudra). Shingon tradition describes
and thought and translations of some of his works in his
the man:d:ala as representative of the cosmos as
Ku¯kai: Major Works (New York, 1972). The best study of the
Maha¯vairocana sees it, the timeless universe of the interpene-
Shingon man:d:alas is also by Tajima Ryu¯jun but again his Les
trating light of wisdom. These two man:d:alas, which like
deux grands man:d:alas et la doctrine de l’ésotérisme Shingon,
conditional reality and ultimate reality are said to be nondu-
“Bulletin de la maison franco-japonaise,” n.s. vol. 6 (Tokyo,
al, provide a framework for classifying all phenomena. Initia-
1959), is in French and hard to obtain. Somewhat easier to
find is Beatrice Lane Suzuki’s article on the Womb Man:d:ala,
tion and ritual practice were organized around the new
“The Shingon School of Maha¯ya¯na Buddhism,” part 2, “The
scheme, and therefore an a¯ca¯rya must be initiated into both
Mandara,” Eastern Buddhist 7 (May 1936): 1–38. Finally, a
man:d:alas. Ku¯kai introduced several refinements, the most
brief but excellent understanding of the two man:d:alas may
important of which is the identification of the first five mate-
be found in Masaharu Anesaki’s “Buddhist Cosmotheism
rial elements of the cosmos with the Womb Man:d:ala and
and the Symbolism of Its Art” in his Buddhist Art in Its Rela-
the sixth element, mind, with the Diamond Man:d:ala. Thus,
tion to Buddhist Ideals (1915; reprint, New York, 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
MAHA¯V¯IRA
5609
New Sources
As will be seen, the two churches disagree on certain points
Abé, Ryu¯ichi. The Weaving of Mantra: Ku¯kai and the Construction
in the biography of the twenty-fourth t¯ırtham:kara. Both
of Esoteric Buddhist Discourse. New York, 1999.
agree, however, that his conception was foretold to his moth-
Hodge, Stephen. The Maha¯-Vairocana-Abhisambodhi Tantra:
er in a series of fourteen (or sixteen) auspicious dreams by
with Buddhaguhya’s Commentary. London, 2003.
a white elephant, a white bull, a lion, the goddess S´r¯ı, the
Payne, Richard K., ed. Re-visioning “Kamakura” Buddhism. Hono-
full moon, the rising sun, an ocean of milk, and so forth.
lulu, 1998.
These dreams are frequently described in the literature and
Wayman, Alex, and R. Tajima. The Enlightenment of Vairocana:
represented in manuscripts and in temples.
Book I Study of the Vairocanabhisambodhitantra: Book II
While still in the womb Vardhama¯na began to practice
Study of the Mahavairocana-Sutra. Delhi, 1992.
ahim:sa¯: He was careful not to cause his mother any pain, and
Yamamoto, Chikyo. Maha¯vairocana-su¯tra: Translated into English
even vowed not to renounce the world before his parents’
from Ta-p’i lu che na ch’eng-fo shen-pien chia-ch’ih ching, the
death. His birth was the occasion of universal rejoicing and
Chinese Version of S´ubha¯karasim
˙ ha and I-hsing, A.D. 725.
liberality. As a boy he received a princely education and his
New Delhi, 1990.
family appears to have followed the doctrine of the twenty-
CHARLES D. ORZECH (1987)
third t¯ırtham:kara, Pa¯r´sva, whose teachings Maha¯v¯ıra was to
Revised Bibliography
reconsider and complete, but not, apparently, to oppose. Ac-
cording to the S´veta¯mbaras he married the princess Ya´soda¯,
who gave birth to a daughter; their daughter’s husband was
MAHA¯V¯IRA. Among the numerous philosophers and
later to start the first schism of Jainism. The Digambaras,
religious teachers who preached in eastern India during the
however, consider that Vardhama¯na had no such worldly
sixth century BCE was the Jina (“conqueror”), considered to
ties. They emphasize that Maha¯v¯ıra was one of an unending
be the founder and systematizer of Jainism. The name given
succession of t¯ırtham:karas: His earlier births are linked with
to him by his parents was Vardhama¯na (“prospering”), for
R:s:abha (through one of the latter’s grandsons), while one of
soon after his conception, it is said, things began to flourish
his disciples, King S´ren:ika Bimbisa¯ra, will be reborn as the
and prosper for him and for those around him. The gods
first t¯ırtham:kara of the next utsarpin:¯ı age.
called him Maha¯v¯ıra (“great hero”), because, they claimed,
By the time Vardhama¯na was thirty years old his parents
“he stands fast in the midst of dangers and fears” (Jinacaritra
had died. Having gained the consent of his elder brother he
108). He is regarded as the twenty-fourth t¯ırtham:kara
distributed his property, plucked out his hair, and renounced
(“fordmaker”) or prophet, and the reformer of Jainism.
the world; this is an event commonly depicted in Jain ico-
Maha¯v¯ıra’s symbol is the lion; like other t¯ırtham:karas, he is
nography, with Indra devotedly receiving the saint’s hair in
sometimes represented with his two guardian deities.
his hands. Thereafter, Maha¯v¯ıra led the hard, solitary life of
HAGIOGRAPHY. The main episodes of Maha¯v¯ıra’s life and re-
a wandering ascetic (´sraman:a), begging for food and shelter,
ligious career are often described in Jain literature and are
moving from place to place (except during the four months
prominent in the S´veta¯mbara canon. The five principal “aus-
of the rainy season) in the eastern region of the Ganges Val-
picious moments” of his life—his conception, birth, renun-
ley. According to the Digambaras, Maha¯v¯ıra immediately
ciation, enlightenment, and passing into nirva¯n:a—are cele-
abandoned clothing as well as ornaments, whereas the
brated by his followers to this day.
S´veta¯mbaras hold that this occurred only after thirteen
According to the Jains, Maha¯v¯ıra was born seventy-five
months of renunciation. Such discussions again reflect a dif-
years and eight and a half months before the end of the
ference of opinion, in this case concerning the importance
fourth descending period of the current avasarpin:¯ı era (or
of nakedness in the holy life.
599 BCE); by the calculations of Western scholars, the event
Both sects do agree that the prophet shunned all vio-
probably took place at least some fifty years later. He was
lence to living beings, took nothing that was not explicitly
born in Kun:d:agra¯ma, apparently a village near Vai´sa¯l¯ı, to the
given to him, spoke no lies, strictly avoided unchaste behav-
north of modern-day Patna in northern Bihar—where a
ior in thought, word, and deed, and had no possessions—in
Maha¯v¯ıra memorial has been erected and where the Research
short, he followed what were to become the five major vows
Institute of Prakrit, Ahim:sa¯, and Jainology was founded by
of the Jain monk. Moreover, he endured severe hardships
the government of Bihar in 1956.
(due to nature, animal, and humanity) and practiced system-
Like all t¯ırtham:karas, Vardhama¯na was alleged to have
atic penances that involved many kinds of prolonged and
come from a princely family; the Jains hold that he had a
complicated fasts, “exerting himself,” according to the Jina-
ks:atriya lineage and that his mother, Tri´sala¯, was closely re-
caritra (119), “for the suppression of the defilement of kar-
lated to the Vai´sa¯l¯ı ruler. The S´veta¯mbara scriptures and
man.” He gained disciples, with whom he conversed in a Pra-
miniatures even show the transplantation of his embryo, fol-
krit language. In this way he spent twelve years, six months,
lowing Indra’s orders, from the womb of a brahman mother,
and fifteen days on the mendicant’s path. Finally, on a sum-
Deva¯nanda¯, into that of Tri´sala¯. This episode, which is remi-
mer night, near a sal tree on the bank of the river R:jupa¯lika¯,
niscent of the Kr:s:n:a legend, is rejected by the Digambaras.
he attained omniscience (kevala-jña¯na), “which is infinite,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5610
MAHA¯V¯IRA
supreme, unobstructed, unimpeded, and full. . . . He knew
ter has been exhausted and the j¯ıva has regained its pure spir-
and saw all conditions of all living beings in the world—what
itual nature.
they thought, spoke, or did at any moment” (Jinacaritra
This ultimate goal cannot be attained except by those
120–121). He had in fact acquired full knowledge of the
who tread “the ford” that Maha¯v¯ıra built to the other shore
world (and the nonworld), and of the past, present, and fu-
of sam:sa¯ra. They must train themselves to follow the ideal
ture of its inhabitants, whether divine, infernal, animal, or
pattern of life, which has been set by the Jina, and they must
human. Concerning the state of enlightenment there are
master the “three jewels” of right (Jain) faith, right knowl-
again differences between the S´veta¯mbaras, who consider
edge, and right conduct; “right conduct” necessitates per-
that even a kevalin eats and complies with constraints of the
forming the difficult and constant ascetic exercises that were
body without any defilement, and the Digambaras, who be-
undertaken by the Jina himself. As a consequence, from the
lieve that following enlightenment one is free from all human
beginning great importance has been attached to religious
imperfections (such as hunger) and only sits in perfect omni-
life and to the organization of the community, in which the
science while a divine sound emanates from his person and
female devotees seem to have been particularly active and nu-
instructs his hearers, directly or otherwise.
merous. According to the Jinacaritra (134–137), “the Vener-
After attaining omniscience Maha¯v¯ıra preached the
able Ascetic Maha¯v¯ıra had an excellent community of
truth to immense assemblies of listeners and successfully or-
14,000 ´sraman:as with Indrabhu¯ti at their head; 36,000 nuns
ganized the fourfold Jain community of monks, nuns, male
with Candana¯ at their head; 159,000 lay votaries with
laity, and female laity. He was assisted in this task by eleven
S´an˙kha´sataka at their head; 318,000 female lay votaries with
gan:adharas (chiefs of religious communities): The first chief
Sulasa¯ and Revat¯ı at their head. . . .”
was Indrabhu¯ti Gautama, who is responsible for having re-
MAHA¯V¯IRA’S SIGNIFICANCE IN THE INDIAN TRADITION. It
tained and handed down Maha¯v¯ıra’s teachings. One of
cannot be denied that in the traditional biography of
Maha¯v¯ıra’s earlier disciples was Go´sa¯la, who turned against
Maha¯v¯ıra some episodes are stereotypes that systematically
him to become head of the A¯j¯ıvika sect.
serve elsewhere to describe the career of other “great men”
Finally, at the age of seventy-two, sitting “single and
(maha¯purus:as). Additionally, there are many discrepancies
alone . . . , reciting the fifty-five lectures that detail the re-
concerning the date and place of his birth, his nirva¯n:a, and
sults of karman,” Maha¯v¯ıra passed into nirva¯n:a. According
so forth. Nevertheless, there is no reason to doubt the histo-
to tradition, this occurred in the town of Papa, near Patna,
ricity of this vigorous original thinker and extremely capable
toward the end of the monsoon in the year 527
organizer. While naturally accepting many of the basic as-
BCE. This
year was to become the starting point of the era known as
sumptions of his society and his era, he was one of the first
the V¯ıra Sam:vat; nevertheless, Western scholars tend to place
to oppose the Brahmanic ritualistic orthodoxy and to suceed
Maha¯v¯ıra’s death in 467 or 477–476
in building a coherent system aimed at explaining the laws
BCE, or even later. Be
that as it may, at that time (which was a fast-day) the neigh-
of the universe and the place of humankind therein, thus
boring kings “instituted an illumination. . . . For they said:
clearly linking metaphysics with ethics and speculation with
‘Since the spiritual light is gone, let us make a material illu-
social organization.
mination’” (Jinacaritra 128). As it happened, this homage
It has been justly emphasized that Jainism (like early
coincided with the Hindu festival of D¯ıva¯l¯ı, so that Hindus
Buddhism) integrated many older beliefs and practices that
and Jains simultaneously conduct these two different cele-
had previously been nurtured only by isolated Brahmanic as-
brations.
cetics. With Maha¯v¯ıra, these ideas appear to have gained in
MAHA¯V¯IRA’S TEACHINGS. Although the various discrepan-
influence. Jainism has thus been equated with some of the
cies between the Digambara and S´veta¯mbara accounts of
most typically Indian tendencies and ideals; indeed, Jainism
Maha¯v¯ıra’s career naturally imply doctrinal differences, the
did much to enrich Indian ideals of spirituality. Among its
fundamental tenets upheld by the two churches are, none-
contributions are the belief in the powers of asceticism, in
theless, basically similar, and can be regarded as deriving
the spiritual benefit to be derived from fasting (even unto
from Maha¯v¯ıra. Maha¯v¯ıra defined a pluralist substantialism
death), and in the absolute necessity of avoiding injury to life
that, typical of Jainism, is characterized by seven (or nine)
(ahim:sa¯), whether in thought, word, or deed. This last ideal
tattvas (principles).
constitutes the first vow of the Jains, which is a dedication
to tolerance, unabated benevolence, and vegetarianism.
The first tattva is the soul or “life” (j¯ıva); it is immateri-
al, eternal, characterized by consciousness, and capable of
The Jain movement probably owes much of its influ-
cognition. The tattvas serve to explain the mechanism of
ence to the missionary zeal and gifts of Maha¯v¯ıra, and to his
transmigration, the innumerable reincarnations of the soul,
ability to organize a coherent society of religious and lay be-
and the soul’s final liberation. In this context Maha¯v¯ıra ex-
lievers. The well-structured Jain community of monks and
plained j¯ıva and its opposite, aj¯ıva; the influx of karmic mat-
nuns was, together with the Buddhist sam:gha, one of the first
ter into the soul; bondage; stoppage of karmic influx; expul-
to exist in India. In the course of time it proved to be remark-
sion of previously accumulated karmic matter; and the final
ably dynamic, capable of continuing Maha¯v¯ıra’s action, and
accomplishment of “perfection” (siddhi), when karmic mat-
even, as he himself is alleged to have done, of gaining 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
MAID OF LUDMIR
5611
sympathy and support of many rulers. Following his path
mation about her originates in oral traditions of “old women
and the example he had set, Jain nirgranthas (religious men-
in Volhynia,” first collected and published in 1909 by the
dicants) as well as laypersons have achieved the material as
historian Shmuel Abba Horodetzky. These were subsequent-
well as the spiritual glory of Jainism.
ly subjected to his own as well as others’ elaborations and ex-
pansions, which appeared in a variety of popular-historical,
SEE ALSO Ahim:sa¯; A¯j¯ıvikas; Go´sa¯la; Jainism; Moks:a;
belletristic, journalistic, and memoiristic works. Significant-
T¯ırtham:karas.
ly, the hagiographical literature of nineteenth-century Hasi-
dism does not refer to her at all, nor is any mystical or ethical
BIBLIOGRAPHY
teaching attributed to her in other genres of Hasidic writing.
All standard books on Jainism discuss the life of Maha¯v¯ıra. The
She is, however, mentioned briefly in an 1883 satirical work
Digambara views are clearly presented in Padmanabh S.
by an eastern European maskil, and, following the publica-
Jaini’s The Jaina Path of Purification (Berkeley, Calif., 1979).
Two valuable books are Bimala Churn Law’s Maha¯v¯ıra: His
tion of Horodetzky’s reports, in a handful of twentieth-
Life and Teachings (London, 1937) and Hiralal Jain and A.
century hagiographical anthologies.
N. Upadhye’s Maha¯v¯ıra: His Times and His Philosophy of Life
As the oral tradition has it, the Maid, known as Hannah
(New Delhi, 1974).
Rachel, was the only daughter of Monesh Verbermacher, an
Two important S´veta¯mbara canonical texts tell the story of
educated and well-to-do Jew in the Volhynian town of Lud-
Maha¯v¯ıra’s life: One text is included in the first book of the
mir (Vladimir). From an early age she distinguished herself
canon (A¯ca¯ra¯n˙ga Su¯tra 1.8); the other forms a major part of
not only by her beauty but also—unusually for a girl—by
the Jinacaritra (Lives of the Jinas), edited in 1882 and 1879
respectively by Hermann Jacobi, and translated from Prakrit
her ardor in prayer and remarkable aptitude for scholarship.
into English by Jacobi in volume 1 of Jaina Sûtras, “Sacred
Her betrothal to a beloved childhood playmate, which en-
Books of the East,” vol. 22 (1884; reprint, Delhi, 1964). The
tailed the customary separation of bride and groom until the
teachings of Maha¯v¯ıra are somewhat discursively presented
wedding, distressed the Maid and led to her withdrawal from
in other canonical books, among them the Su¯trakr:ta¯n˙ga and
society. This was exacerbated by the sudden death of her
Uttara¯dhyayana, also translated by Hermann Jacobi, in vol-
mother, following which she became a recluse, never leaving
ume 2 of Jaina Su¯tras, “Sacred Books of the East,” vol. 45
her room except to visit her mother’s grave. On one of her
(1895; reprint Delhi, 1964).
visits to the cemetery she fell into unconsciousness followed
Comparisons between the Buddha and the Jina have been at-
by a prolonged and mysterious illness. When she recovered
tempted by Ernst Leumann in Buddha und Maha¯v¯ıra, die
she claimed to have been given “a new and elevated soul.”
beiden indischen Religionsstifter (Munich, 1921). Maha¯v¯ıra’s
She broke off her engagement and declared that she would
career is the subject of a number of Jain quasi-epic poems
never marry, having “transcended the world of the flesh.”
from both the Digambara and S´veta¯mbara traditions, and an
From then on she adopted the full rigor of male ritual obser-
important chapter in the Tris:as:t:i´sala¯ka¯purus:acaritra, trans-
lated by Helen M. Johnson as Tris:as:t:i´sala¯ka¯purus:acaritra, or
vance, and absorbed herself, like a male pietist, in intense
The Lives of Sixty-Three Illustrious Persons by Hemacandra,
study and prayer. She became known as the “Holy Maid”
“Gaekwad’s Oriental Series,” vols. 51, 77, 108, 125, 139,
or the “Virgin” of Ludmir, and acquired a reputation for
and 140 (Baroda, 1931–1962).
miracle working. Men and women, including rabbis and
scholars, flocked to her study house in Ludmir, which func-
COLETTE CAILLAT (1987)
tioned as her Hasidic court. She would grant blessings on re-
quest and deliver her weekly Hasidic teaching at the third
Sabbath meal, as was customary among the male tsaddiqim.
MAHA¯YA¯NA BUDDHISM SEE BUDDHISM,
While her popular following grew, the male leadership of the
SCHOOLS OF, ARTICLE ON MAHA¯YA¯NA
movement disapproved, viewing her activities as a pathologi-
PHILOSOPHICAL SCHOOLS OF BUDDHISM
cal manifestation of the powers of evil and impurity. Pressure
was put on the Maid to abandon the practice of tsaddiqism
and to resume her rightful female role in marriage. Following
MAHDISM SEE MESSIANISM, ARTICLE ON
the personal intervention of Mordecai of Chernobyl—the
MESSIANISM IN THE MUSLIM TRADITION
most eminent tsaddiq of the region—she reluctantly agreed
to marry, but the marriage was never consummated and soon
ended in divorce. She married again, but divorced once
MAH:ZOR S
more, apparently remaining a “maiden” to the end of her life.
EE SIDDUR AND MAH
: ZOR
However, her marriages did have the desired effect of putting
an abrupt end to her career as a rebbe. She eventually immi-
grated to the Holy Land—a remote corner of nineteenth-
MAID OF LUDMIR (c. 1805/1815–c. 1892). A semi-
century Hasidism—where, as is almost certainly confirmed
legendary figure, the Maid of Ludmir is reputed to have been
by archival documentation from the 1860s and 1870s, she
one of the few women in Hasidism who functioned as a fully
spent the last years of her life as a childless widow affiliated
fledged spiritual master (tsaddiq or rebbe). Most of the infor-
to the Volhynian Hasidic community of Jerusalem.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5612
MAIMONIDES, ABRAHAM
The Maid of Ludmir was exceptional among the cluster
leader, and physician. He was born in Fustat, Egypt, the only
of women reputed to have exercised charismatic authority
son of the great Jewish philosopher Moses Maimonides
within the Hasidic world of their day. Unlike most of them,
(1135/8–1204). Exceptionally gifted at a precocious age,
she was not related by family ties—as mother, daughter, sis-
Abraham Maimonides studied rabbinics, philosophy, and
ter, or widow—to any of the illustrious male tsaddiqim. She
medicine with his father. Upon the latter’s demise, though
could not, therefore, draw on the associative authority that
still a mere youth of eighteen, Abraham was elected to the
some Jewish women could always derive from their connec-
esteemed position of nagid, leader of Egyptian Jewry. He was
tion to distinguished male relatives, and her charismatic
the first to occupy this office in his family, where, largely on
powers were entirely her own. Nevertheless, while her career
account of Maimonides’ aura, it became hereditary for al-
is often celebrated as a pioneering “feminist” success, the very
most two centuries. Despite the temporal and spiritual tur-
terms in which the Maid tradition has been preserved present
moil of the period, he proved to be an able administrator,
her case as an instructive failure. It serves precisely to rein-
a charismatic teacher, and an influential scholar. As court
force, not to undermine, the traditional gender boundaries
physician to the Ayyu¯bid ruler al-Malik al-Kamil (r. 1218–
she attempted to cross.
1238), he enjoyed personal relations with the Muslim au-
The phenomenon of a spiritually empowered holy vir-
thorities and men of letters, including the historian Ibn Abi
gin, so common in the wider Christian environment of Hasi-
Usaybi.
dism, was alien to the Jewish tradition, which had always
LITERARY WORKS. Though hampered by his pastoral re-
prized, albeit within limits, the practice of sexual abstinence
sponsibilities, Maimonides’ literary activity produced nota-
by some men, while greeting with suspicion and ascribing no
ble works in four main areas: polemics, halakhic jurispru-
value to the adoption of celibacy by women. The anomaly
dence, ethics, and exegesis. Of the first category, a fair part
of the celibate female rebbe was therefore perceived as an ab-
responded to the halakhic and philosophical detractors of his
erration of nature and a social deviation that the Hasidic
father’s works. His masterful Milhamot ha-shem (Wars of the
leadership was quick to suppress. Only in the twentieth cen-
Lord), written after 1235, was singularly directed against the
tury, under the impact of modern feminism and the egalitari-
criticism of the rabbis of Provence and contributed towards
an elements of Zionist ideology, could the Maid of Ludmir
the consolidation of his own prestige. As head of the Rabbin-
tradition be presented as an inspirational model for national
ical Court in Cairo, he was consulted on legal matters from
revival and proof of the alleged eradication of gender bound-
as far afield as Yemen and Provence and has left a sizeable
aries in Hasidism.
collection of responsa. As a thinker and moralist, Abraham
upheld his father’s elitist philosophical system, of which he
SEE ALSO Gender and Religion, article on Gender and Ju-
considered himself the interpreter and continuator. None-
daism; Hasidism; Tsaddiq.
theless, his mature views diverged widely from those of
Moses Maimonides. The latter had considered knowledge of
BIBLIOGRAPHY
God to be the ultimate human aim, but his son stressed ethi-
Deutsch, Nathaniel. “New Archival Sources on the Maiden of
cal perfection. Indeed, his markedly ascetic mysticism earned
Ludmir.” Jewish Social Studies 9, no. 1 (2002): 164–172.
him the epithet by which he is often referred to in later litera-
Deutsch, Nathaniel. The Maiden of Ludmir: A Jewish Holy Woman
ture, Abraham he-hasid (“the Pious”).
and Her World. Berkeley, 2003.
His magnum opus, the Kifa¯yat al- Eabidin (Complete
Horodetzky, Shmuel Abba. “Ludmirskaya Dyeva (Di Ludmirer
guide for devotees), written circa 1230, sets out his own reli-
Moyd).” Eveiskaya Starina 1, no. 2 (1909): 219–222.
gious theosophy. Written in a lively and attractive Arabic,
Horodetzky, Shmuel Abba. Ha-h:asidut ve-ha-h:asidim. 2d ed., vol.
this monumental compendium of jurisprudence and ethics
4, pp. 67–71. Tel Aviv, 1943.
is not extant in toto, but substantial manuscripts survive in
Rapoport-Albert, Ada. “On Women in Hasidism, S. A. Horodetz-
Genizah collections. It circulated widely, reaching Provence,
ky, and the Maid of Ludmir Tradition.” In Jewish History:
and was read at least into the seventeenth century. Its initial
Essays in Honour of Chimen Abramsky, edited by Ada Rapo-
sections rehearse Maimonides’ legal rulings, albeit with a dis-
port-Albert and Steven J. Zipperstein. London, 1988. With
tinctively spiritualized tone, whereas the fourth and final sec-
additional bibliographical references in note 2, and an ex-
tion, on the “special way,” highlights the virtues of the t:ar¯ıq
panded version in Zaddik and Devotees: Historical and Socio-
logical Aspects of Hasidism (in Hebrew), edited by David Assaf
(the path) advocated by Abraham. These turn out to be the
(Jerusalem, 2001).
stations (maqa¯mat), well known from classical S:u¯f¯ı manuals:
sincerity, mercy, generosity, gentleness, humility, faith, con-
Winkler, Gershon. They Called Her Rebbe: The Maiden of Lu-
domir. New York, 1991.
tentedness, abstinence, mortification, and solitude, whose
mystical goal, wusul (“arrival”), was the encounter with God
ADA RAPOPORT-ALBERT (2005)
and the certitude of his light. Abraham Maimonides openly
admires the Muslim S:u¯f¯ıs, whose practices, he claims, ulti-
mately derive from the prophets of Israel. Thus he finds bib-
MAIMONIDES, ABRAHAM ben Moses (1186–
lical counterparts for S:u¯f¯ı self-mortifications, such as com-
1237) was a theologian, jurist, mystical pietist, communal
bating sleep, solitary retreats in dark places, weeping, nightly
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAIMONIDES, MOSES
5613
vigils, and daily fasts. Notable is the obligation of the novice
decorum of the synagogue, they were not to go unchal-
to take as his guide an experienced teacher who has traversed
lenged. Despite his office and familial prestige, which consid-
all the stages of the path in order to initiate him into the in-
erably furthered the pietists’ aims, Abraham confronted
tricacies of mystical discipline before bestowing on him his
fierce opponents, who went as far as to denounce him to the
mantle, as Elijah did on Elisha.
Muslim authorities, accusing the Jewish pietists of introduc-
ing into the synagogue “false ideas,” “unlawful changes,” and
Departing from the juridical mode of his father’s legal
“gentile customs.”
code, Mishneh Torah, Abraham stresses the spiritual signifi-
cance of the traditional Jewish precepts (mitsvot, “divine
This opposition, as well as the movement’s own elitist
commandments”) and the “mysteries” they conceal, in much
character, seriously impeded its spread. With the general de-
the same manner as al-Ghaza¯l¯ı did in his classical Islamic
cline of oriental Jewry, Abraham Maimonides’ construction
summa, Ih:ya¯D Eulu¯m ad-d¯ın (Revival of the religious sci-
of a S:u¯f¯ı-influenced Jewish pietism gradually sank into obliv-
ences).
ion, though some of its mystical elements were probably ab-
S:
sorbed into the nascent Qabbalah.
U
¯ F¯I INFLUENCES. Abraham championed a pietistic circle
whose adepts were dissatisfied with formal religion. Their
S
number included his father-in-law, Hananel ben Samuel,
EE ALSO Jewish Thought and Philosophy, article on Pre-
modern Philosophy; Maimonides, Moses; Sufism.
and his own son Obadyah (1228–1265), author of the mys-
tical al-Maqa¯la al-hawdiyya (Treatise of the pool). Partly in-
spired by Abraham ar-Rabia (d. 1223), also known as he-
BIBLIOGRAPHY
hasid, whom he calls “our Master in the Way,” Abraham
Cohen, Gerson. “The Soteriology of R. Abraham Maimuni.” In
Maimonides infused traditional Judaism with S:u¯f¯ı ideals and
Studies in the Variety of Rabbinic Cultures, pp. 209–242. Phil-
adelphia, 1991.
practices.
Fenton, Paul. “Abraham Maimonides (1187–1237): Founding a
Using to the utmost his prerogative as nagid, he endeav-
Mystical Dynasty.” In Jewish Mystical Leaders and Leadership
ored to enforce on the larger community these far-reaching
in the 13th Century, edited by Moshe Idel and Mortimer
measures, which included such Islamic-influenced practices
Ostow, pp. 127–154. Northvale, N.J., 2000.
as ablution of the feet before prayer, standing in rows during
Rosenblatt, Samuel. The High Ways to Perfection of Abraham Mai-
prayer, kneeling and bowing, and raising the hands in suppli-
monides. 2 vols. Baltimore and New York, 1927–1938.
cation.
PAUL B. FENTON (2005)
Abraham justified the adoption of Muslim customs and
symbols with the idea that he had rediscovered lost mysteries
of Jewish origin in traditions preserved by the S:u¯f¯ıs but long
forgotten by the Jews in the tribulations of their exile. Call-
MAIMONIDES, MOSES (c. 1135/8–1204), helle-
ing themselves “the disciples of the prophets,” the Jewish pi-
nized name of Mosheh ben Maimon; also known by the ac-
etists confidently awaited the imminent renewal of prophecy
ronym RaMBaM (Rabbi Mosheh ben Maimon); distin-
in Israel. The ancient Jewish traditions recovered from the
guished Talmudist, philosopher, and physician, and one of
S:u¯f¯ıs were integral to the “prophetical tradition.” Restora-
the most illustrious figures of Jewish history. He had a pro-
tion of that discipline was a prerequisite to the return of
found and pervasive impact on Jewish life and thought, and
prophecy itself, whose occurrence Moses Maimonides had
his commanding influence has been widely recognized by
predicted for an unspecifiable date.
non-Jews as well as Jews. His epoch-making works in the
central areas of Jewish law (halakhah) and religious philoso-
Abraham also composed a biblical commentary. Al-
phy are considered to be unique by virtue of their unprece-
though he intended to comment on the whole Bible, only
dented comprehensiveness, massive erudition, and remark-
the sections on Genesis and Exodus seem to have been com-
able originality and profundity. Their extraordinary
pleted. Here, as in the Kifa¯ya al- Eabidin, he projects his own
conjunction of halakhic authority and philosophic prestige
mystical leanings into the patriarchal past, depicting ancient
has been widely acknowledged. While the generations before
biblical figures as pietists, similar to the manner in which
the age of Maimonides produced philosophically trained
S:u¯f¯ı literature perceives of Muh:ammad and his companions
Talmudists—scholars well versed in both Greek science and
as early S:u¯f¯ıs. He often alludes to an esoteric interpretation
rabbinic lore—the extent to which Maimonides thoroughly
of the “subtle mysteries” of the Pentateuch. Although he
and creatively amalgamated these disciplines and commit-
continually refers to his father’s interpretations, these are not
ments is most striking. Many people of differing ideological
the latter’s philosophical doctrines but rather point to his
inclinations throughout successive generations tend to find
own pietistic concepts.
in or elicit from his great oeuvre a kind of philosophia peren-
Perhaps due to his influence, later Judeo-Arabic exe-
nis.
getes, such as Tanhum Yerushalmi, and Syrian and Yemenite
EARLY LIFE AND WORKS. Maimonides was born in Córdo-
authors include certain S:u¯f¯ı elements in their works. As for
ba, Spain, to a family of scholars. In 1148 Córdoba was con-
his ritual reforms, although intended to improve the spiritual
quered by the Almohads, a fanatical Islamic confederation.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5614
MAIMONIDES, MOSES
To escape religious persecution, the family fled the city; they
dependent upon the largesse of patrons or charitable collec-
wandered through southern Spain and North Africa from
tions. But history did not favor the Maimonidean view, and
1148 to 1158 and settled in Fez for several years. In 1165
such a rabbinate did emerge.
Maimonides resumed his wanderings, going from Morocco
to the Land of Israel, which was then the scene of the Cru-
The natural integration of traditional Torah study and
sades, turbulent and inhospitable. He was unable to take root
philosophy, which was a pivot of his massive literary achieve-
there, and after making his way southward from the Crusad-
ment and an axiom of his understanding of Judaism, is em-
ers’ port city of Acre through Jerusalem to Hebron, stopping
phasized even in existential contexts. In a plaintive letter
for prayer in the holy sites, he settled in Fust:a¯t: (Old Cairo).
written in 1184, after the completion of his fourteen-volume
He began to practice medicine and became the house physi-
code of law, the Mishneh Torah, and while he was working
cian of Saladin’s vizier. In a candid letter to his favorite disci-
on the Guide of the Perplexed, he underscored his devotion
ple, Maimonides comments revealingly about his medical
to these two disciplines: “Were not the study of the Torah
practice:
my delight, and did not the study of wisdom divert me from
my grief, I should then have perished in mine affliction.”
I inform you that I have acquired in medicine a very
This is related, of course, to his intellectual open-mindedness
great reputation among the great, such as the chief
qa¯d:¯ı, the princes . . . and other grandees. . . . This
and his conviction that one should “accept the truth from
obliges me continually to waste my day in Cairo visiting
whatever source it proceeds.” Hence he affirms concerning
the [noble] sick. When I return to Fust:a¯t:, the most I
a certain work “that the ideas presented . . . are not of my
am able to do . . . is to study medical books, which are
own invention . . . but I have gleaned them from the words
so necessary for me. For you know how long and diffi-
of the wise occurring in the midrashim, in the Talmud, and
cult this art is for a conscientious and exact man who
in other of their works as well as from the words of the phi-
does not want to state anything which he cannot sup-
losophers, ancient and recent.” Torah and philosophy are
port by argument and without knowing where it has
consistently juxtaposed as sources of his teaching and as nat-
been said and how it can be demonstrated.
ural companions.
Simultaneously, Maimonides emerged as the untitled leader
of the Jewish community, combining the duties of rabbi,
Finally, Maimonides’ creativity reflects a strong peda-
local judge, appellate judge, administrative chief responsible
gogic drive. His youthful works (Millot ha-higgayon, on logic,
for appointing and supervising community officials, and
and Ma Damar ha- Eibbur, on the astronomical principles of
overseer of philanthropic foundations. He refused all remu-
the Jewish calendar) were composed in response to specific
neration for these services, a practice that reflected his reli-
requests. Throughout his life he wrote hundreds of responsa
gious and philosophical principles. His only son, Avraham,
(teshuvot)—decisions concerning the interpretation or appli-
who was to become the official head (nagid) of the Jewish
cation of the law—and letters of advice, comfort, or arbitra-
community and the author of important exegetical and
tion to all parts of the world, including Yemen, Baghdad,
philosophical works, was born in 1187; his writings are a sig-
Aleppo, Damascus, Jerusalem, Alexandria, Marseilles, and
nificant source of Maimonidean doctrine.
Lunel. Iggeret ha-shemad (Epistle on Conversion) and Iggeret
Teiman (Epistle to Yemen) are especially noteworthy. His
Maimonides’ biography underscores a noteworthy para-
code of law was intended for “small and great”; indeed, law
dox. A philosopher by temperament and ideology, a zealous
devotee of the contemplative life who eloquently portrayed
for him was an educative force leading to ethical and intellec-
and yearned for the serenity of solitude, he nevertheless led
tual perfection, and his code was intended to be not only a
a relentlessly active life that regularly brought him to the
manual of commands but an instrument of education and
brink of exhaustion. He was a harassed physician, subject to
instruction. His multifaceted erudition and constructive ex-
the pressures and whims of court service, and a conscientious
pository skills were widely appreciated, and he freely shared
leader of his community, sensitive to the physical and spiri-
their fruits with inquirers and readers. Failure to share one’s
tual needs of its members. Yet he combined this arduous rou-
knowledge with others would be tantamount to “robbing
tine with constant scholarship and literary productivity in a
one who deserves the truth of the truth, or begrudging an
way that reflected his conviction that superior leaders should
heir his inheritance” (Guide, intro. to part 3).
combine intellectual perfection with practical and moral vir-
Maimonides’ major works are the Perush ha-Mishnah
tue (Guide of the Perplexed 3.54).
(Commentary on the Mishnah), Sefer ha-mitsvot (Book of
His determination to preserve his economic indepen-
the Commandments), Mishneh Torah (Review of the Torah;
dence is completely consonant with his belief that scholars
also known as Yad ha-h:azaqah), and Moreh nevukhim (Guide
or religious functionaries should not seek or receive commu-
of the Perplexed). He also wrote some ten medical treatises
nal support. Some of his most passionate and animated prose
that illustrate his vast erudition and the high ethical stan-
(e.g., Mishneh Torah, Study of the Torah 3.10, Sanhedrin
dards he brought to medicine. They are based to a large ex-
23.5; Commentary on the Mishnah, Avot 4.7) was elicited by
tent on Arabic medical literature. One of them deals with
his distaste for this practice and his unyielding opposition to
Galen and contains a rejoinder to Galen’s criticisms of the
the existence of an institutionalized and salaried rabbinate
Mosaic Torah.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAIMONIDES, MOSES
5615
COMMENTARY ON THE MISHNAH AND BOOK OF THE COM-
sophical notion of the immortality of the soul, Maimonides
MANDMENTS. The pioneering, comprehensive Commentary
defines the term Israelites by formulating the famous thirteen
on the Mishnah, which engaged the attention of Maimonides
principles, or articles of faith, that every Israelite is expected
for about ten years (1158–1168), was intended as both an
to endorse. The thirteen principles may be reduced to three
introduction to and a review of the Talmud. Because it was
basic groups: God—his existence, unity, incorporeality, and
composed in Arabic and translated into Hebrew in install-
eternity, and the prohibition of idolatry; the law—prophecy,
ments over the next two centuries, it did not have as great
the uniqueness of Mosaic prophecy, the divine origin of the
or immediate an impact as his other works. It combines min-
written and oral law, and the eternity and immutability of
ute textual study, even lexicographical annotation, with con-
the law; beliefs relating to reward and punishment—God’s
ceptual analysis. Maimonides often digresses to elaborate a
omniscience, divine compensation for good and evil, the
theological principle or elucidate a philosophic or scientific
coming of the Messiah, and resurrection. All subsequent dis-
issue, for, as he confesses, “expounding a single principle of
cussion of dogma by Jewish thinkers relates to this Maimo-
religion is dearer to me than anything else that I might
nidean formulation.
teach.” The book includes noteworthy discussions of many
Maimonides’ introduction to Pirqei avot (Ethics of the
problems: prophecy; the reconciliation of physics with the
Fathers), entitled “Eight Chapters,” is a psychological-ethical
traditional understanding of the biblical account of creation
treatise: its basis is an analysis of the soul and its powers,
(ma Easeh bereDshit) and of metaphysics with traditional inter-
while its goal is a full presentation of Maimonides’ theory of
pretations of Ezekiel’s vision of the divine chariot (ma Easeh
the golden mean. Maimonides defines virtues as psychologi-
merkavah); the reconciliation of belief in free will with belief
cal dispositions situated between extremes of excess and defi-
in predestination; reward and punishment; the history of re-
ciency; a good deed is one that maintains the mean between
ligion; magic, medicine, and miracles; immortality and the
these two bad extremes. This theory is the basis for a forceful
world to come; and the proper methodological use of
repudiation by Maimonides of asceticism and all forms of ex-
allegory.
tremism. Maimonides criticizes Jews who imitate “the fol-
In the Commentary Maimonides was already preoccu-
lowers of other religions” (probably Sufism) by adopting self-
pied with a problem that was to engage him intermittently
mortification and renunciation of “every joy.” The last chap-
for the rest of his life and that was also becoming a staple
ter contains an unequivocal affirmation of human freedom
theme of Jewish religious thought: the metaphorical inter-
and, concomitantly, the rejection of all views (e.g., astrology
pretation of the aggadah, the sections of the Talmud that deal
and divine predestination) that would undermine free will.
with lore rather than law. Maimonides had planned to write
These introductions or excursuses, with their philosophical,
a special commentary that would classify, explain, and ratio-
psychological, and ethical disquisitions, enable the reader to
nalize the aggadah, but abandoned the idea; the Guide of the
take a rather accurate measure of the Maimonidean temper.
Perplexed, which was devoted in great part to matters of exe-
Some scholars suggest that the Guide contradicts these earlier
gesis and allegory, was, by his own account, intended as a
writings of Maimonides on many points (including, for ex-
partial replacement for this work. The interest shown by
ample, free will).
Maimonides in aggadic interpretation gives that subject more
In preparation for his great code of law, Maimonides
prestige and also suggests that the Guide is part of the aggadic
wrote the Book of the Commandments, which provides a com-
as well as the philosophic tradition.
plete list of the 613 commandments thereby helping him to
guard against forgetfulness and omissions and ensuring the
Embedded in the Commentary are three separate mono-
comprehensiveness of the code. A major achievement of this
graphs. The general introduction is a comprehensive inquiry
work is the introduction, which defines fourteen guiding
into the theoretical, historical, and doctrinal foundations of
principles that determine which laws should be included in
the oral law—its origin in the act of revelation at Sinai and,
the enumeration of the 613. The ninth principle introduces
in particular, the ongoing process of its transmission and in-
an interesting classification of laws: (1) beliefs and opinions
terpretation. Maimonides emphasizes that the oral law is a
(e.g., to acknowledge the unity of God); (2) actions (e.g., to
completely rational enterprise, subject to its own canons of
offer sacrifices); (3) virtues and traits of character (e.g., to
interpretation and brooking no suprarational interference.
love one’s neighbor); (4) speech (e.g., to pray). This fourfold
Even prophecy is of little relevance to the juridical process.
classification is significant for its all-inclusiveness and its re-
Only the prophecy of Moses was legislative; all subsequent
pudiation—intentional or incidental—of narrow “legalism,”
prophecy was merely exhortatory and could not produce new
in the pejorative sense that is often attached to the term as
laws (see also Guide 2.39).
a description of Judaism.
Chapter Ten (pereq h:eleq) of the Talmudic tractate San-
MISHNEH TORAH. Completed around the year 1178, the
hedrin, beginning “All Israelites have a share in the world to
Mishneh Torah is a presentation of Jewish law without prece-
come,” provides an occasion for Maimonides to include a
dent or sequel in rabbinic literature. It is distinguished by
lengthy excursus on Jewish belief. After criticizing crude, ma-
five major characteristics: its codificatory form, its scope, its
terialistic conceptions of the world to come and identifying
system of classification, its language and style, and its fusion
the religious concept of the world to come with the philo-
of halakhah and philosophy.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5616
MAIMONIDES, MOSES
1. Codificatory form. Maimonides presented the massive ma-
ly rejected—all these are combined in book 1, which serves
terial in crisp, concise form, eliminating indeterminate de-
as an introduction to, as well as an integral part of, the entire
bate and conflicting interpretations and formulating unilat-
code.
eral, undocumented decisions. He occasionally cites sources,
Philosophic comments, rationalistic directives, ethical
mentions names of authorities, presents more than one view,
insights, and theological principles are also incorporated in
includes exegetical and explanatory material, and describes
other parts of the Mishneh Torah. Maimonides’ systematiza-
personal views and practices.
tion of the halakhah includes a good measure of ethical inter-
2. Scope. One of the most revolutionary aspects of the code
pretation, spiritualization, and rationalization—the whole
is its all-inclusive scope, which obliterates accidental distinc-
system of t:a Eamei ha-mitsvot, the reasons for the command-
tions between the practical and the theoretical. Maimonides
ments. While not too many laws are actually rationalized, the
opposed the pervasive tendency to study only those parts of
mandate to engage in rationalization, to penetrate to the es-
the Talmud that were practical and relevant. He insisted that
sence and the real motive powers of the commandments, is
the abstruse, “antiquated” sections of the Talmud were not
clearly issued in the Mishneh Torah. It is thus most signifi-
inferior to the popular, practical sections and should receive
cant that this code reveals Maimonides as jurist and philoso-
equal time and consideration. Laws concerning sacrifices or
pher simultaneously.
the messianic period were codified by him as precisely and
comprehensively as laws concerning prayer and marital rela-
The Mishneh Torah, all the criticism of it notwithstand-
tions.
ing, exercises a decisive, extensive, nearly constant influence
on the study and practice of halakhah. This tightly structured
3. Classification. Maimonides abandoned the sequence of the
work has become a prism through which passes practically
Mishnah and created a new topical and pedagogical arrange-
all reflection on and analysis of Talmudic study. There is
ment. Classification is, of course, a prerequisite for codifica-
hardly a major literary development in the broad field of rab-
tion and necessitates interpretation, sustained conceptualiza-
binic literature—not only in the field of codification—that
tion, a large measure of abstraction, and a synoptic view of
does not relate in some way to the Mishneh Torah, a work
the entire body of material. Legal classification concerns itself
that remains sui generis, unprecedented and unrivaled.
not only with the sum total of individual laws but with the
concept of law per se. The ruling passion of Maimonides’ life
GUIDE OF THE PERPLEXED. Maimonides’ philosophic testa-
was order, system, conceptualization, and generalization, and
ment par excellence, his Guide of the Perplexed, was composed
this received its finest expression in Mishneh Torah.
in Arabic sometime between 1185 and 1190 and was trans-
lated into Hebrew just prior to Maimonides’ death by She-
4. Language and style. Maimonides chose the Hebrew of the
muEel ibn Tibbon (c. 1150–c. 1230). It is divided into three
Mishnah rather than the Hebrew of the Bible or the Aramaic
parts and covers a wide spectrum of philosophic problems.
of the Talmud and developed a rich, flexible style character-
Maimonides deals with the basic problems that engaged all
ized by precision, brevity, and elegance. As a result, the Mish-
medieval religious philosophers: faith and reason, or the rela-
neh Torah contains substantial portions of the Talmud trans-
tion of philosophy to scripture; the existence, unity, incorpo-
lated into fluent, felicitous Hebrew.
reality, and freedom of God; God’s relation to the world in
5. Fusion of halakhah and philosophy. Maimonides sought to
terms of its origin and government; communication between
bring about the unity of practice and concept, external obser-
God and man through revelation; and the issues of ethics,
vance and inner meaning, visible action and invisible experi-
free will, and human destiny, including immortality and
ence, law and philosophy. This unification of the practical,
doctrines of eschatology. The Guide was used extensively by
theoretical, and theological components is underscored by
Jewish thinkers and also by Christian scholastics, most nota-
Maimonides in a letter in which he describes the twofold ob-
bly Thomas Aquinas.
jective of the Mishneh Torah as the provision of an authorita-
Why and for whom was the Guide written? Specifically,
tive compilation both of laws and of “true beliefs.”
Maimonides composed it for his student Yosef ben Yehudah
Book 1 of the Mishneh Torah (Sefer ha-madda E, Book
ShamDun; generally, he addresses himself to the “perplexed,”
of Knowledge) is a summary of the essential beliefs and guid-
who is characterized as “a religious man for whom the validi-
ing concepts that constitute the ideological and experiential
ty of our law has become established in his soul and has be-
substructure of Judaism. Maimonides explains that he could
come actual in his belief—such a man being perfect in his
not compose a comprehensive work on the details of practi-
religion and character, and having studied the sciences of the
cal precepts while ignoring the fundamentals of essential be-
philosophers and come to know what they signify.” Mai-
liefs, those commandments that are the “root” ( Eiqqar) of
monides is not concerned to teach “the vulgar or beginners
Mosaic religion and that should be known before anything
in speculation nor those who have not engaged in any study
else. The systematic treatment of metaphysics and ethics; the
other than the science of the law, I mean the legalistic study
use of separate sections for laws of study (talmud torah) and
of the law. For the purpose of this treatise . . . is the science
laws of repentance (teshuvah); the devotion of a section to
of law in its true sense.” His reader is a religious intellectual,
idolatry, including a history of religion and a review of super-
well versed in Jewish law and classical philosophy, who is
stitions and magical practices that must be uncompromising-
perplexed because he wants to preserve the integrity of 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
MAIMONIDES, MOSES
5617
and is unwilling to renounce either. Maimonides undertakes
classical philosophic tradition of Judaism with the study of
to achieve this objective by explaining metaphysics, revealing
philosophy that was in his own day being restored under for-
the mistakes of the philosophers, and interpreting the esoter-
eign influence. He does not need to be uncomfortable when
ic meaning of the Hebrew Bible and Talmud.
in his reconstruction of the history of philosophy he ac-
knowledges the non-Jewish, primarily Muslim, stimulus for
Maimonides emphasizes his insistence upon intellectual
the medieval revival of Jewish philosophy. “We have already
rigor and proper method in achieving these goals; hence his
explained that all these views do not contradict anything said
determination to expose the mistakes of certain “philoso-
by our prophets and the sustainers of our law. . . . When
phers, particularly the followers of the kala¯m,” who frequent-
in consequence of all this [exile and loss of wisdom] we grew
ly “violate that which is perceived by the senses.” He gives
up accustomed to the opinions of the ignorant, these philo-
primacy to purity of method. The esoteric meaning of the
Bible is elicited by proper use of the method of allegory—
sophic views appeared to be, as it were, foreign to our law,
that is, the identification of the supraliteral sense of the reli-
just as they are foreign to the opinions of the ignorant. How-
gious texts. This is one way of affirming that the religious
ever, matters are not like this” (Guide 2.11). In a letter to his
tradition contains the basic truths of philosophy. Moreover,
translator, ShemuDel ibn Tibbon, he mentions his main
there is essential harmony between faith and reason. In com-
philosophic sources: Aristotle, whose books are “the roots
mon with other medieval religious philosophers, Maimoni-
and foundations of all works in the sciences”; al-Fa¯ra¯b¯ı,
des adds revelation to reason and sense perception as sources
whose “writings are faultlessly excellent—one ought to study
of knowledge. It is this epistemological assumption that al-
and understand them”; and the important commentaries on
ters classical epistemology and that accounts for Maimoni-
Aristotle by Alexander of Aphrodisias, Themistius, and Ibn
des’ axiom of the compatibility of religious tradition and
Rushd (Averroës).
philosophic reasoning. While there is no contradiction be-
Maimonidean philosophy is full of problems and dialec-
tween them, Maimonides believed that demonstrated belief
tical pressures. In order to enlighten some readers without
is superior to faith—he held what the historian of religion
disconcerting others, Maimonides abandoned his fastidious
Harry A. Wolfson called a “single-faith theory of the ratio-
organization, separated a unified presentation of views into
nalist type.”
unrelated sections, and even introduced premeditated, care-
Maimonides’ ideal was a blending of “the science of law,
fully wrought contradictions. Reading the Guide is thus a
i.e., the legalistic study of the law” with “the science of the
major challenge. To this day this dialectic continues to be-
law in its true sense.” The phrase “legalistic study of the law”
fuddle students of the Guide, who disagree concerning Mai-
is not a tautology. Maimonides here establishes in one bold
monides’ true intention and actual religious-philosophic
stroke that law is two-dimensional: legal (in the restricted,
stance.
positive sense) and metalegal or philosophical. Both, in Mai-
monides’ view, are components of the oral law. According
There is, of course, a basic tension in the very attempt
to his history of philosophy (Guide 1.71), which was shared
to combine Aristotelian philosophy with Judaism, and it is
by many Jewish, Christian, and Muslim writers down to the
not certain that the two sides of Maimonides—the sovereign
beginning of the modern era, the Jews in antiquity cultivated
master of halakhah and the zealous disciple of Aristotle—
the sciences of physics and metaphysics, which they later ne-
could be completely at ease together. Given the supremacy
glected for a variety of historical and theological reasons; they
of the contemplative life for Maimonides, what significance
did not borrow from Greek thought because philosophy was
did the practical religious life have for him? Is there a genuine
an integral part of their religious tradition. This dovetails
incompatibility between the meaningful observance of mit-
perfectly with Maimonides’ halakhic formulation (Mishneh
svot and the serious study and appreciation of physics and
Torah, Study of the Torah 1.11, 1.12), which grafts philoso-
metaphysics?
phy onto the substance of the oral law and makes its study
All difficulties notwithstanding—and he himself (Guide
mandatory. This is Maimonides’ intellectual conviction and
1.33) mentions the view of those who contend that philo-
philosophic position: the essential relationship and constant
sophic inquiry “undermines the foundations of law”—
intersection of philosophy and halakhah. For him, the issue
Maimonides remained unswervingly committed to his brand
is not the legitimacy of philosophy in religion, but the legiti-
of rationalism. Indeed, he believed that there is a religious
macy of religion without philosophy. Just as Yehudah ha-
obligation to apply one’s intellect to the study of God and
Levi considered philosophy an unwelcome intrusion, Mai-
the world. “One only loves God with the knowledge with
monides considered its absence undesirable and intolerable.
which one knows him; according to the knowledge will be
A third issue in Maimonides’ treatment of philoso-
the love. If the former be little or much, so will the latter be
phy—in addition to the epistemological issue (reason and
little or much. A person ought therefore to devote himself
revelation as twin sources of knowledge) and the historical
to the understanding and comprehension of those sciences
issue (the existence of philosophy as a part of traditional Jew-
and studies which will inform him concerning his master, as
ish lore)—is cultural: philosophy implies a measure of uni-
far as it lies in human faculties to understand and compre-
versality. Hence Maimonides assumes the identity of the lost
hend.”
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5618
MAITREYA
ACHIEVEMENT AND LEGACY. Maimonides’ lifework—the
Halkin, Abraham, and David Hartman. Crisis and Leadership:
fastidious interpretation and thoughtful reformulation of
Epistles of Maimonides. Philadelphia, 1985.
Jewish belief and practice—seems to have been clear in his
Hartman, David. Maimonides: Torah and Philosophic Quest. Phila-
mind from an early age. There is a conscious unity and pro-
delphia, 1976.
gressive continuity in his literary career. It is striking how
Lerner, Ralph. “Maimonides’ Letter on Astrology.” History of Reli-
early his ideas, ideals, and aspirations were formed, how logi-
gions 8 (November 1968): 143–158.
cally they hang together, and how consistently and creatively
Maimonides, Moses. The Book of Divine Commandments. Trans-
they were applied. As his work moves from textual explica-
lated and edited by Charles B. Chavel, London, 1940.
tion to independent exposition, and from one level of exposi-
tion to another, the reader, moving with it, feels that Mai-
Maimonides, Moses. The Code of Maimonides. 15 vols. to date.
Yale Judaica Series. New Haven, 1949–.
monides had from the very beginning a master plan to
achieve one overarching objective: to bring halakhah and
Maimonides, Moses. Guide of the Perplexed. Translated by Shlo-
philosophy, two apparently incongruous attitudes of mind,
mo Pines with introductory essay by Leo Strauss. Chicago,
into fruitful harmony.
1963.
Twersky, Isadore, ed. A Maimonides Reader. New York, 1972.
Maimonides consistently espoused a sensitized view of
religion and morality, demanding an uncompromising ob-
Twersky, Isadore. Introduction to the Code of Maimonides (Mishneh
servance of the law, openly disdaining the perfunctory view
Torah). New Haven, Conn., 1980.
of the masses, searching for the ultimate religious signifi-
Wolfson, Harry A. Studies in the History of Philosophy and Religion,
cance of every human action, and urging a commitment to,
vol. 2. Cambridge, Mass., 1977.
and quest for, wisdom and perfection. He pursued a vision
New Sources
of a meaningful observance of mitsvot combined with a genu-
Buijs, Joseph A., ed. Maimonides: A Collection of Critical Essays.
ine appreciation of philosophy. Routine piety and unreflec-
Notre Dame, Ind., 1988.
tive behavior he denigrated; Talmudism divorced from spiri-
Dobbs-Weinstein, Idit. Maimonides and St. Thomas on the Limits
tual animation he found wanting. He emphasized the
of Reason. Albany, 1995.
nobility of philosophic religion, in which rationalism and
Fox, Marvin. Interpreting Maimonides: Studies in Methodology,
piety are natural companions and through which human per-
Metaphysics, and Moral Philosophy. Chicago, 1990.
fection is advanced. As a religious rationalist, he was con-
vinced of the interrelatedness and complementarity of
Kellner, Menachem Marc. Maimonides on Judaism and the Jewish
People. Albany, 1991.
divine and human wisdom and strove doggedly for their
integration.
Kraemer, Joel L., ed. Perspectives on Maimonides: Philosophical and
Historical Studies. New York, 1991.
Maimonides knew that this could not be done easily or
Kreisel, Howard T. Maimonides’ Political Thought: Studies in Eth-
indiscriminately, but he was convinced that the very attempt,
ics, Law, and the Human Ideal. Albany, 1999.
full of tension and problems, was indispensable for the
achievement of true religious perfection. It may be said that
Leaman, Oliver. Moses Maimonides. New York, 1990.
Maimonides allowed religious rationalism, which had led a
Twersky, Isadore. Studies in Maimonides. Harvard Judaic Texts
sort of subliminal existence in earlier rabbinic writing, to
and Studies, 7. Cambridge, Mass., 1991.
claim and obtain legitimacy and dignity. Maimonides picked
ISADORE TWERSKY (1987)
up the various strands of rationalism and, by criticizing, re-
Revised Bibliography
fining, and extending them, emerged as the symbol of the
religious rationalist mentality and the harbinger of a new di-
rection in religious thought. To a great extent, subsequent
MAITREYA.
Jewish religious-intellectual history may be seen as a debate
Among the pantheon of Buddhist person-
concerning the wisdom and effectiveness of the Maimo-
ages none offers such a complex array of incarnations as does
nidean position.
Maitreya. His first and most important role is that of succes-
sor to S´a¯kyamuni as a buddha who achieves the ultimate state
of enlightenment after having been born as a human. The
BIBLIOGRAPHY
notion of Maitreya as the future Buddha is found within the
Altmann, Alexander. “Maimonides’ ‘Four Perfections.’” Israel
Oriental Studies 2 (1972): 15–24.
traditions of all Buddhists, although there is no universal
agreement about his life history or about the way in which
Bacher, Wilhelm, Marcus Brann, and David Jacob Simonsen, eds.
he will realize the destiny set forth by his position as the next
Moses ben Maimon. 2 vols. Leipzig, 1908–1914; reprint, Hil-
Buddha.
desheim, 1971.
TEXTUAL ACCOUNTS. A survey of the literature provides us
Baron, Salo W., ed. Essays on Maimonides. New York, 1941.
with some indication of the ways the Maitreya story has de-
Berman, Lawrence. “Maimonides, the Disciple of Alfa¯ra¯b¯ı.” Israel
veloped and increased in importance. The Pali canon, the
Oriental Studies 4 (1974): 154–178.
source of much of our information on the early teaching,
Epstein, Isidore, ed. Moses Maimonides. London, 1935.
does not give Maitreya much significance, mentioning 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
MAITREYA
5619
name in only one of the early texts, the Cakkavattis¯ıhana¯da
Saoshyant. In this light, Maitreya would represent the estab-
Sutta. In the noncanonic literature, two works are devoted
lishment of a world in which there is peace and abundance
primarily to Maitreya, the Anagatavam:sa and the
and where the Dharma will be taught and fully understood.
Maitreyavya¯karan:a, but the origin of these works and their
Others, however, take the position that these ideas were al-
precise dating are not known. An expanded version of the
ready present in India at the time of S´a¯kyamuni. The Bud-
Maitreya story can be found in the Divya¯vada¯na of the
dhists, as well as the A¯j¯ıvikas and Jains, taught that there
Mu¯lasarva¯stiva¯din school. Among this collection of tales is
would be new t¯ırtham:karas, jinas, and Buddhas in the future.
a story of a bodhisattva who wishes to perform an extreme
P. S. Jaini suggests that the source for the Maitreya develop-
act of ascetic practice and donate his head to a brahman
ment was within the Maha¯sa¯m:ghika school. Whereas the
teacher as a sign of his sincerity to pursue truth. But a deity,
Therava¯da paid little attention to Maitreya, giving only one
watching over the garden in which this scene occurs, at-
canonic reference, the Maha¯vastu of the Maha¯sa¯m:ghikas de-
tempts to save the bodhisattva’s life by keeping the brahman
votes a number of paragraphs to Maitreya, noting his name
at a distance. The bodhisattva pleads with the deity to allow
as Ajita, detailing events from his past lives, and telling of
him to proceed because it was in this very garden that
S´a¯kyamuni’s prediction of buddhahood for him. Thus, there
Maitreya had previously turned away from his desire to sacri-
is ample material to justify the study of Maitreya as a part
fice his life for his teacher, thus failing to fulfill his highest
of the Indian cultural and religious domain, without having
aspirations, a flaw that should not be repeated.
to rely on a diffusionist theory of external influences to ac-
The Maha¯vastu, a text from the Maha¯sa¯m:ghika sect,
count for the notion of the future buddha.
provides a list of future Buddhas, placing Maitreya’s name
at the top. In this early account we find the name Ajita used
The Maha¯ya¯na tradition has given much attention to
to refer to Maitreya in his past lives. Later, Therava¯dins be-
Maitreya, and we find in the literature many references to
came quite interested in Ajita, and the story of his life was
his life and activities. Since the Maha¯ya¯na has emphasized
the focus of much attention by the fifth and sixth centuries.
the career and development of the bodhisattva, it is under-
Ajita’s identification as the son of King Aja¯tasattu of Magad-
standable that it would place Maitreya in this honored
ha allowed the sam:gha to determine exactly where and how
group. As with the earlier tradition, all Maha¯ya¯na groups be-
the bodhisattva will make his appearance when he achieves
lieve that Maitreya will follow in the footsteps of S´a¯kyamuni.
buddhahood. According to a section on Maitreya’s life in the
In the pantheon of bodhisattvas, Maitreya is not always given
Maha¯vam:sa, a well-known history of Sri Lanka, Maitreya
the highest place; he shares with such bodhisattvas as
will reside in Tus:ita Heaven before descending to his earthly
Mañju´sr¯ı and Avalokite´svara the esteem of the community
birth and maturation. The timing of this event is noted clear-
of believers. In the Prajña¯pa¯ramita¯ texts, Maitreya is involved
ly. After S´a¯kyamuni’s parinirva¯n:a, the world will enter a pe-
in dialogue with the Buddha and a group of disciples made
riod of social and cosmological decline; five thousand years
up of bodhisattvas and arhats. The arhats, even the famous
after the last buddha, the teaching will have fallen to a low
followers of S´a¯kyamuni, are ranked far below the bodhisatt-
ebb, and the human life-span will have been reduced to ten
vas in terms of their level of understanding. Thus the
years. At this time the cycle will be reversed: life will improve
Prajña¯pa¯ramita¯ literature depicts Maitreya as ranking above
until the length of an average life-span on earth will be
an arhat such as S´a¯riputra. But Maitreya is not always por-
eighty-thousand years. In this world of long life and an envi-
trayed so flatteringly in Maha¯ya¯na literature. For example,
ronment that will be conducive to the teaching of the Bud-
in an account from the Saddharmapun:d:ar¯ıka Su¯tra,
dha, there will be a ruler, a cakravartin, who will provide for
Mañju´sr¯ı tells Maitreya that in the past, when he had taught
the welfare of the people and promote the teachings of the
the Dharma to Maitreya, Maitreya was a slothful student
Buddha. When this paradise is ready, Maitreya will descend
more interested in fame than understanding. Thus, in this
from Tus:ita Heaven, realize his full potential as a buddha,
meeting with his old teacher, Maitreya still needs answers to
and teach the Dharma to advanced beings. Maha¯ka¯´syapa,
his questions. The question of whether Maitreya and
one of the major disciples of S´a¯kyamuni, will arise from the
S´a¯kyamuni had ever met in any of their former lives also
trance state he entered after the parinirva¯n:a of his former
arises in Maha¯ya¯na literature. The Maha¯karmavibhan˙ga
teacher to once again serve a buddha and hear the teaching
states that the Buddha had indeed met Maitreya and praised
of the enlightened one.
him for his desire to live as a bodhisattva.
This millenarian view of Maitreya is still held in the
The Tantric tradition of later Maha¯ya¯na seems to have
Buddhist areas of South and Southeast Asia, and in northern
had little interest in Maitreya. This tradition’s dismissal of
Myanmar (Burma) there is a belief that a contemporary
Maitreya may be seen in the Guhyasama¯ja Tantra, in which
teacher known as Bodaw was a universal king as well as the
Maitreya is described as afraid and upset when he hears the
future Buddha Maitreya. The identification of Maitreya with
Vajraya¯na teaching. Because he is of limited learning, he is
leaders and founders is found consistently throughout Bud-
not able to comprehend this advanced instruction. The same
dhist Asia.
questioning of Maitreya’s level of comprehension is found
Scholars have suggested that the idea of the future Bud-
in the Vimalak¯ırtinirde´sa, in which Maitreya is unable to
dha may be derived from the Iranian concept of the savior
give a proper response to the layman Vimalak¯ırti, who chal-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5620
MAITREYA
lenges the prediction of buddhahood by questioning whether
throughout the Tang period (618–907); consequently,
the three times (past, present, and future) can be accepted
Maitreya’s image was hardly ever depicted. But while
as real. If they are not real, asks Vimalak¯ırti, in what sense
Maitreya was no longer a popular subject for cave paintings
can one say that a past prediction will result in future events?
or court-sponsored projects, he was not forgotten. At this
Unable to respond, Maitreya is reduced to silence. Thus the
time the Chinese people transformed him into a folk deity
Maha¯ya¯na texts present a varied view of this bodhisattva,
of great importance. Although majestic images of Maitreya
showing him as destined for a great position in the future but
carved in the caves disappeared from the repetoire of artists,
still lacking the training necessary for a full understanding
a new form of Maitreya—as a fat, laughing, pot-bellied per-
of the highest teaching within the tradition.
son—emerged in the Song dynasty. There is evidence that
this vision of Maitreya was based on a popular historical fig-
A much more glorified depiction of Maitreya occurs in
ure, a tenth-century wandering sage. He is said to have been
the Gan:d:havyuha Su¯tra. Here, Maitreya appears as a teacher
a native of Zhejiang and to have carried a hemp bag wherever
of the young Sudhana, who travels about searching for an-
he went. Children were especially attracted to him, and he
swers from more than fifty teachers. Upon entering
is often depicted surrounded by them. Many stories arose
Maitreya’s palace, Sudhana experiences, through the power
about his miraculous abilities, including one that tells of the
of Maitreya, a trance in which he has visions of important
discovery of a third eye on his back. Because of the eye people
places in the life of the future Buddha, including the place
called him a buddha, even though he begged them not to
where Maitreya achieved the trance called maitra (“kind, am-
spread the word about his characteristics. Such stories led to
icable”) that is the basis for his name. Sudhana then witnesses
the belief that this wanderer was none other than Maitreya
a long line of incarnations of Maitreya, including the life in
himself, who had come down to earth and taken this unlikely
which the bodhisattva was a king and another in which he
form, attracting people through his wisdom and loving pa-
was the king of the gods. Finally, Sudhana sees the Tus:ita
tience. Today, the figure of Maitreya in this guise is placed
Heaven, where Maitreya’s rebirth will occur just prior to
at the main entrance of Chinese monasteries, where he is
buddhahood. Maitreya tells Sudhana that they will meet
revered by all laymen who wish for good fortune and pros-
again when the final birth has been accomplished. Even the
perity.
texts that teach the superiority of the Pure Land of Amita¯bha
and are usually considered affiliated with a school that was
Because he was conceived as a future Buddha who will
in competition with the Maitreya cult indicate that Sudhana
come at a time when a great king rules, Maitreya was often
is one of the privileged ones who have the ability to see the
used by those who wanted to secure political power or give
realm of Amita¯bha.
themselves a legitimate basis for ruling. As early as the sev-
CULT. The practice that has grown up around the figure of
enth century, Chinese rulers and would-be leaders were de-
Maitreya goes far beyond the aspects that have been noted
claring themselves his incarnation or claiming they were des-
in the canonical and popular literature.
tined to prepare the nation for the advent of the new
Buddha. In 613, for example, Song Zixian, calling himself
China. When Buddhism arrived in China (c. first cen-
Maitreya, planned a revolt against the dynasty; later, during
tury CE), there was considerable interest in Maitreya, in part
the Tang, Empress Wu made the same claim when she came
because of the Daoist belief in the ever-possible appearance
to power. The Song dynasty (960–1279) saw the emergence
of a sage capable of giving salvation to an elite band of devo-
of secret societies oriented to the notion that Maitreya was
tees. As early as the Eastern Jin dynasty (317–420), Buddhist
already in the world or that the world needed to be changed
cultic life was directed toward Maitreya. Indeed, one of
to accommodate him. The political use of Maitreya by those
China’s most famous monks, Daoan, took a vow to be re-
who challenged established authority may be one reason for
born in Tus:ita Heaven in order to be near Maitreya and with
the decline of royal patronage of artworks using this bodhi-
him when he descends to earth. In the succeeding centuries,
sattva as a theme.
the Northern Wei (386–535) carved two great cave complex-
es, the first at Yungang and the other at Longmen. At Yun-
In Chinese cultic life Maitreya came to be associated
gang, the earlier of the two sites, the Maitreya figures are
with the three stages of cosmic time; he is the herald of the
prominent, and even today visitors can see him depicted in
last age. In baojuan (“precious scroll”) literature, which re-
a number of poses. The caves at Longmen also contain many
flects the attitudes and beliefs of folk religion, we find the
Maitreya figures, most dating to the first part of the sixth
notion that he is a messenger who comes to earth during the
century. Tsukamoto Zenryu¯, who charted the number of im-
last age as an ambassador of the Great Mother in order to
ages made in Longmen, has shown that although S´a¯kyamuni
save the sinful. A seventeenth-century baojuan text describes
and Maitreya were the chief models in the early days, by the
Maitreya as the controller of the heavens during the third
seventh century attention was centered instead on Amita¯bha
age, which is symbolized by the color white. He sits on his
and Avalokite´svara. (See his Shina bukkyo¯shi kenkyu¯: Hokugi-
throne, a nine-petaled lotus blossom, and waits for the time
hen, Tokyo, 1942, pp. 355ff.)
when he will rule for 108,000 years.
Interest in the Pure Land teaching reached a high level
Maitreya was an important part of Chinese Buddhist
during the seventh century and continued to have support
development, in part because many millenarian movements
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAITREYA
5621
could make full use of him without considering that he was
Buddha, the Koreans assumed that the evil age was to start
anything but a Chinese deity; his foreign origin was forgot-
in the year 1052. There was much in subsequent centuries
ton. An example of the way in which motifs can spread from
to justify the notion that an evil time had indeed come, and
one culture to another is the case of Doan Minh Huyen, the
during these times of social disorder many understandably
charismatic Vietnamese leader who preached in regions dev-
longed for the appearance of Maitreya in his role of protec-
astated by the cholera epidemics of the nineteenth century.
tor. Even in the present, believers look to Maitreya for pro-
Doan advocated the founding of communities of believers
tection and assistance. Local people in Korea still approach
who would teach followers and lead them to a state of spiri-
statues of Maitreya to pray for good fortune, the birth of a
tual perfection, thus ensuring that they would be protected
son, the cure to an illness, and for protection in times of
from the upcoming holocaust. According to Doan, Maitreya
trouble.
would descend from Tus:ita Heaven to the mountains near
The most distinctive images of Maitreya in Korea show
Cambodia to preside over the Dragon Flower Assembly and
a large platform secured to the top of his head, with either
bring about a new era.
a tiered or a rounded form placed upon it. This headpiece
The more orthodox Buddhists among the monastic and
may represent the stupa that Maitreya characteristically
lay community were interested in Maitreya because they
wears on the head.
faced the uncertainity of living in a time when the “true
The role of Maitreya in fertility cults is most easily seen
teaching” was thought to be disappearing. In Maitreya, the
in the practice now found in Korea’s Cheju Island, in the
Chinese found a deity that met their needs at many levels,
northern East China Sea. At one site on the island an image
and they did not hesitate to invest him with a variety of cos-
of Maitreya has been placed next to a phallic stone; women
tumes, abilities, and cultic functions.
come to the spot to touch the stone in the hope that this act
Korea. Another East Asian nation, Korea, has also paid
will result in the birth of a son. When one takes an inventory
much attention to Maitreya, in part because Buddhism was
of the objects toward which prayers for sons are directed,
introduced on the peninsula at a time when the Maitreya cult
Maitreya is found alongside the Dragon King, the Mountain
was at the pinnacle of its importance in China. Since
Spirit, and the Seven Stars. Of all the figures in the Buddhist
Maitreya practice was one of the first to be introduced, Korea
pantheon, Maitreya was the one thought to be most able to
held it in high esteem and continued to do so long after Chi-
answer particular prayers for children. This may explain the
nese interest in the traditional aspects of Maitreya had died.
fat belly and surrounding children found in the Chinese
The belief in Maitreya came to Korea from the Northern
form.
Wei and the kingdoms that followed it, and we can see him
Maitreya also appears as a major element in the messian-
depicted in triad compositions from both the Paekche and
ic groups that have arisen in Korea. One of these is a new
Koguryo˘ periods. Some scholars maintain that Maitreya
religion founded in the late nineteenth century known as
practice in Korea was divided into two distinct approaches.
Chungsan-gyo, whose followers believe that a disease is pres-
Under Paekche rule, believers assumed that the nation had
ent in the Kunsan area that, if not controlled, could spread
to prepare a proper environment for Maitreya before he
throughout the world and bring destruction to the human
would descend. During the Silla kingdom, on the other
race. Chungsan, the founder of this sect, taught that he alone
hand, it was thought that Maitreya would descend to the
had the magical spell necessary to control the disease. His fol-
world and operate within it even if the times were troubled.
lowers believe that he was an incarnation of Maitreya and
During the Three Kingdoms period (late fourth centu-
that he had descended to earth and for thirty years lived
ry–668), a semimilitary organization of young men, known
within an image of Maitreya. A more recent group, which
as Hwarang, came to have a special relationship to Maitreya.
has grown up around Yi Yu-song, teaches that Hananim, the
Their association with Maitreya may be rooted in a sixth-
primordial deity of Korean epics, the ruler of Heaven, will
century story about a monk who wished to have Maitreya
descend to Korea in the form of Maitreya Buddha.
reborn in the world so that he could pay homage to him.
Korean Buddhists continue to recognize Maitreya;
During a dream he discovered that Maitreya had already
twenty-seven major images of him in his majestic standing
come into the world and had taken the form of a hwarang
position have been constructed. Although the Chogye order
(“flower boy”). Identification of the hwarang with Maitreya
of monks and nuns pays little attention to this bodhisattva,
was widespread, and it may be that the images of the bodhi-
the laypeople of Korea, like those of China, refuse to let
sattva that depict him as a pensive prince with one leg crossed
Maitreya fade from their religious practice.
over the knee of the other are visual representations of this
association. During the Koryo˘ period, there was much inter-
Japan. The Japanese received the first information
est in the three periods of the teaching, and many believed
about Maitreya from Korea, a transmission that included im-
that the final period, in which the true teaching would disap-
ages of the bodhisattva. Most of the monasteries said to have
pear to be replaced with a misunderstood one, had ap-
been founded by Sho¯toku Taishi (574–622) contain statues
proached. Since the su¯tras taught that this era would be
of Maitreya in the pose of the pensive prince. It is probable
reached fifteen hundred years after the parinirva¯n:a of the
that the Japanese viewed Maitreya as a kami, able to bring
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5622
MAITREYA
long life and prosperity, and thus rituals directed toward him
tion. The identification of Kotani with Maitreya can be
were similar to those performed for indigenous spirits. Dur-
seen in the name of the retreat, Mirokusan, or Maitreya’s
ing the later Heian period (794–1185), many felt that the
Mountain.
time of the false teaching had been reached and found solace
CONCLUDING REMARKS. Maitreya has been a significant fig-
in the thought that Maitreya would soon descend to the
ure in Buddhist thought wherever the religion has found
earth and preach three sermons under the Dragon Flower
support. For lay followers, the Maitreya cult was one method
Tree. Among those who hoped to see Maitreya was Ku¯kai
of creating good karma (Skt., karman) for themselves and of
(774–835), the founder of the Shingon sect, who proclaimed
assuring that the future would be one of bliss. The element
on his deathbed that he would be born into Tus:ita Heaven,
of hope for the future is a crucial part of the idea that
where he would spend thousands of years in the presence of
Maitreya will or has appeared to lead humankind toward a
the future Buddha before descending with him to the world.
better time. Since the story of Maitreya has yet to be com-
Later developments of the Maitreya cult can still be seen
pleted, he can play a part in an infinite variety of scenarios,
in Japan. In Kashima, for example, it is believed that the rice-
each established to meet the requirements of a specific time
laden Ship of Maitreya will one day come from a paradise
and place.
out in the sea. During the Edo period (1600–1868) the
SEE ALSO Amita¯bha; Buddhas and Bodhisattvas, article on
Kashima area was the site of Maitreya dances in which the
Celestial Buddhas and Bodhisattvas; Buddhism, article on
priestess of the shrine gave an oracle that foretold the coming
Buddhism in Korea; Cakravartin; Dao’an; Korean Religion;
year’s fortune. In this capacity she reached out to the world
Mañju´sr¯ı; Millenarianism, article on Chinese Millenarian
of Maitreya, a paradise of abundance.
Movements; O
¯ motokyo¯; Reiyu¯kai Kyo¯dan; Saoshyant.
Some groups expect that Maitreya’s future appearance
will take place in Japan, on top of Kimpusan, where the Gol-
BIBLIOGRAPHY
den Land will be established and Maitreya will teach his three
Primary Sources
sermons. Followers in each of the major Buddhist areas in
“The Anagata-vamsa.” Edited by J. Minayeff. Journal of the Pali
Asia have put forth the belief that Maitreya will be born
Text Society (1886): 33–53.
within their own region and thus can be considered as one
As:t:asa¯hasrika¯prajña¯pa¯ramita¯su¯tra. Edited by Wogihara Unrai.
of their own rather than a foreigner.
Tokyo, 1932–1935.
D¯ıgha Nika¯ya. 3 vols. Edited by T. W. Rhys-Davids and J. Estlin
Many of those who, by virtue of their membership in
Carpenter. Pali Text Society Series. London, 1890–1911.
a Maitreya group, consider themselves an elite hope to re-
Translated by T. W. Rhys-Davids and C. A. F. Rhys-Davids
main on earth until Maitreya descends. In other cases, devo-
as Dialogues of the Buddha, “Sacred Books of the Buddhists,”
tees believe that he has already appeared. For example, in
vols. 2–4 (London, 1889–1921).
1773 a group known as Fujiko¯ claimed that Maitreya had
Divya¯vada¯na. Edited by E. B. Cowell and R. A. Neill. Cambridge,
manifested himself on top of Mount Fuji. The leader, a
U.K., 1886.
priest named Kakugyo¯, announced the advent of the World
Gan:d:havyuha Su¯tra. Edited by D. T. Suzuki and Idzumi Hokei.
of Maitreya. Later, Kakugyo¯ sealed himself in a cell, drinking
Kyoto, 1934–1936.
only water until his death, which his followers believe is but
Guhyasama¯ja Tantra. Edited by Benoytosh Bhattacharyya. Gaek-
a stage of waiting for the new age with the future Buddha.
wad’s Oriental Series, no. 53. Baroda, 1931.
The Fujiko¯ articulated the hopes and aspirations of agrarian
Le Maha¯vastu. 3 vols. Edited by Émile Senart. Paris, 1882–1897.
communities of the time. During the peasant rebellions of
Translated by J. J. Jones as The Maha¯vastu, “Sacred Books
the Edo, large numbers of the group went on a pilgrimage
of the Buddhists,” vols. 16, 18, 19 (London, 1949–1956).
called eejanaika, making the Ise Shrine the focus of their at-
Maitreyavya¯karan:a. Edited by Sylvain Lévi. Paris, 1932.
tention. Dancing themselves into ecstatic states, the pilgrims
Saddharmapun:d:ar¯ıkasu¯tra. Edited by Hendrik Kern and Bunyiu
proclaimed that Maitreya would bring abundant harvests.
Nanjio. Bibliotheca Buddhica. Saint Petersburg, 1914.
The twentieth century was a time of great interest in the
Translated by Hendrik Kern as Saddharma-Pun:d:ar¯ıka; or,
“new religions” (shinko¯ shu¯kyo¯), which manifested the con-
The Lotus of the Good Law, “Sacred Books of the Buddhists,”
vol. 21 (1884; reprint, New York, 1963). Kuma¯raj¯ıva’s fifth-
tinuing thread of belief in the future Buddha and his appear-
century Chinese translation of the Lotus has been translated
ance in the world. The O
¯ motokyo¯, for example, have close
by Leon N. Hurvitz as Scripture of the Lotus Blossom of the
ties with Maitreya. In 1928, Deguchi Onisaburo declared
Fine Dharma (New York, 1976).
himself an incarnation of Maitreya. This proclamation was
Sukha¯vativyu¯hasu¯tra. Edited by F. Max Müller and Bunyiu Nan-
made during the year of the dragon, which the oracle had
jio. Anecdota Oxonensia Aryan Series. Oxford, 1883. Trans-
described as the year when great changes would take place.
lated into English by F. Max Müller in Buddhist Maha¯ya¯na
Another new group, the Reiyu¯kai, was founded by Kubo
Texts, edited by E. B. Cowell et al., “Sacred Books of the
Kakutaro¯ and his sister-in-law Kotani Kimi, who was re-
East,” vol. 49 (1894; reprint, New York, 1969).
nowned as a faith healer and called a living Buddha by her
Vimalak¯ırtinirde´sa. Translated from Tibetan by Robert A. F.
followers. After her death the sect established a mountain
Thurman as The Holy Teaching of Vimalak¯ırti: A Maha¯ya¯na
training center in which her teachings are the center of atten-
Scripture (University Park, Penn., 1976).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAKARIOS OF EGYPT
5623
Secondary Sources
means of expression he produced a large number of works
Hayami Tasuku. Miroku shinko¯-mo¯ hitotsu no jo¯do¯ shinko¯. Nihon-
in Persian, of which the best known are H:aya¯t al-qulu¯b (Life
jin no ko¯do¯ to shiso¯, vol. 12. Tokyo, 1971.
of the Hearts), a work of biographies of the prophets and
Miyata Noboru. Miroku shinko¯ no kenkyu¯. Tokyo, 1975.
imams, and H:aqq al-yaq¯ın (Certain Truth), his last complet-
Murakami Shigeyoshi. Japanese Religion in Modern Century.
ed work, which sets out the main tenets of Twelver Shiism.
Translated by H. Byron Earhart. Tokyo, 1980.
In his Arabic works, al-Majlis¯ı dealt with a variety of
Sponberg, Alan, and Helen Hardacre, eds. Maitreya. Princeton,
doctrinal issues; he also composed commentaries on some of
1986.
the classical Sh¯ıE¯ı legal texts. Yet he is best known for his
Tsuruoka Shizuo. “Nihon ni okeru Miroku gesho¯ shinko¯ ni
Bih:a¯r al-anwa¯r (Oceans of Light), a voluminous encyclope-
tsuite.” Shu¯kyo¯ kenkyu¯ 144 (1955): 22–35.
dia containing a vast number of Sh¯ıE¯ı traditions from various
sources. As such, it spans virtually all major aspects of
New Sources
Twelver Sh¯ıE¯ı religious thought: the unity of God and the
Elverskog, Johan. Uygur Buddhist Literature. Turnhout, 1997. See
divine attributes; the concepts of knowledge, belief and un-
pp. 139–145 for an extensive bibliography on the Old Turk-
ish text, the Maitrismit nom bitig.
belief, and free will and predestination; the lives of the
prophets and imams and the pilgrimages to their graves; the
Ji Xianlin, Werner Winter, and Georges-Jean Pinault. Fragments
position of the QurDa¯n; and positive law.
of the Tocharian A Maitreyasamiti-Na¯t:aka of the Xinjiang
Museum, China. Berlin, 1998.
Thanks to the Bih:a¯r, much of the corpus of Sh¯ıE¯ı tradi-
Kassapathera. Anagatavamsa Desana. The Sermon of the Chronicle-
tion was saved from oblivion and returned to center stage.
To-Be. Edited with an introduction by John Holt and trans-
In preparing the work, al-Majlis¯ı relied heavily on the help
lated by Udaya Maddegama. New Delhi, 1993.
of pupils and enlisted the financial backing of the Safavid
court to obtain manuscripts of rare or inaccessible works.
Kim, Inchang. The Future Buddha Maitreya: An Iconological Study.
New Delhi, 1997.
The first volume of the Bih:a¯r appeared in 1666, and by the
time of al-Majlis¯ı’s death seventeen of the twenty-six project-
Miyata Noboru. “Maitreya and Popular Religion in Early Twenti-
ed volumes had been finished. The rest were completed by
eth Century Korea.” In Korea between Tradition and Moder-
his pupil EAbd Alla¯h Efend¯ı. A lithograph edition of the en-
nity: Selected Papers from the Fourth Pacific and Asian Confer-
ence on Korean Studies, edited by Yun-shik Chang et al.,
tire work was first published between 1885 and 1897, and
pp. 274–279. Vancouver, 2000.
a new edition containing 110 volumes has been published
in Tehran. Various volumes of the Bih:a¯r have been translat-
Nattier, Jan. Once upon a Future Time: Studies in a Buddhist
ed into Persian, and the many excerpts, abridgments, and
Prophecy of Decline. Berkeley, 1991.
supplements in existence attest to the continuing influence
Rhodes, Robert. “Recovering the Golden Age: Michinaga, Jokei
of the work.
and the Worship of Maitreya in Medieval Japan.” Japanese
Religions 23, nos. 1–2 (1998): 53–71.
BIBLIOGRAPHY
Zieme, Peter. “Zum Maitreya-Kult in uigurischen Kolophonen.”
The fullest account to date of al-Majlis¯ı’s life and works, with spe-
Rocznik Orientalistyczny 49 (1994): 219–230.
cial emphasis on his magnum opus, is Karl-Heinz Pampus’s
LEWIS R. LANCASTER (1987)
Die theologische Enzyklopädie Bih:a¯r al-Anwa¯r des Muh:ammad
Revised Bibliography
Ba¯qir al-Magˇlisi, 1037–1110 AH = 1627–1699 AD. (Bonn,
1970). There is a useful analysis of some aspects of
al-Majlis¯ı’s theology on pages 93–95 of Said Amir Arjo-
mand’s “Religion, Political Action and Legitimate Domina-
MAJLIS¯I, AL- (AH 1037–1110/11, 1627–1699/1700
tion in ShiEite Iran: Fourteenth to Eighteenth Centuries
CE), Muh:ammad Ba¯qir ibn Muh:ammad Taq¯ı, preeminent
A.D.,” European Journal of Sociology 20 (1979): 59–109.
Persian Sh¯ıE¯ı theologian in the late Safavid period. Born to
Al-Majlis¯ı’s influence on Safavid policies is discussed in Lau-
a family of renowned scholars, he was made leader of the Fri-
rence Lockhart’s The Fall of the S:afav¯ı Dynasty and the Af-
day prayers in Isfahan sometime after the death of his father
ghan Occupation of Persia (Cambridge, 1958). Abdul-Hadi
in 1659. Shah Sulayma¯n appointed him as shaykh al-Isla¯m,
Hairi’s “Madjlis¯ı” in The Encyclopaedia of Islam, new ed.
(Leiden, 1960–), contains a good bibliography. A highly
the highest religious official in the land, in 1687, and he
competent rendition of selected passages from the Bih:a¯r is
reached the zenith of his power under Shah Sult:a¯n H:usayn,
included in A Sh¯ı Eite Anthology, edited and translated by
the last Safavid ruler (1694–1722). He died and was buried
William C. Chittick (Albany, N. Y., 1981).
in Isfahan.
ETAN KOHLBERG (1987)
Al-Majlis¯ı’s career epitomizes the increasing predomi-
nance of the Sh¯ıE¯ı religious hierarchy. He used his influence
in court circles to propagate his brand of Shiism, to persecute
S:u¯f¯ıs and non-Muslims, and to encourage the often forcible
MAKARIOS OF EGYPT (300–390), also known as
conversion of Sunn¯ıs to Twelver Shiism. In order to reach
the Presbyter and Makarios the Great; Christian ascetic and
beyond the learned circles in which Arabic was used as a
monastic leader. Known from childhood for his prudence
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5624
MALALASEKERA, G. P.
and virtue, Makarios was characterized as a “child-old man,”
can, with the help of divine grace, keep the senses of the soul
that is, a child in age and an old man in conduct. At the age
clean so that they may be inundated by the divine light and
of thirty he renounced the worldly life and went to the desert
become entirely light and spirit. Denial of the desires of the
to become a monk. He repeatedly visited Antony of Egypt
world, of material cares, and of earthly bonds is carried out
and was influenced both by his way of thinking and by his
so that one can receive the Holy Spirit and through the Spirit
manner of life, which stressed flight from the world, austere
be enlightened and deified. Because of their mystical and as-
asceticism, and constant struggle against Satan. In order to
cetical character, Makarios’s writings are highly esteemed, es-
avoid the esteem and praise of others, Makarios went to
pecially in the East. They exerted a great influence on the
Scete, in the remote part of the desert, south of Nitria. Be-
mystical theology of the Orthodox church, for example in
cause the inhospitality of the place made the ascetic life there
the work of Gregory Palamas. Makarios’s influence is also ev-
difficult, only the most disciplined were able to endure it.
ident through the monastic figure and spiritual writer Eva-
grios of Pontus, his disciple.
The reputation of Makarios as a saintly man, and his
deeds, attracted many ascetics to Scete. In a short time, under
BIBLIOGRAPHY
his spiritual direction, the monastic center of Scete was en-
Davids, E. A. Das Bild vom neuen Menschen. Salzburg, 1968.
larged and reorganized. The monks’ work, their ergocheiron
as it is called in monastic language, consisted of the prepara-
Desprez, V. Pseudo-Macarie: Œuvres spirituelles, vol. 1. Sources
chrétiennes, vol. 275. Paris, 1980.
tion of baskets woven with straw cut from the marsh. They
prayed at appointed hours of the day, and on Saturdays and
Dörries, Hermann. Symeon von Mesopotamien: Die Überlieferung
Sundays they all gathered from the huts scattered around the
der messalianischen “Makarios” Schriften. Leipzig, 1941.
church for the Divine Liturgy, which was usually celebrated
Jaeger, Werner. Two Rediscovered Works of Ancient Christian Liter-
by Makarios himself. Makarios had been ordained a priest
ature: Gregory of Nyssa and Macarius. Leiden, 1954. See pages
at the age of forty, at which time he received the title of Mark
233–301. Includes the Great Epistle.
the Presbyter. Once a day the monks ate a meal consisting
Makarios. Patrologia Graeca, edited by J.-P. Migne, vol. 34. Paris,
of bread and vegetables, without oil, which was used only on
1860. Includes his letter Ad filios Dei.
Saturdays and Sundays. During the periods of the great fasts,
Makarios. Die 50 geistlichen Homilien des Makarios. Edited by
their diet was more severe. Silence was regarded as one of the
Hermann Dörries, Erich Klostermann, and Matthias
greater virtues.
Kroeger. Berlin, 1964.
During the more than sixty years that Makarios re-
THEODORE ZISSIS (1987)
Translated from Greek by Philip M. McGhee
mained in the desert, he acquired the reputation of a great
saint and wonder-worker. He was exiled for a short time to
a small island in the Nile by the Arian bishop Lucius and
died at the age of ninety. In the Orthodox church his feast
MALALASEKERA, G. P. (1899–1973), Buddhist
day is January 10; in the Western church it is January 15.
scholar, founder of the World Fellowship of Buddhists, and
a dominant figure in the cultural life of Ceylon (now Sri
The main works that come from the mouth, if not the
Lanka). Born in Panadura, the son of a prosperous family,
hand, of Makarios are his Forty-six Sayings, included in
Gunapala Piyasena Malalasekera grew up in a scholarly at-
Gerontica (narratives on the ascetical accomplishments of the
mosphere. As a schoolboy he was tutored in the Sinhala, San-
Gerontes, or elders, of Scete). Gennadius of Marseilles men-
skrit, and Pali classics by his father, an Ayurvedic physician.
tions a letter of Makarios’s that probably is the same as the
During his formative years, Malalasekera was also deeply in-
first letter, Ad filios Dei, of the Latin collection. There is an-
fluenced by learned monks whom he came to know through
other short ascetical text of about two hundred lines, pre-
his father, and he was inspired by men like Anaga¯rika
served in the Codex Jerusalemitus 113.
Dharmapa¯la (1864–1933), a leader in the Buddhist revivalist
Some collections of homilies, discourses, and letters at-
movement that had arisen in the age of British colonial re-
tributed to Makarios probably do not belong to him. Cur-
pression of nationalistic aims and aspirations.
rent research regards Asia Minor or Syria as their place of ori-
Preparing to follow in his father’s footsteps, Malalasek-
gin and the ascetic Symeon of Mesopotamia as their author.
era entered the Medical College in Colombo in 1917, but
Preeminent among these is the collection of fifty homilies
he had to abandon his medical studies the following year,
known as the Spiritual Homilies. However, the question of
upon his father’s untimely death. Via external registration at
authorship of the Spiritual Homilies still remains open. Also
the University of London, he then turned to the study of
attributed to Makarios are three other collections of various
Western classics, graduating with first-class honors in 1919.
numbers of homilies; four letters (among which is the Great
In 1921 he joined the premier Buddhist school in Colombo,
Epistle); seven treatises, or ascetical discourses; and two
A¯nanda College, as a teacher, and in ensuing years he became
prayers, still used in the Greek Orthodox church.
first its vice-principal and then its acting principal.
In his writings Makarios presents the struggle of the
Upon the return of A¯nanda’s principal, Patrick de Silva
faithful against evil, the world, and the passions. The believer
Kularatne (1893–1976), Malalasekera was profoundly influ-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MALBIM
5625
enced by him in matters both educational and nationalistic.
portant platform for shaping public opinion, and he was
He went abroad for postgraduate studies at the University
principally responsible for the founding, in May 1950, of the
of London and obtained both the M.A. and the Ph.D. de-
World Fellowship of Buddhists, modeled largely after the
grees in 1925. On his return home in 1926 he was appointed
ACBC.
principal of Na¯landa¯ Vidya¯laya, the new sister school of
Until that time, the voice of the Buddhist population,
A¯nanda, and within a year developed it to some stature. He
which forms more than a fifth of the human race, had not
was then appointed lecturer in Sinhala, Sanskrit, and Pali at
been heard, nor its views adequately expressed, nor its aspira-
University College, Colombo, and for most of the next three
tions respected in world assemblies. Communication among
decades he pursued a brilliant academic career. He held the
Buddhists of various lands had been limited, and Buddhists
chair of Pali and Buddhist studies from the establishment of
the world over had had no forum to air their grievances or
the University of Ceylon in 1942 until his resignation in
to redress injustices. The differences between the Maha¯ya¯na
1959. As professor and dean for the greater part of this peri-
and Therava¯da schools had led to disunity. It was Malalasek-
od, which saw the rapid expansion of the Faculty of Oriental
era’s indefatigable efforts that brought them together. As a
Studies, he was a highly respected member of the academic
sequel to a resolution passed at the twenty-eighth session of
community.
the ACBC in 1947, a resolution was passed at a conference
In 1957 Malalasekera was appointed ambassador to the
of world Buddhist leaders held in 1950 in the historic Tem-
Soviet Union, and he represented Ceylon at the ambassado-
ple of the Tooth, in Kandy, to establish the World Fellow-
rial level in Canada, the United Nations, and the United
ship of Buddhists. Malalasekera was founder-president from
Kingdom until 1967, when he was called home to chair the
1950 to 1958. During his lifetime it grew into a dynamic
National Council of Higher Education, a post in which he
organization, expressing Buddhist opinion and unifying
served with distinction for five years. Despite the demands
Buddhists under the six-hued flag bearing the emblem of the
of diplomatic assignments and administrative responsibili-
dharmacakra, the Wheel of the Law, as a symbol of peace.
ties, his scholarly activities were undiminished.
BIBLIOGRAPHY
Malalasekera’s major works include The Pali Literature
Dharmabandhu, T. S. Sim:hala v¯ırayo¯. Colombo, 1949. In Sin-
of Ceylon (London, 1928); Vam:satthappaka¯sin¯ı (London,
hala.
1935), a critical edition of the exegesis on the Maha¯vam:sa
(Great Chronicle of Sri Lanka); the Extended Maha¯vam:sa
Guruge, Ananda, ed. Return to Righteousness: A Collection of
Speeches, Essays and Letters of the Anagarika Dharmapala. Co-
(Colombo, 1937); The Dictionary of Pali Proper Names (Lon-
lombo, 1965.
don, 1937); and An English-Sinhalese Dictionary (Colombo,
1948). He wrote a large number of other scholarly books and
Hewage, L. G., et al., eds. All Ceylon Buddhist Congress:
articles, and he contributed extensively to popular journals
Malalas¯ekara anusmaran:a san:grahaya. Colombo, 1973. In
Sinhala.
both in Ceylon and abroad. His highest intellectual achieve-
ment, however, was the work he did on the Encyclopaedia of
Wijesekera, O. H. de A., ed. Malalasekera Commemoration Vol-
Buddhism, whose completion he, as editor in chief, did not
ume. Colombo, 1976.
live to see. This undertaking, sponsored by the government
Wijewardena, Don Charles. The Revolt in the Temple. Colombo,
of Ceylon in commemoration of twenty-five hundred years
1953.
of Buddhism, was commenced in 1956 and is still in prog-
New Sources
ress. As a contribution to Buddhist learning, it will stand as
Freiberger, Oliver. “The Meeting of Traditions: Inter-Buddhist
a monument to Malalasekera’s love of scholarship and great
and Inter-Religious Relations in the West.” Journal of Global
perseverance as a student of the divers aspects of Buddhist
Buddhism 2 (2001).
thought, culture, and civilization.
N. A. JAYAWICKRAMA (1987)
Throughout his life, Malalasekera participated in vari-
Revised Bibliography
ous spheres of interest in Ceylon, religious and social, cultur-
al and intellectual. At government level his advice was sought
in many fields and was acceptable to people of all shades of
MALBIM, acronym (MaLBIM) of MeDir Loeb ben
political opinion, for he discreetly steered clear of party poli-
Yeh:iDel MikhaDel (1809–1879), European rabbi and exegete.
tics. He stood for equity and social justice, always taking up
Born in Volhynia, Russia, Malbim was chief rabbi of Roma-
the cause of the underprivileged. As a social worker, he trav-
nia from 1858 to 1864, having earlier served as rabbi to a
eled the country at his own expense and addressed gatherings
number of communities in eastern Europe.
large and small. He was frequently heard over Radio Ceylon.
His was a receptive mind, and he was noted for his ability
Malbim’s life coincided with the struggle of European
to expound with precision and clarity on topics from fine arts
Jewry to achieve political rights. Some Jews, considering that
and humanities to social sciences and current affairs. As a re-
the Judaism of the ghetto impeded their acceptance by their
ligious leader, for twenty-five years Malalasekera was presi-
Christian neighbors, drifted away from Judaism. Others,
dent of the All-Ceylon Buddhist Congress (ACBC), an im-
who called themselves reformers, questioned the binding au-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5626
MALCOLM X
thority of the oral law, much of which seemed to them in-
of nine children, was later committed to an insane asylum.
compatible with the spirit of their age and therefore an im-
Malcolm attended school in East Lansing, Michigan,
pediment to emancipation. Malbim, a passionate and
dropped out at the eighth grade, and then moved to live with
unyielding exponent of traditional Judaism, challenged the
an older sister in the Roxbury section of Boston. There he
new Reform movement in his sermons and in his major
became involved in petty criminal activities. As an unem-
work, a multivolume commentary on the entire Hebrew
ployed street hustler and the leader of an interracial gang of
Bible. Ha-Torah ve-ha-mitsvah, his commentary on the Pen-
thieves in Roxbury, and later in Harlem, he was known as
tateuch, and Miqra Dei qodesh, his commentary on the Proph-
“Detroit Red” for the reddish tinge of his hair. During his
ets and Hagiographa, were published between 1845 and
prison years (1946–1952), he underwent the first of his two
1876. In them, Malbim undertook to demonstrate that both
conversion experiences when he converted to the Nation of
the written law and the oral law form a unity, each compo-
Islam led by Elijah Muhammad. Following the tradition of
nent of which can be understood only through the other, and
the Nation of Islam, he replaced his surname with an X, sym-
that, since the entire corpus of law and lore contained in the
bolizing what he had been and what he had become: “Ex-
Talmud and Midrash had been revealed at Sinai together
smoker. Ex-drinker. Ex-Christian. Ex-slave.”
with the written law, no provision of either could be abrogat-
An articulate public speaker, charismatic personality,
ed or amended. His stern refusal to compromise his convic-
and indefatigable organizer, Malcolm X expressed the rage
tions brought him into repeated conflict with the leaders of
and anger of the black masses during the major phase of the
the communities he served, and his rabbinate was not a
civil rights movement from 1956 to 1965. He organized
happy one.
Muslim temples throughout the country and founded the
Malbim introduces his commentary to Leviticus with a
newspaper Muhammad Speaks in the basement of his home.
detailed analysis of 613 features of Hebrew lexicography,
He articulated the Nation of Islam’s beliefs in racial separa-
grammar, and biblical style that he insists had been forgotten
tion and rose rapidly through the ranks to become minister
by the medieval Jewish exegetes. He denies, for example, that
of Boston Temple No. 11 and was later rewarded with the
true synonyms are to be found in the Hebrew Bible. Instead,
post of minister of Temple No. 7 in Harlem, the largest and
an apparent synonym really introduces a new thought that
most prestigious temple of the Nation of Islam after the Chi-
demands its own exposition. Every word in scripture is the
cago headquarters. Recognizing Malcolm’s talents and abili-
only word that could have been used in that particular con-
ties, Elijah Muhammad also named him “national represen-
text, and every verse conveys its own sublime meaning,
tative” of the Nation of Islam, second in rank to Elijah
though often that lofty message can be fathomed only by ref-
Muhammad himself.
erence to Talmud, Midrash, and the literature of the Jewish
In 1963, after his public comments on President John
mystics.
F. Kennedy’s assassination, Malcolm X was ordered by Elijah
Muhammad to undergo a period of silence, an order that re-
Because of his vigorous advocacy of traditional Judaism,
flected the deep tensions and disputes among Black Muslim
Malbim remains a revered figure in Orthodox Jewish circles.
leaders. In March 1964, Malcolm left the Nation of Islam
Unfortunately, he is little known to the world of biblical
and founded his own Muslim Mosque, Inc. During his pil-
scholarship because few of his writings have been published
grimage to Mecca that same year, he experienced a second
in English.
conversion, embraced the orthodox universal brotherhood of
Sunn¯ı Islam, and adopted the Muslim name el-Hajj Malik
BIBLIOGRAPHY
el-Shabazz. He then renounced the separatist beliefs of the
Malbim’s commentary on the Hebrew Bible has been republished
Nation of Islam. In 1965, he founded the Organization for
in four volumes in the series “Otsar ha-perushim” (Jerusa-
Afro-American Unity as a political vehicle to internationalize
lem, 1956–1957). Volume 1, on Genesis, has been translated
the plight of black Americans, to make common cause with
into English by Zvi Faier in two volumes (Jerusalem, 1978–
Third World nations, and to move from civil rights to
1979). M. M. Yoshor has written a biography in Hebrew,
Ha-ga Don Malbim (Jerusalem, 1976). Yehoshua Horowitz’s
human rights. On February 21, 1965, Malcolm X was assas-
brief article on Malbim in the Encyclopaedia Judaica (Jerusa-
sinated while delivering a lecture at the Audubon Ballroom
lem, 1971) is the best source of information on Malbim in
in Harlem. His martyrdom, ideas, and speeches contributed
English.
to the development of black nationalist ideology and the
black power movement in the late 1960s in the United
A. STANLEY DREYFUS (1987)
States.
SEE ALSO Elijah Muhammad.
MALCOLM X (1925–1965) was an American Black
BIBLIOGRAPHY
Muslim leader, born Malcolm Little on May 19, 1925, in
Breitman, George, ed. Malcolm X Speaks. New York, 1965. A col-
Omaha, Nebraska. His father, the Reverend Earl Little, a fol-
lection of Malcolm X’s speeches.
lower of Marcus Garvey and a Baptist minister, died when
Goldman, Peter. The Death and Life of Malcolm X. New York,
Malcolm was six years old, and his mother, the sole support
1973. Focuses on the last year of Malcolm X’s life and 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
MA¯LIK IBN ANAS
5627
the events, personalities, and controversies surrounding his
subject to organic growth and redaction. It existed in fifteen
assassination.
known recensions, of which eight have been preserved at
Lincoln, C. Eric. The Black Muslims in America. Boston, 1961.
least partially. The most influential of these is the “Vulgate”
Remains the best historical overview of the development of
of Yahya ibn Yahya al-Laythi (d. 848); the recensions of al-
the Nation of Islam under the leadership of Elijah Muham-
Shaybani (d. 805) and Ibn Wahb (d. 812) depart from that
mad and Malcolm X.
recension considerably, others somewhat less. Jonathan
Malcolm X, with the assistance of Alex Haley. The Autobiography
Brockopp argues on the basis of fragments of al-Mukhtasar
of Malcolm X. New York, 1965. Still the best source of in-
al-kabir fi al-fiqh by Abd Allah ibn Abd al-Hakam that this
sights regarding Malcolm X’s life and the development of his
text and the Muwatta D probably preserve a core of authentic
views, including his conversion experiences and the reasons
juridical dicta which may be attributed reliably to Ma¯lik
for his dispute with other Black Muslim leaders.
himself.
Mamiya, Lawrence H. “From Black Muslim to Bilalian: The Evo-
lution of a Movement.” Journal for the Scientific Study of Reli-
Ma¯lik’s intellectual activity belongs to the period of Is-
gion 21 (June 1982): 138–152. Examines Malcolm X’s influ-
lamic jurisprudence when the explicit legislative legacy pro-
ence on the leaders of the major schismatic groups in the
vided by the QurDa¯n and the Prophet Muh:ammad was prov-
Black Muslim movement—Warith D. Muhammad and
ing insufficiently complete for the needs of the rulers of the
Louis Farrakhan—and their divergent directions.
expanding empire, and they were turning for further guid-
L
ance to religious specialists such as Ma¯lik. It became the task
AWRENCE H. MAMIYA (1987)
of these early jurists to ensure the Islamic character of public
administration as well as to suggest ways in which individual
Muslims could lead more pious lives. Before Ma¯lik’s time,
MA¯LIK IBN ANAS (d. 795), was a renowned Muslim
legal literature consisted of compendia of h:ad¯ıth (tradi-
jurist and the eponymous founder of the Ma¯lik¯ı school.
tions)—biographical reports of the actions and statements of
Ma¯lik was born sometime between 708 and 715 in Medina,
the Prophet and his contemporaries that were considered au-
where he spent most of his life and where he died. Biographi-
thoritative guidelines for behavior—and compendia of the
cal tradition records that for a while he was a professional
decisions of authoritative scholars on various theoretical and
singer, but because he was ugly, his mother advised him to
practical issues. Ma¯lik’s achievement was to combine these
give up that career. Instead, he became, like an uncle and a
two sources of authority. Ma¯lik set forth, drawing on the
grandfather before him, a religious scholar. Ma¯lik studied
h:ad¯ıth, the legal practices that had evolved in Medina. He
with a number of well-known scholars of Medina and then,
at times based legal doctrines on the actual practice ( Damal)
as his fame spread, acquired many pupils of his own.
of Medina, at times appealed to the consensus among the au-
In 762 he lent the weight of his reputation to an Alid
thoritis of Medina, and at times drew on sound opinion
revolt against the Abbasid caliph al-Mans:u¯r. When that
(ra Ey) or consideration of what is best (istihsan). The subse-
failed, he was punished by the governor of Medina. But his
quent Ma¯lik¯ı tradition emphasized the first two principles
prestige did not suffer, and he regained royal favor. The next
but downplayed that latter two. Unlike later jurists, Malik
three caliphs, al-Mahdi, al-Hadi, and Ha¯ru¯n al-Rash¯ıd, were
does not restrict h:ad¯ıth or the concept of sunnah (revered
personally interested in his work, and Ha¯ru¯n, while on a pil-
practice) to the Prophet Muh:ammad alone. Despite the in-
grimage in the last year of Ma¯lik’s life, even attended one of
consistencies of his own procedure, the use of h:ad¯ıth to sup-
his lectures. The Fihrist of Ibn al-Nadim (composed 987) re-
port existing legal opinion came to play a vital role in the
ports that Ma¯lik addressed a treatise on the land tax to
subsequent systematization of Islamic legal thinking and in
Ha¯ru¯n, a counterpart to the famous Kita¯b al-kharaj of the
the codification of Islamic law.
Iraqi jurist Abu¯ Yu¯suf (d. 798), but some scholars consider
The Muwatta D is arranged in chapters that deal with the
this apocryphal. After spending his entire life in Medina,
ritual and legal concerns of the Muslim community, and it
Ma¯lik died in 795 and was buried there in al-BaqiE Ceme-
represents the accepted legal practice of Medina as it was
tery.
taught by Ma¯lik and his contemporaries. The enduring and
The two main sources for Ma¯lik’s legal scholarship are
widespread influence of the Muwatta D may in part be due to
his Kita¯b al-muwatta D (Book of the smoothed path) and the
the middle-of-the-road quality of the Medinese doctrine it
Mudawwana (The recorded book) of Sahnun (d. 854), a stu-
presents but should be attributed even more to the activities
dent of Ma¯lik’s student Ibn al-Qasim (d. 806). The textual
and geographical distribution of successive generations of
histories of both works are complex, and Norman Calder has
Ma¯lik’s pupils, who gradually came to think of themselves
suggested that neither was an “authored text” but came into
as followers of a distinctive school. Soon after Ma¯lik’s death,
their present forms in about 890 and 864, respectively. Be-
Fustat in Egypt became a major center for the elaboration
fore this they existed only as open texts belonging to a semi-
of Ma¯lik¯ı legal doctrine; Qayrawan in Tunisia and Córdoba
oral school tradition. Calder’s datings have been pushed ear-
in Spain quickly followed. An eastern branch of the Ma¯lik¯ı
lier by subsequent scholarship based on extant manuscripts,
school boasted considerable influence in Baghdad in the late
but the Muwatta D especially seems nevertheless to have been
ninth century and the tenth century but dwindled thereafter.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5628
MALINOWSKI, BRONISLAW
The Ma¯lik¯ı school still predominates in North Africa and in
natural sciences to the human sciences, he entered the Lon-
the other Muslim communities of Africa.
don School of Economics in 1910 and received a D.Sc. in
1916. He later traced his decision to study anthropology to
BIBLIOGRAPHY
his reading of James G. Frazer’s The Golden Bough. The trib-
Abbott, Nabia. Studies in Arabic Literary Papyri, vol. 2: Qur Da¯nic
ute was apt, for Malinowski became the leading British an-
Commentary and Tradition. Chicago, 1967. A valuable study
thropologist of the generation following Frazer’s, but also
of early Muslim scholarly activity.
ironic, for no one did more to repudiate Frazer’s method.
Brockopp, Jonathan E. Early Ma¯ik¯ı Law: Ibn Abd al-Hakam and
Malinowski’s first contact with primitive society came
His Major Compendium of Jurisprudence. Leiden, Nether-
during five months among the Mailu of Toulon Island off
lands, 2000. Translation and study of manuscript fragments
of an early-ninth-century compendium of Ma¯lik¯ı law found
the southern coast of New Guinea in 1914–1915. In June
in Qairawan.
1915 he began the first of two extended periods of observa-
tion on the Trobriand Islands, to the east of New Guinea.
Calder, Norman. Studies in Early Muslim Jurisprudence. Oxford,
Although colored by personal stress and ambivalence toward
1993. Revisionist work suggesting that many of the seminal
works of Islamic law, including the Muwatta D, are the prod-
the natives, his twenty-one months in the Trobriands shaped
uct of organic growth and revision and cannot be dated as
his entire career. He became the apostle and exemplar of a
early as supposed.
new standard of anthropological fieldwork: ethnography
must rely, he believed, on the participation of the ethno-
Dutton, Yasin. The Origins of Islamic Law: The Qur Dan, the Mu-
watta D and Madinan EAmal. Surrey, U.K., 1999. Argues
grapher in the society under observation, rather than on the
along traditional lines that the Muwatta D preserves authentic
reports of travelers, missionaries, and hasty surveys. His field-
legal material going back to the nascent Muslim community.
work completed, Malinowski married Elsie Masson, daugh-
ter of a Melbourne chemistry professor. He began teaching
Goldziher, Ignácz. Muslim Studies, vol. 2. Edited by S. M. Stern,
translated by Stern and C. R. Barber. Chicago, 1973. The
at the London School of Economics after completing the
fundamental work on the development of h:ad¯ıth in Islamic
manuscript of Argonauts of the Western Pacific (1922), the
thought.
first of his many books on the Trobriands. In 1927 he be-
came the first professor of anthropology at the University of
Muranyi, Miklos. Materialien zur malikitischen Rechtsliteratur.
Wiesbaden, Germany, 1984.
London.
Muranyi, Miklos. Ein altes Fragment medinensischer Jurisprudenz
Malinowski’s approach to anthropology was psycholog-
aus Qairawan: Aus dem Kitab al-Hagg des EAbd al- EAziz b.
ical, but not psychoanalytic. His most celebrated work
EAbd Allah b. Abi Salama al-Magisun (st. 164/780–81).
among nonspecialists was probably Sex and Repression in Sav-
Stuttgart, Germany, 1985.
age Society (1927), in which he denies Sigmund Freud’s claim
Muranyi, Miklos. EAbd Allah b. Wahb (125/743–197/812): Leben
that the Oedipus complex is universal. In this book Mali-
und Werk: al-Muwatta D, Kitab al-Muharaba. Wiesbaden,
nowski argues that among the Trobriand Islanders matrilin-
Germany, 1992.
eal descent (reinforced by ignorance of physiological paterni-
Muranyi, Miklos. Beiträge zur Geschichte der Hadit- und Recht-
ty) diverted a boy’s hostility from his father to the distant
sgelehrsamkeit der Malikiyya in Nordafrika bis zum 5. Jh.
authority figure of his maternal uncle. Trobriand men re-
d.H.: Bio-bibliographische Notizen aus der Moscheebibliothek
pressed sexual desire for their sisters, not their mothers. Mali-
von Qairawan. Wiesbaden, Germany, 1997.
nowski rejects Freud’s claim in Totem and Taboo (1913) that
Muranyi, Miklos. Die Rechtsbücher des Qairawaners Sahnun B.
an original Oedipal “crime” had established human culture:
Sa Eid: Entstehungsgeschichte und Werküberlieferung. Stuttgart,
Freud’s Lamarckian group psychology is simply wrong, Ma-
Germany, 1999. Muranyi’s studies, based primarily on early
linowski argues, and any other means of perpetuating the
manuscripts extant in Qairawan (Tunisia), give the fullest
memory of the act requires the preexistence of culture.
and most exact and authoritative account of the transmission
of Malik’s teachings and legal doctrines.
Malinowski’s attack on Freud reflected no personal re-
Schacht, Joseph. An Introduction to Islamic Law. Oxford, 1964.
luctance to generalize; he had none of the methodological
Anauthoritative general introduction with a valuable bibliog-
caution of his American contemporary Franz Boas. Mali-
raphy.
nowski’s generalizations were rarely the product of systemat-
ic cross-cultural comparison: having rejected the Victorians’
SUSAN A. SPECTORSKY (1987)
reliance on written sources, he went to the other extreme and
DEVIN J. STEWART (2005)
generalized from his own intensive but necessarily limited
fieldwork. His theory—“functionalism”—stressed the role of
human culture in satisfying a hierarchy of human needs, con-
MALINOWSKI, BRONISLAW (1884–1942), Pol-
sisting of those that are basic (i.e., biological), derived (i.e.,
ish-English social anthropologist. Born into an educated and
cultural or social), and integrative (i.e., normative). He at-
aristocratic family, Bronislaw Kasper Malinowski received
tacked the evolutionists’ concept of “survivals” and the diffu-
his Ph.D. in physics and mathematics from the Jagiellonian
sionists’ concept of “culture complexes,” with their implica-
University of his native Cracow in 1908. Switching from the
tions that cultures are heterogeneous accumulations 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
MAMI WATA
5629
sometimes useless objects and institutions. While his Ameri-
sabbatical; rather than return to Europe during World War
can contemporaries, notably Ruth Benedict, saw cultural
II, he was for three years a visiting professor at Yale Universi-
unity in terms of a culture’s dominant style or personality,
ty. In 1940 he married Valetta Swann, an artist. During the
he saw it in the fulfillment of individual and group needs.
summers of 1940 and 1941 he went into the field again to
In part because of Malinowski’s own work, evolutionism and
study Mexican peasant markets in conjunction with a young
diffusionism were both in retreat by the 1930s. As they re-
Mexican ethnologist, Julio de la Fuente. In early 1942 he ac-
ceded from view, functionalism lost much of its original
cepted Yale’s offer of a permanent professorship effective that
force, and after his death Malinowski the ethnographer was
October. He never took up the appointment; his death of
praised above Malinowski the theorist.
a heart attack on May 16, 1942, caught him in the midst of
new beginnings. Doubly an émigré, he lost the chance to
Malinowski never wrote an account of Trobriand cul-
play in America the commanding role he had held in British
ture as a whole; he studied individual institutions in their so-
social science between the wars.
cial settings. The attention he paid to Trobriand economics
and sex was in line with the premises of functional theory.
His book Argonauts of the Western Pacific describes the com-
BIBLIOGRAPHY
plex and highly ritualized interisland trade known as kula;
A full list of Malinowski’s works appears in the essential secondary
The Sexual Life of Savages (1929) deals with sex and the fami-
work, Man and Culture; An Evaluation of the Work of Bronis-
law Malinowski, edited by Raymond Firth (London, 1957).
ly; and Coral Gardens and Their Magic (1935) discusses Tro-
Malinowski’s A Diary in the Strict Sense of the Term (New
briand agriculture. In all these works Malinowski de-
York, 1967) covers his Mailu research and his second stay in
emphasizes the “primitive” nature of Trobriand life by stress-
the Trobriands. Malinowski’s and Julio de la Fuente’s Mali-
ing the rational organization of economic life and focusing
nowski in Mexico: The Economics of a Mexican Market System,
on the nuclear family rather than on the segmentary kinship
edited by Susan Drucker-Brown (London, 1982), is the re-
system.
sult of his last fieldwork. The Ethnography of Malinowski: The
Trobriand Islands, 1915–18, edited by Michael W. Young
Malinowski also applied functional analysis to less obvi-
(London, 1979) is a convenient reader, and its editorial notes
ously useful activities. In Myth in Primitive Psychology
cite recent work on both Malinowski and the Trobriands.
(1926), he argues that myths are neither explanations of nat-
The first comprehensive challenge to Sex and Repression is
ural phenomena nor poetry; instead, they are validations of
Melford E. Spiro’s Oedipus in the Trobriands (Chicago,
the social order. The mythic “charter” strengthens tradition
1982).
by appealing to the design and experience of a supernatural
New Sources
past. Myths of origin, for example, explain the relative supe-
Ellen, R. F. Malinowski between Two Worlds: The Polish Roots of
riority and inferiority of different Trobriand clans. Malinow-
an Anthropological Tradition. Cambridge U.K.; New York,
ski’s explanation of magic denies both Lucien Lévy-Bruhl’s
1988.
claim that primitive thought is “prelogical” and Frazer’s the-
Gonzalez, Roberto J. “Between Two Poles: Bronislaw Malinow-
ory of an evolutionary progression from magic to religion to
ski, Ludwik Fleck, and the Anthropology of Science.” Cur-
science. In “Magic, Science and Religion,” an essay in Sci-
rent Anthropology 36, no. 5 (1995): 177–204.
ence, Religion and Reality, edited by Joseph Needham (Lon-
don, 1925), Malinowski argues that magic provides psycho-
Stocking, George W. Malinowski, Rivers, Benedict, and Others: Es-
logical encouragement and a rationale for group cooperation
says on Culture and Personality. Madison, Wis., 1986.
in those activities where primitives lack the knowledge or
Strenski, Ivan. Malinowski and the Work of Myth. Princeton, N.J.,
technical ability to ensure success. Magic is a supplement to,
1992.
not a substitute for, practical activity.
Young, Michael W. “Malinowski and the Function of Culture.”
In Creating Culture: Profiles in the Study of Culture, edited by
Malinowski’s analysis of religion was not only less origi-
Diane J. Austin-Broos, pp. 124–140. Sydney, 1987.
nal but also less successful than his treatments of myth and
magic. He denied Émile Durkheim’s claim that the object
MICHAEL A. BAENEN (1987)
of worship is society itself, although conceding that religion
Revised Bibliography
is socially organized. Religion is man’s consolation in the face
of tragedy and uncertainty, not a means of social cohesion.
It can be distinguished from magic by the absence of an ex-
MAMI WATA (Water as Mother) is a pidgin designation
ternal goal, in that worship is an end in itself. Malinowski
for a class of African water divinities and spirits or, occasion-
never resolved the tension between his individualistic analy-
ally, for the primordial divinities collectively. Mami Wata is
sis of religious motivation and his sociological analysis of reli-
a complex transcultural phenomenon composed of elements
gious practice. The absence of worship on the Trobriand Is-
from widely disparate places and traditions that coalesced on
lands may have denied him the stimulus necessary for a more
the continent probably by the end of the nineteenth century.
sustained inquiry.
Shrines to Mami Wata are frequently found in coastal, river-
Elsie Malinowski died in 1935, after a long illness. At
ine, or lacustrine areas of the continent. The roots of Mami
the end of 1938, Malinowski left London for an American
Wata began with the traditional water divinities that 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
5630
MAMI WATA
elaborated by the fifteenth century to include European in-
The gender system of a culture also affects the conceptu-
fluences, including the mermaid-man that Africans adopted
alization of Mami Wata. Mami Wata can be represented as
as a new representation of the water divinities. Light skin and
either female or male; indeed it would be unusual for an Afri-
non-African features (markers of the spirit realm as well as
can divinity not to have a counterpart of the opposite gender.
of ethnicity), sunglasses, powder, and perfume also became
The male-gendered representation of Mami Wata is some-
familiar in representations of Mami Wata. Africans trans-
times called Papa Wata. In some communities, the male
planted by slavery to Surinam in the seventeenth century dis-
Mami Wata is said to marry his female devotees and the fe-
covered there a tradition about a riverine water divinity
male Mami Wata to marry her male devotees.
Watra Mamma, who in the eighteenth and nineteenth cen-
The exercise of priesthood by a Mami Wata priest (who
turies was credited with helping slaves secure their liberation.
is also a chief) in one patrilineal culture reflects the gendered
The idea of water as mother was common to many cultures
role designated for males in his society. He has a spousal rela-
despite the difference in names ascribed to the divinity.
tionship to a female Mami Wata but one that does not in-
These traditions were brought back to Africa in the nine-
clude the experience of female receptivity through posses-
teenth century, probably by Kru sailors, and Watra Mamma
sion. He nourishes his community through animal and other
was identified in peoples’ minds with local water divinities.
sacrifices to Mami Wata and the divinities. In return he re-
The conflation of various traditions of water divinities in
ceives power from Mami Wata to protect and sustain his
nineteenth-century West Africa created Mami Wata.
community through healing and to provide guidance
Devotees established shrines for Mami Wata decorated
through divination. In a matrilineal culture with a dual-
with objects reminiscent of the various traditions. Boats rem-
gender system and a matrilocal or duolocal residence pattern,
iniscent of those the slaves on Surinam used to escape captiv-
Mami Wata mermaid representations are gendered not by
ity became familiar objects at Mami Wata shrines. A nine-
sexual characteristics but by the traditional symbols of a pot
teenth-century German chromolith of a female snake
for the female and a fish for the male. A Mami Wata priestess
charmer with rich black hair inspired the additional repre-
in this community acts as a vessel to receive the divinity
sentation of Mami Wata as a dark-skinned snake charmer
through possession, thus producing sustenance for the com-
dressed in exotic clothing. By the early twentieth century
munity. She constructs her election by Mami Wata as a com-
representations of Hindu divinities and cultic practices
mitment to a matrilineage in which the divinity is her moth-
brought to the continent by traders from India also found
er and exercises control over her life, rather than as a marriage
a place in Mami Wata representations and praxis. African
relationship. Her descriptions of Mami Wata’s home under
devotees acknowledge icons of divinity, such as mermaids
the sea resemble those of the homes of important women in
and snake charmers, as symbolic revelations of the transcen-
her community. She does not maintain her own shrine for
dent, and they are open to these new manifestations of the
Mami Wata; instead, she goes to the shrines and festivals
divine. At the same time they recognize that the spirits they
where she is invited, and in a state of possession, she provides
represent are traditional. So despite the obvious layering of
healing remedies and inspired guidance for the community.
multiple cultural traditions in Mami Wata representations,
Mami Wata scholarship has explored the origins and
she or he is generally not considered a new divinity or spirit
representations of Mami Wata and its devotional service, and
by Africans.
newer studies have focused on Mami Wata’s role and func-
Like other African water divinities known for their dis-
tion in particular cultures as a member of the community of
positional fluidity, Mami Wata can favor devotees with rich-
divinities who protect and guide the community. At the level
es of all kinds, including spiritual wisdom, healing and divi-
of praxis, the global interconnections characteristic of Mami
natory powers, and beauty and wealth. Or she or he can
Wata’s origins continue, as Mami Wata devotional service
create natural disasters and reverse traditional social expecta-
is spread outside of Africa by both Africans and non-
tions. Mami Wata is consulted for a variety of human con-
Africans. Mami Wata has a particular appeal for diasporic Af-
cerns and is considered to be well suited to dealing with the
rican people who seek to reclaim their roots and to identify
problems of modernity introduced by colonialism and post-
with the power of their ancestral traditions, but non-Africans
colonialism. Mami Wata’s power is considered so great that
are also drawn to this powerful Water Mother. It is impossi-
she or he is petitioned by people from all classes, stations in
ble to predict how Mami Wata traditions, representations,
life, and religious traditions who seek physical, spiritual, so-
and praxis will change in response to this global reappropria-
cial, and economic assistance.
tion. But as long as Mami Wata continues to be effica-
Although Mami Wata evolved from multiple cultural
cious, humans will find Mami Wata a source of solace and
traditions, the divinity’s praxis is culture specific. African
guidance.
communities situate Mami Wata in an existing community
of divinities in which she or he has a particular place and
SEE ALSO African Religions, overview article.
genealogy. Mami Wata is normally worshipped traditionally,
with invocations, sacrifices, and dances as other divinities are
BIBLIOGRAPHY
honored, but she or he is also honored with specific dance
Caulder, Sharon. Mark of Voodoo: Awakening to My African Spiri-
forms, rhythms, and rituals.
tual Heritage. St. Paul, Minn., 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
MANA
5631
Drewal, Henry J. “Interpretation, Invention, and Representation
only direct analogue in the realm of purchase and exchange
in the Worship of Mami Wata.” In Performance in Contem-
would be those priceless “heirloom” valuables that are never
porary African Arts, edited by Ruth M. Stone, pp. 101–139.
circulated.
Bloomington, Ind., 1988.
Drewal, Henry J. “Mami Wata Shrines: Exotica and the Con-
Hence, although one may specify kinds of mana accord-
struction of Self.” In African Material Culture, edited by
ing to the requirements of certain tasks, such as the mana of
Mary Jo Arnoldi, Christraud Geary, and Kris L. Hardin,
woodcarving, of curing, or of deep-sea navigation, mana it-
pp. 308–333. Bloomington, Ind., 1996.
self is not specific or specifiable in that way. It is not overspe-
Gore, Charles, and Joseph Nevadomsky. “Practice and Agency in
cific but underspecific, like the role of the denominator in a
Mammy Wata Worship in Southern Nigeria.” In African
fraction, determining a quotient. John Keats might well have
Arts 30, no. 2 (1997): 60–69, 95.
had Shakespeare’s mana in mind when he spoke of the Bard’s
Isichei, Elizabeth. Voices of the Poor in Africa. Rochester, N.Y.,
talent as negative capability, “that is, when a man is capable
2002.
of being in uncertainties, mysteries, doubts, without any irri-
table reaching after fact and reason.”
Opoku, Kofi Asare, and Kathleen O’Brien Wicker. “Abidjan
Mami Water Festival 1994.” Religious Studies News (Novem-
The mana of an American president would have less to
ber 1994): 18–19.
do with the job description, the vote count in the election,
Rosenthal, Judy. Posession, Ecstasy, and Law in Ewe Voodoo. Char-
or the fact of being an elected representative of the people
lottesville, Va., 1998.
than with personal qualities over and above the demands of
Wicker, Kathleen O’Brien. “Mami Water in African Religion and
the office. So the determination and rhetorical skill of an
Spirituality.” In African Spirituality: Forms, Meanings and Ex-
Abraham Lincoln, the feckless bravado of a Theodore Roose-
pressions, edited by Jacob K. Olupona, pp. 198–222. New
velt, or the social standing and charisma of a John F. Kenne-
York, 2000.
dy would be particular to the mana of those individuals. A
K
woman president might add “gender” to that list, provided
ATHLEEN O’BRIEN WICKER (2005)
she were the first to be elected. The presidency, in no uncer-
tain terms, has mana, but the personality of the president,
MAN
as a unique reinvention of the office, is mana.
SEE MASCULINE SACRALITY
Remarkably, then, a truly omnipotent deity, unless it
could transcend itself like the Norse Odin, might have all the
power in the universe but no mana. Hence the need for the
MANA. A generic Polynesian term for self-effecting or self-
mediating figure, the prophet, savior, demiurge, the presi-
transcending efficacy (“power”) that is at once personal and
dent who is answerable to God but not divine, to serve as a
impersonal, sacred and secular, contained and containing. In
common denominator of divine immanence, dividing it into
scholarly usage the term exemplifies a vogue, commonplace
measurable components of efficacy. Conversely, possessors
in the “evolutionist” and “diffusionist” phases of anthropo-
of heroic mana, like Hercules and Perseus, make the opposite
logical speculation, for appropriating exotic terminologies
trade-off, losing earthly potency when elevated to the status
and making universalist claims upon them. Mana belongs to
of constellations, mere “superstars” of the night sky.
a small set of anthropological “markers” for concepts that are
very difficult to put into words. Some of the others include
Imagine, then, the mana of the black hole, which ex-
the Siouan wakan, Iroquois orenda, Aztec nagual, and Arabic
hausts the empirical criteria for existence to become, as as-
baraka.
tronomers have put it, “the most potent source of energy in
the known cosmos.” “You do not play with mana,” the Maori
If it takes a certain amount of power even to compre-
might want to add, “except that it plays with you.” This fea-
hend what power itself might be, then terms of this sort pro-
ture of the concept, its agency in subject-object transforma-
vide an explicit ethnographic contextualization for a sense of
tion, may be the secret of ancient Maori sorcery training. A
power or empowerment that is wellnigh universal. Mana is
story tells of the veteran Maori sorcerer who calls his young
not merely “power,” in the sense of an efficient causality
apprentice to him and tells him he must use all the tech-
(“energy,” “skill,” “artisanship”) necessary to effect the felici-
niques and self-discipline he has learned to kill his own
tuous outcome of some human task or intention, but rather
mother. Appalled at the very thought of this, the apprentice
an exponential (power times power) or second-order deriva-
has a major crisis, and then marshalls his thoughts and his
tive of the potency at issue. Electricity, one might say, has
feelings and eventually accomplishes the deed. Morally de-
mana, but the invention of electricity is mana. So the Maori
molished, but full of pride, he returns to his mentor to ask
of New Zealand, who often use electricity or electrical cur-
whether he has now truly become a sorcerer. “Almost,” says
rent as an explanatory analogy for mana (for example, one
the veteran, “but not quite. Now you must kill me.” As a lega-
may generate it, apply it, use it, or lose it) would have to face
cy, mana is made of very stern stuff.
the charge that although electrical energy may be bought or
sold (or at least rented) mana itself is nonnegotiable. One
To what extent can mana be moral? To the extent that
cannot buy it or sell it, or take currency for its use, and its
the morality in question has mana. Otherwise it becomes 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
5632
MANA
superficial and empty category, like those “politically cor-
portion to the resistance offered it, and does so quite simply
rect” agendas and protocols of the late twentieth century that
by identifying itself as the force behind that resistance, has
were either coldly indifferent to, or cruelly patronizing of,
no necessary relation to the beginnings and endings of
the “minorities” they pretended to justify. Mana has no pa-
things. Polynesians might argue about the relative strengths
thos, and no false empathy either.
and weaknesses of their gods or mythic heroes—what parts
they played in the creation and even why they may have
Mana is the most practical and “natural,” and the least
played them—but there would be no question as to what
idealistic or “supernatural,” force in the world. It could only
they used to do it. Mana is inherent in the created things of
be called “magical” or “mystical” in cases when it does not
this world (for example, all natural objects, elements, and
work (for then it is not mana either), and someone is obliged
processes) for the same reason it inhabits the artifacts of a
to make apologies or excuses for it. Mana never apologizes;
skilled craftsman.
the Maori apprentice in the story becomes unimpeachable
(not “innocent”) by killing all the witnesses to his deadly
In one respect mana resembles the concept of the
acts. Conversely, the magical or supernatural must always
dreaming (formerly “dreamtime”) among the Australian Ab-
leave little traces of its cunning lying around to assure the
original peoples. Understood as an alternative “phase” of ev-
skeptical that some sort of cheating was going on. Mana does
eryday reality, the dreaming is only incidentally attributable
not leave clues.
to the past (for the purpose of certain stories or illustrative
accounts) and is fully present to its own ritual enactments.
As the prime organizer of human tasks, crafts, rowers,
In that way mana might be understood as the inceptive ener-
and vocations, mana not only guarantees the social hierarchy
gy coefficient of the objects, persons, and actions to which
but actually substitutes for it, assurring the secrecy and sanc-
it is attributed. It is nonlinear, and one could no more escape
tity of social status and position. There is a mana of leader-
its effectiveness than one could avoid dreaming at night.
ship, closely akin to that of oratory; the king of traditional
Tonga was considered to be the actual begetter of his sub-
Philosophically, then, mana is not only explanatory but
jects. Otherwise mana does not obey boundaries or limits
self-explanatory and plays a role in Polynesian thought not
without, as a liminal quality, transcending them, so that the
unlike that of gravity or energy in the physical sciences, evo-
need to differentiate in some final sense pairs the concept
lution in the life sciences, and culture in the social sciences.
with another indispensable Polynesian original, that of taboo.
It is at once the mirror of our artifice, and the artificer of our
Mana knows no limits; taboo knows nothing else; together
mirror. Science performs its observations and experiments to
they comprise the form and content of the comprehehnsible
discover the truth of things; mana, immanent at one and the
world.
same time in both the test and the result, the cause and the
effect, the question and the answer, is the thing of the truth.
The real epistemological challenge, for the outsider as
Everyone can know, down to minute particulars, exactly
well as the Polynesian subject, would be to authenticate each
what science has done and wants to do; no one can really
of them as an objective, independently existing entity. There
know, despite all the energy expended on its definition, what
must be a mana of knowing just exactly what mana is all
mana may truly be. All we can do is say its name and hope
about, a single, convergent, and perfectly understandable
that something really good will come of it.
“yes” that controls all the difficult, dangerous, and divergent
forms of “no,” the quotient of an infinite divisor. Would that
Mana is the power of the named over the nameless (cf.
be the same thing as the one single and singular taboo that
Laozi: “The named is the mother of the myriad creatures”),
banishes all others? Or would it be totally different? We do
the existent over the nonexistent, the creative over the uncre-
not know.
ated. It is the divine part of the human and the human part
of the divine, the least visible part of the metaphor that con-
Hence, if an unconditional taboo were placed upon the
trols the visible world. Might it not be the case that the early
very existence of mana, that mana inherent in that taboo it-
explorers and anthropologists who named the Polynesians as
self would increase beyond all measure, swallowing the world
“savages” or “barbarians” had their categories reversed, that
in a generic potency of its own particulars. The very intransi-
the people did not drift randomly to their remote islands, in
gence of the concept, like that of the Chinese tao, renders
fear of some uncertainty, but actively navigated the wave
it invincible (as it is said of death, that it is “not only educa-
trains to find homes for themselves at the center of infinity?
tional, but perfectly safe”). If gravity, for instance, were to be
Or so the name of Kapingamarangi, a remote Polynesian
reconceptualized as a general taboo placed on straight-line
outlier, would tell us. Literally translated, it means “The
navigation, then the old Polynesian adage that “the sea closes
Place That Is Held Together by the Horizon.”
upon itself” would make sport of our terrestrial geometries.
If there were a Nobel Prize for the naming of things, the
Like the “big bang” theory of modern cosmology, or the
old Polynesians might at least expect an honorable mention.
notion that the universe came into being through the disinte-
And a niche in navigation’s hall of fame: all one has to do
gration of a gigantic proto-atom, mana simplifies the eternal
is keep to the latitude where the star Arcturus (Hokulea, “The
problem of creation ex nihilo by supplementing it with a
Star of Joy”) is on the zenith, and sooner or later one will
transformation instead. A quality that increases in direct pro-
run into Hawai’i. That is part of the mana of finding
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANCO CAPAC AND MAMA OCLLO
5633
Hawai’i, the actuarial value of which has increased exponen-
Caro, Niki. Whale Rider. New Zealand Film Commission, 2003.
tially since the days of Captain Cook.
Film. The dramatic understatement of mana in this film of
contemporary Maori life makes it the most powerful repre-
Real mana, of course, does not profit a smile; it eschews
sentation of the concept ever produced.
negotiability and must pursue a fugitive existence in those
islands. It is not begged, borrowed, or stolen. We have super-
Handy, E. S. G. Polynesian Religion. Honolulu, 1927. A synthesis
stars whose voices or countenances run into the millions, but
of one of the world’s most dispersed religiosities.
all that might be said of the mana of image, including its bi-
Hiroa, Te Rangi (Sir Peter Buck). The Coming of the Maori. Whit-
zarre narcosis in the modern “global” culture, was said by
coulls, N.Z., 1949. Romantic account of Maori history and
William Shakespeare in one of his sonnets: “They are the
concept.
lords and owners of their faces.” Real mana is something
Schwimmer, Eric. The World of the Maori. Wellington, N.Z.,
much more civilized than we could possibly imagine. We
1966. A distinguished contemporary analysis of the working
have a difficult enough time with aroha (arofa, aloha), com-
concepts in Maori life and thought.
monly translated as “love.”
ROY WAGNER (2005)
Like the distinctive face or personality, mana inheres
solely in the one who possesses it (or, more properly, is pos-
sessed by it), so that “teaching” it or “passing it on” implies
MANCO CAPAC AND MAMA OCLLO (proba-
qualities of holism and autonomy that are largely incommen-
bly thirteenth century), first Inca ruler, demigod ancestor of
surate with those terms. One would not learn it or acquire
succeeding Inca rulers, and the founder, possibly legendary,
it but teach onesself to it. Tattooing the skin, a practice fa-
of the Inca capital city of Cuzco, in the southern highlands
vored especially by the Maori, would, if accomplished with
of Peru. Early Spanish chroniclers reported various Inca cre-
the requisite mana, effectively embody the social power of
ation myths. In one version, the Sun, taking pity on the mis-
“face.” And the mana of the expert woodcarver would trans-
erable world, sent down his own son—presumably Manco
fer the stamp of personality inherent in that transformation
Capac—and daughter to govern the people. According to
to the utensils, objects, houses, and canoes of the surround-
another version, after the creation of the world the Sun sum-
ing world. Mana is only the specific, Polynesian version of
moned Manco Capac and, “speaking like an older brother,”
a conceptual motif found widespread in the Pacific region.
told him that the Inca would rule the world and that they
“Now you see me as I am,” a lavishly decorated dancer at
must proudly regard the Sun as their father and worship him
Mount Hagen, in New Guinea, once told the anthropologist
appropriately. In the most frequent variation, four brothers
Marilyn Strathern, meaning that he had turned himself in-
and four sisters emerged from a “window,” or cave, in a rock
side out, showing the beautiful intentions of his soul
at Pacaritambo (“inn of origin”), not far from Cuzco. After
(numan) in the befeathered lineaments of his outer body,
a period of wandering, one brother, Ayar Manco (later
that he had taught himself to the dance.
Manco Capac), having sent word that his father was the Sun,
Mana is not the self, but the artistry of the self. It has
went to a hill above what is now Cuzco. The people of the
no other ego. Examples of this sort suggest that although the
valley looked up to see him dressed in gold ornaments that
total effect of mana resembles that of abstraction in many
reflected dazzling sunlight. He founded Cuzco with a simple
ways, its power is actually opposite to what we know by that
shrine on what would be the site of the great Temple of the
term. Scientific abstractions depend for their explanatory
Sun. He is said to have taught the people not only social and
power upon known and testable qualities, which are then ex-
religious structure and ritual but also irrigation, planting,
tended over the range of phenomenal experience. Mana,
and harvesting.
which is noumenal rather than phenomenal in Kant’s termi-
When he was about to die, Manco Capac told his people
nology, does not so much explain as it transforms, and the
that he must return to the sky, for his father had summoned
result is always something that is very concrete and specific.
him. His body was adored as a huaca, a sacred object. The
To abstract is to derive, generalize, render a subject remote
Spaniards, seeking to destroy idolatry, removed the mummi-
and incorporeal, control the mind with intellectual fictions.
fied bodies of other Inca rulers, but they could not find that
Mana, which controls by nonfictions, makes its sense, or
of Manco Capac, which was kept in a village outside Cuzco.
makes sense of the world, in a totally different way: the cold
It was said to have turned into a stone (stone was particularly
eroticism of the long, dark Pacific. There might be a mana
sacred to the Inca). This stone, elaborately dressed and
of logic, but never a logic of mana.
adorned, was one of the most holy Inca objects, and ceremo-
SEE ALSO Atua; Polynesian Religions, overview article;
nies and sacrifices were held before it.
Power; Taboo.
SEE ALSO Atahuallpa.
BIBLIOGRAPHY
Best, Elsdon. Maori Religion and Mythology. Wellington, N.Z.,
BIBLIOGRAPHY
1976. A classic ethnographic sourcebook, including many
Bernabé Cobo’s mid-seventeenth-century History of the Inca Em-
evocations of basic cultural concepts by Maori people in their
pire (Austin, 1979) is a rich source of lore about Manco
own words.
Capac. Harold Osborne’s South American Mythology (Lon-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5634
MANDA D’HIIA
don, 1968) contains a number of Inca origin myths. J. H.
Ruha, his adversary. In the eighth tractate of the same book,
Rowe’s “Inca Culture at the Time of the Spanish Conquest,”
a messenger pleads for Yushamin, a rebellious, jailed Light-
in the Handbook of South American Indians, edited by Julian
being. The King of Light is favorably inclined toward
H. Steward, vol. 2 (Washington, D.C., 1946), presents the
Yushamin, but Manda d’Hiia thinks that Yushamin deserves
legends in their general cultural context.
no forgiveness. To this the King of Light responds that
ELIZABETH P. BENSON (1987)
Manda d’Hiia harbors a long-standing jealousy toward
Yushamin: Manda d’Hiia hates Yushamin because the latter
once refused him a wife.
MANDA D’HIIA (“knowledge of life”) is the primary
In general, though, Manda d’Hiia is a positive figure.
savior, messenger, and instructor in Mandaeism, a still-
He was the guardian of Adam’s epoch, the first of the four
surviving gnostic religion in Iraq and Iran. Dispatched from
ages of the world. Today we live in the fourth age, an evil
the world above, the Lightworld, to the lower realms, Manda
age, which will end when no Mandaeans are left on earth.
d’Hiia brings saving knowledge, warnings, and consolation
SEE ALSO Ginza; Mandaean Religion.
to human beings and to deficient Lightworld beings stranded
between the earth and the Lightworld. His descents and as-
BIBLIOGRAPHY
cents parallel the route of the soul, which, having come from
The two main Mandaean sources that present Manda d’Hiia have
the Lightworld, returns to its home at the body’s death. The
been published in German under the editorship of Mark
“life” of which Manda d’Hiia is “knowledge” is the upper,
Lidzbarski as Ginza: Der Schatz; oder, Das grosse Buch der
ultimate Lightworld principle, in some texts called the King
Mandäer (Göttingen, 1925) and Das Johannesbuch der Man-
of Light and other names. The names Manda d’Hiia and Life
däer (1915; reprint, Berlin, 1966). Excerpts from myths
are pronounced over Mandaeans at baptism, and Manda
found in these texts appear in Gnosis: A Selection of Gnostic
d’Hiia’s name occurs frequently in prayer formulas.
Texts, vol. 2, Coptic and Mandean Sources (Oxford, 1974),
edited by Werner Foerster. Kurt Rudolph’s Theogonie, Kos-
The savior appears most often in the two main collec-
mogonie und Anthropogonie in den mandäischen Schriften
tions of Mandaean mythological speculation, Ginza, separat-
(Göttingen, 1965) devotes considerable space to myths in
ed into Right Ginza and Left Ginza, and the Mandaean Book
which Manda d’Hiia appears.
of John. The Right Ginza, the larger part of Ginza, contains
New Sources
cosmologies and mythologies dealing mainly with the earthly
Lupieri, Edmondo. I Mandei. Gli ultimi gnostici. Brescia, 1993.
world, while the smaller Left Ginza centers primarily on the
English translation as The Mandaeans: The Last Gnostics.
ascent of the soul toward the Lightworld. In Right Ginza 3,
Grand Rapids, Mich., 2002.
Manda d’Hiia descends to the underworld, vanquishing the
JORUNN JACOBSEN BUCKLEY (1987)
evil powers there. His devastating effect on the evil ones on
Revised Bibliography
earth is described in Right Ginza 5.2. This tractate makes use
of the Old Testament’s Psalm 114 in portraying the frenzied
reaction of mountains and ocean to the savior’s appearance.
MANDAEAN RELIGION. The religion of the Man-
In Right Ginza 11, as in 15.17, Manda d’Hiia battles with
daeans (from manda, “knowledge”) is a self-contained,
Ruha, the personified female spirit, and with the planets, the
unique system belonging in the general stratum of the Gnos-
wicked world-rulers who ensnare human beings.
ticism of late antiquity. Thus Mandaeism shows affinities
According to Left Ginza 1.3, Manda d’Hiia released
with Judaism and Christianity. For geographical reasons, it
Hawwa, Adam’s wife, from the world, and warned against
also exhibits certain early influences from the Iranian reli-
mourning for the dead, a behavior repudiated by Mandae-
gious milieu. The Mandaeans live, as their ancestors did,
ism. Right Ginza 5.4 tells of the death of John the Baptist,
along the rivers and waterways of southern Iraq and Khuzi-
the Mandaean prophet. Manda d’Hiia appears to John in the
stan, Iran. Known by their neighbors as Subbi (baptizers),
guise of a small boy who wishes to be baptized. When John
they form a Gnostic baptist community.
takes the boy to the river, it floods, owing to the presence
The Mandaeans can be traced to the second or third
of the savior. John nearly drowns, but Manda d’Hiia makes
century of the common era. A hypothesis based on their lan-
the water recede. As birds and fishes praise Manda d’Hiia,
guage and literature indicates that they emigrated, during the
John realizes that his baptism candidate is the very Lightbe-
first centuries of the common era, from the Jordan Valley
ing in whose name John performs his baptisms. This baptism
area eastward to the environs of Haran, on the border be-
turns out to be John’s last: Manda d’Hiia has come to take
tween present-day Turkey and Syria, and finally to southern
him away from the world. The baptist’s body is left on the
Babylonia. According to their text Haran Gawaita (Inner
riverbank, the savior covering it with sand, and the two as-
Haran), they fled persecution and traveled east under the
cend together to the Lightworld.
protection of one of the three Parthian kings named Ardban
Occasionally, Manda d’Hiia is portrayed unflatteringly.
who ruled from the early first century to 227 CE.
The Book of John 2 informs us that the savior has caused strife
An East Aramaic dialect, the Mandaean language never-
in the Lightworld by revealing the secrets of salvation to
theless contains West Syrian linguistic elements that point
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANDAEAN RELIGION
5635
to the probability of a migration from west to east. Examples
however, a cultural, if not traditionally religious, revival
of these are yardna (running water; also designates the river
seems to be taking hold. In Iraq two new baptismal pools and
Jordan), sba (baptize), kushta (truth, ritual handshake),
a new mandi (a clay and reed hut used by priests) were con-
manda (knowledge), and nasuraiia (observant ones). The last
structed in the 1970s. Mandaeans translated into Arabic
term (in English, Nasoraeans), also used by early Christians,
Ethel S. Drower’s The Mandaeans of Iraq and Iran, first pub-
refers primarily to the Mandaean priests. According to Ru-
lished in 1937. In 1972 these translators compiled a Man-
dolf Macuch, the date 271–272 CE may be argued as that ap-
daean catechism for the benefit of the laity, who formerly
pearing, in the hand of a Mandaean copyist, in the colophon
were not allowed even to touch Mandaean books.
of a hymnal (qulasta), published in The Canonical Prayerbook
In bulk the Mandaean corpus exceeds anything trans-
of the Mandaeans (1959). This colophon may well be the old-
mitted from other Gnostic traditions, except perhaps that of
est extant Mandaean text. Macuch also dates Mandaean
Manichaeism. Relationships to other forms of Gnosticism
script on coins from what is now Luristan and Khuzistan as
are difficult to trace, but in 1949 Torgny Säve-Söderbergh
from the second and third centuries CE. Inscriptions on
demonstrated that the Manichaean Psalms of Thomas, dating
leather and lead strips, on clay tablets, and on magical bowls
from 250 to 275 CE, depend on a Mandaean original. In ad-
(labeled “magical” because they are used on a “folk religion”
dition the long-held view that Mani had his roots in Man-
level) belong largely to the younger sources.
daeism has been refuted by the discovery of the Cologne Mani
The Mandaean codex and scroll literature is found in
Codex. However, the Syrian Odes of Solomon and a number
the voluminous book Ginza, which is divided into Right
of the Nag Hammadi tractates do show correspondences
Ginza and Left Ginza. It is a collection of mythological, reve-
with Mandaean ideas.
latory, hortatory, and hymnic material. The Right Ginza
In the sixteenth and seventeenth centuries Portuguese
contains generally cosmological, “this worldly” prose materi-
missionaries were among the first to bring Mandaean manu-
al, whereas the Left Ginza, much of it in verse, centers on
scripts out of the Orient. Thinking they had found the
the “otherworldly” fate of the soul. Symbolism of “right” and
“Christians of Saint John,” a misnomer for the Mandaeans,
“left” is pervasive in Mandaeism, but in the case of the Ginza
the missionaries were eager to trace the Mandaeans back to
titles these terms are puzzling, for the right is usually con-
their putative origins. The possibilities of such a Christian
nected to the beyond and the left to the earthly world. The
connection contributed to the heyday of studies in Mandae-
Mandaean Book of John contains a variety of myths and leg-
ism in the first half of the twentieth century. Debates on
ends. The Canonical Prayerbook includes hymns, liturgies,
Mandaeism’s relationship to early Christianity have contin-
and instructions for priests. Central mythical and ritual ma-
ued, although the question of a pre-Christian Mandaeism no
terial in this work and in the Ginza dates from the third and
longer holds the fascination it once did. Comparative issues
fourth centuries CE. Comments, exegeses, and instructions
are still central, but Mandaeism is also studied for its own
for rituals attested in The Canonical Prayerbook are in the
sake. The relationship between the mythological and the cul-
texts The Thousand and Twelve Questions, The Original Great
tic components remains a crucial issue, for in Mandaeism
World, The Original Small World, and The Coronation of the
one faces a gnosis closely aligned with cultic practices. Kurt
Great Shishlam. The Mandaeans also have illustrated scrolls,
Rudolph in particular has sought to unravel the historical de-
such as The Scroll of Abatur and The Scroll of the Rivers, and
velopment of the Mandaean mythology and cult and to re-
a book on astrology, The Book of the Zodiac. Much of this
construct the sequence of the variegated segments in the
literature was probably collected and edited after the seventh
sources.
century CE, although most of the material is older.
MYTHOLOGY. Mandaeism testifies to a basic framework of
Traditionally hostile to both Judaism and Christianity,
dualism in which diametrically opposed entities clash but
the Mandaeans were confronted with the Islamic conquest
also intertwine and to some extent recognize one another’s
in the seventh century CE. In response the Mandaean leaders
claims. Good and evil, light and darkness, soul and matter
declared the Ginza to be their holy scripture and proclaimed
vie for control from the very inception of the world. Man-
John the Baptist as the Mandaean prophet, since a holy book
daean mythological speculations center on the preexistent
and a prophet were the Islamic requirements for recognition
Lightworld (the upper, “heavenly” realm), on the creation of
as a “People of the Book” (i.e., Jews, Christians, and Sa-
the earth and of human beings, and on the soul’s journey
baeans), exempt from forcible conversion. The Mandaeans
back to its Lightworld origin. The primary Lightworld entity
endured hardships under Islamic rule, but they were general-
is “the Great Life” (also called by various other names), who
ly left in peace. Never aspiring to secular power or political
resides with his consort “Treasure of Life” and numerous
expansion, the traditionally endogamous Mandaeans sur-
Lightbeings ( Eutria), the prototypes of earthly priests. The
vived. The group was threatened by an outbreak of cholera
Eutria gradually become involved in the creation, an entan-
in 1831 that eliminated the priestly class, but new priests
glement causing their degradation and accrual of their sins.
were drawn from the ranks of literate laymen. Again as secu-
One of them, Ptahil, the pathetically unsuccessful creator of
larization set in during the twentieth century, scholars con-
the earthly world and of human beings, fails to make Adam
sidered Mandaean culture to be in danger of extinction;
stand upright, for the creature is wholly material. A soul 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
5636
MANDAEAN RELIGION
brought—sometimes reluctantly—from the Lightworld,
RITUALS. Among the Mandaeans, repeated baptism (mas-
making Adam complete. The soul not only causes erect pos-
buta) takes place on Sundays and special festival days. Two
ture but functions as a revealer, instructing Adam and his
small rites of ablution, rishama and tamasha, are performed
wife Hawwa in nasiruta, the totality of Mandaean gnosis and
by the individual Mandaean and, unlike the masbuta, require
cult.
no priest. At baptism the male candidates, clothed in white,
and female candidates, who wear a black cloak over the white
Adam is taught to free his soul and spirit to return to
garment, line up on the riverbank. One at a time, each de-
the Lightworld, leaving the body behind. Of the three
scends into the water and immerses himself or herself three
human constituents, ruha (spirit) is the middle, ambiguous
times, whereupon the priest, in full ritual garb, submerges
component torn between body and soul. There is also a per-
him or her thrice again. As the candidates crouch in the
sonified ruha, at times called Ruha d-Qudsha (holy spirit),
water, each receives a triple sign on the forehead with water
who was originally fetched from the underworld prior to the
and drinks three handfuls of water. Investiture with a tiny
creation of earth and human beings. By necessity Ptahil en-
myrtle wreath—a symbol of spirit and of life—follows. Bap-
ters into fateful cooperation with this personified spirit, who
tisms completed, the candidates sit on the riverbank. Now
has a stake in the human being. Ruha also enlists the planets
each is anointed on the forehead with sesame oil and partakes
and the zodiac spirits, her children, to help her. Together
in a meal of bread (pihta) and water (mambuha). Finally,
they demonize time and space. Arranging a noisy party to
each baptized person exchanges a ritual handshake (kushta)
blot out the soul’s revelatory voice in Adam, Ruha and her
with the priest. The entire ceremony is accompanied
cohorts merely manage to frighten Adam, reawakening his
throughout by set prayers, formulas, and hymns uttered by
quest for salvation beyond the earth (Right Ginza, 3).
the priest.
In addition to the Eutria Yushamin, Abatur, and Ptahil,
The laity undergo baptism as often as they wish. More-
there are others less stained by involvement in the lower
over baptism is required on specific occasions: at marriage,
realms. Manda d-Hiia (knowledge of life) and his son-
after childbirth (for a woman), and as close to the moment
brother Hibil are Lightworld envoys, revealers, and saviors
of death as possible. Water not only cleanses sins and other
busily shuttling between the Lightworld and the earth.
impurities; it also represents the Lightworld as reflected in
Anosh-Utra, who imitates and competes with Jesus, and Shi-
the earthly world. Masbuta anticipates and in some sense par-
til, the biblical Seth, are two less-central messengers. Shitil
allels the death mass, the masiqta (raising up), a complicated,
appears both as one of the Eutria and as the first son of Adam.
lengthy, and essentially secret ritual celebrated for the dead
In the latter capacity Shitil dies vicariously for his father, who
and shielded from the view of the laity. Because baptismal
at the ripe age of one thousand years refuses to die. As a re-
river water symbolizes the Lightworld, the masbuta can be
ward for his sacrifice, Shitil ascends and becomes the pure
said to constitute a “horizontal” masiqta: immersion in water
soul against which all human souls are weighed in the scales
here on earth prepares for ascension at life’s end.
of Abatur on the threshold of the Lightworld.
The masiqta conveys spirit and soul from the dead body
Between Earth and the Lightworld the matarata, “pur-
into the Lightworld. Three days after burial the “seals” put
gatories” or “heavenly hells,” provide tests and tribulations
on the grave are broken, for spirit and soul are now ascending
for ascending souls and spirits. The matarata—depicted in
on their perilous journey through the matarata to the Light-
The Scroll of Abatur—present an inverted parallel to the un-
world. On this third day several priests celebrate the masiqta.
derworlds mapped by Hibil before the creation of the earth.
In handling objects that symbolize the ascending spirit and
Demons, including some of the degraded Eutria, serve as pur-
soul, the priests’ aim is threefold: to join spirit and soul; to
gatory keepers, performing the thankless task of testing and
create a new, Lightworld body for this joined entity; and to
punishing. Depending on the realm in which they appear,
incorporate the new body into the community of deceased
Eutria and other divine beings may show themselves as good
Mandaeans living in the Lightworld.
or evil. Abatur has been demoted from rama (elevated) to
“lord of the scales.” He must carry out his task until the end
The majority of the symbolic objects in the masiqta are
of time, though complaining bitterly (Book of John, 70–72).
foodstuffs that feed the departed and act as creation material.
Food links the living to the dead, maintaining the laufa, the
Nonbelievers do not escape the matarata. Jesus, an apos-
connection between earth and the Lightworld. The priests
tate Mandaean, is doomed—unlike his mother Miriai, who
personify the ascending spirit and soul, act as parents for the
converted from Judaism to Mandaeism, thus serving as the
new body, and impersonate Lightbeings. As mediators
prototype of the west-to-east migrating Mandaean. In the
priests are Lightbeings on earth, carrying out on earth rituals
Book of John 30 Jesus seeks baptism from John the Baptist,
that have their models in the Lightworld. Ganzibra (treasur-
who at first hesitates, knowing Jesus’ wicked intentions. John
er) and tarmida (from talmid, “disciple”) are the two surviv-
relents owing to a command from Abatur, but at the mo-
ing priestly ranks, each of which requires special initiation
ment of baptism Ruha makes the sign of the cross over the
ceremonies; the supreme office of the rishama (head of the
Jordan, which immediately loses its luster, taking on many
people) has been extinct since the mid-nineteenth century.
colors—a bad omen.
Constituting the “Right,” the Lightworld, the priests are
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANDAEAN RELIGION
5637
complemented by the laity, who belong to the “Left,” the
sairi in an Islamic brotherhood of Lebanon (the text and the-
material world. Neither can do without the other; the laity
ory are, from a scientific point of view, unreliable). Although
is required as witnesses for public rituals carried out by
criticized by subsequent scholars, the work of Norberg marks
priests. This arrangement furnishes one among many exam-
a significant stage, allowing an even wider audience to have
ples of the carefully tempered dualism prevalent in the reli-
access to Mandaean texts. He paved the way for Orientalists
gion. The dualism and the relationship between myth and
such as Heinrich Petermann, the scholar responsible for be-
ritual remain among the most urgent issues confronting
ginning the scientific study of Mandaeism, above all the
scholarship on Mandaeism, as do the editing and translating
Mandaean edition of the Ginza (1867), still used as a refer-
of unpublished Mandaean manuscripts.
ence work in studies of Mandaean religion.
HISTORY OF STUDY. As far as is known, the first Westerner
Among the more serious writing on the subject, the
to come into contact with the Mandaeans was the monk Ri-
works of two German Orientalists, Theodore Nöldeke and
coldo da Montecroce in around 1290. The story of the en-
Mark Lidzbarski, are extremely important. In 1875 the for-
counter is set out in a kind of travel diary, an Itinerarium or
mer compiled an essential Mandaean grammar, and the lat-
The Book of Travels in Eastern Parts, written in his later years
in the quiet of the convent of Santa Maria Novella in Flor-
ter published and translated the most important texts. Set-
ence. The Mandaeans are defined as a kind of “monstrous”
ting Mandaeism in the broader context of the comparative
spiritual reality in a merciless way, even if the description is
history of religion may be dated to Wilhelm Brandt, fol-
thorough. The Mandaeans are not mentioned again until
lowed by Richard Reitzenstein, Rudolf Bultmann, Hans
1555, by Jesuit missionaries in Mesopotamia, this time con-
Jonas, and latterly Kurt Rudolph, Edwin Yamauchi, and
fused with the Christians of Saint John the Apostle and
Jorunn J. Buckley. With the exception of Yamauchi, their
Evangelist (Lupieri [2002] describes the contacts between
studies have proved that Mandaean literature provides signif-
the missionaries and the Mandaean community, in which
icant evidence of a Gnostic religion that flourished in late an-
their presumed “Christian” origin is finally recognized).
tiquity but with roots that presumably go back to a more re-
mote, pre-Christian period. The Mandaeans are thus the last
At the beginning of the seventeenth century European
living witnesses of this religion and are important in the reli-
knowledge of Mandaeanism expanded as a result of the ac-
gious history of late antiquity. Intense speculation has sought
counts of travelers, such as the Roman aristocrat Pietro Della
to ascribe their origins in the history of early Christianity by
Valle and missionaries like Basilio di San Francesco, a Portu-
identifying them as descendants of an ancient group of fol-
guese Carmelite who applied himself to the conversion of the
lowers of John the Baptist. This point of view, as seen earlier,
Mandaeans with great fervor, founding the Catholic mission
was already shared by the seventeenth-century Portuguese
at Basra among others. The work of Basilio was continued
missionaries in Iraq; hence the long-standing practice of call-
by another Carmelite, Ignatius a Jesu, who was responsible
ing the Mandaeans “the Christians of Saint John.” Even if
for a kind of handbook on the conversion of the Mandaeans
it is not possible to support this theory, one can definitely
with the long title Narratio originum, rituum, et errorum
state that Mandaean literature has preserved in its oldest
Christianorum Sancti Ioannis . . . (1652). Just like previous
writings evidence of the milieu, in the Orient, in which early
missionaries, Ignatius was convinced that the Mandaeans
Christianity developed, evidence that can be used to inter-
had originally or in the past been Christians and thus their
pret certain New Testament writings (especially Johannine
conversion really amounted to a return to the faith from
texts). Studies such as those by Viggo Schou-Pedersen, Eric
which they had lapsed.
Segelberg, Geo Widengren, Rudolf Macuch, and Kurt Ru-
The interpretation of Mandaeanism offered by Ignatius
dolph have confirmed this.
was initially favorably received in Rome, but at the beginning
Since the nineteenth century there have been numerous
of the eighteenth century it was replaced by a radical critical
different attempts to understand surviving Mandaean oral
reappraisal by two Maronite priests, Abraham Ecchellensis
tradition by greater understanding of their texts, including
and Joseph Simeon Assemani. Ecchellensis in particular was
those by the German Orientalist Heinrich Petermann and
the first European to note the Gnostic dualistic nature of
the French vice consul of Mosul Nicolas Siouffi; in 1880 the
Mandaeism.
latter wrote one of the most extensive and detailed accounts
From the end of the eighteenth century European and
of Mandaeism to date. However, the extraordinary undertak-
especially German academic scholarship played a decisive
ing of collecting these sources was the work of the English
part. Among the many scholars of theology, history, and Ori-
scholar Lady Ethel Stefana Drower, the wife of the British
ental languages who were interested in Mandaeism, an im-
consul in Baghdad. She used her abilities and indefatigable
portant position was occupied by the Swedish scholar Mat-
energy to record in precise detail the daily expressions of reli-
thias Norberg. Between 1815 and 1816 Norberg published
gion and worship of the religious community, and she ob-
the Codex Nasaraeus, complete with relevant lexical material,
tained a series of previously unknown texts, available only to
but namely an erroneous transcription of the entire Ginza
Mandaean priests, and published them in part. Thanks to
in Syriac alphabet. Following the fantastic stories of the Mar-
the work of Drower scholars are thus in a position to obtain
onite Germano Conti di Aleppo, Norberg identified the Nu-
a much more accurate impression of the Mandaeans than
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5638
MANDAEAN RELIGION
was previously possible, especially as regards their worship
that this may be placed within the context of a tradition de-
and certain “secret” teachings. Along with this the works of
scribing in a mythical or legendary manner the penetration
Macuch have cast a new and detailed light on the develop-
(perhaps only partial) of the group into territory that was
ment of the Mandaic language. He has been responsible for
then Iranian (between Harran and Nisibi or Media) during
research and study on the Neo-Mandaic dialect as it is still
the late Parthian period (first or second century CE). Further
spoken by the Mandaeans of Iran (particularly in Khuzistan).
on the same text describes the establishment of a community
For a long time the lack of a dictionary of the Mandaean lan-
at Baghdad or in Mesopotamia and the Mandaeans’ subse-
guage was keenly felt, but one was published in 1963, com-
quent fortunes under the Sassanids.
piled by Drower and Macuch, who made use of the works
and largely unpublished notes of Mark Lidzbarski.
This tradition also includes the events in Jerusalem,
which here take place on the Euphrates, and the Mandaean
Modern studies on Mandaean religion have been boost-
legend of John the Baptist (Iahia, Iuhana), who is here called
ed by two important conferences at Harvard in 1999 and
“the Prophet of the Kushta” (Truth) and “the Messenger of
Oxford in 2002. One should also note the dissemination of
the King of Light.” John is also mentioned in other texts, and
Mandaean culture by Majid Fandi Al-Mubaraki, a Mandae-
the Mandaeans regard him as one of their own, representing
an who has published a variety of literary texts, including
him as their “Prophet” to Muslims. He is described as oppos-
lesser ones, through his small publishing company. Philolo-
ing Christ. As mentioned above, it has previously been in-
gists who have worked on Neo-Mandaic literature include
ferred that the Mandaeans were descendants of the followers
the Italians Fabrizio A. Pennacchietti and his pupil Roberta
of John the Baptist. However, this theory has not been fully
Borghero.
proven. Thus it is not possible to demonstrate that the Man-
ORIGINS AND INFLUENCES. A chronology of Mandaic litera-
daeans possess their own independent tradition dating back
ture is difficult because of the lack of historical evidence. It
to that period. It is clear that they had embraced and given
is possible to date only several parts of the Ginza and certain
a Mandaean interpretation to legends from heretical Chris-
magical texts (magic bowls) with greater accuracy to the third
tian (that is, Gnostic) circles, preserving the opposition be-
and fourth centuries CE (according to Macuch, the second
tween Jesus and John the Baptist. Furthermore John the
and third centuries CE). Their existence may be inferred from
Baptist is not a particularly central figure in Mandaean
the doctrinal content of the main texts. Theodore bar Koni,
tradition.
a seventh-century CE Syrian heresiologist who wrote Ketaba
A relationship between Mandaic traditions and Aramaic
d- Deskolyon or Scholion, in which he describes the “Dos-
(i.e. Syro-Palestinian) Christianity can be established via sty-
theans” or Mandaeans, quotes several passages from the
listic analysis, especially of Johannine writings. Mandaean
Ginza.
literature does not give any reason to believe that this reli-
There are two possible approaches that may be adopted
gious community had been Christian during some earlier pe-
when studying this subject: to examine contemporary non-
riod, considering the extremely vehement hostility shown to-
Mandaic evidence (Gnostic or Manichaean, for example) or
ward Christianity as a whole (Christ is regarded in an entirely
to carry out internal textual analysis, studying the themes and
negative light). On the other hand, based upon a large num-
literary style, examining the particular doctrinal contents of
ber of traditional and lexical indications and notwithstand-
the text to establish a history of the tradition. The first meth-
ing the harsh anti-Jewish polemic (Moses is regarded as the
od has been adopted by the Swedish Egyptologist Torgny
prophet of the evil “spirit” Ruha and Adonai as a false, evil
Säve-Söderbergh, for example, who has shown through a
god), the Jewish origin of this group appears, according to
comparison of parallel texts that part of a Mandaean hym-
Macuch, to be incontrovertible. Another passage in the
nology already existed in the third century CE.
Haran Gawaita states that until the coming of Christ the
Mandaeans “loved Lord Adonai.” This could be a heterodox
The Mandaeans consider their religion a direct divine
Jewish sect that, like the Essenes, openly held different opin-
emanation, created directly from the World of Light. None-
ions from official Judaism, embracing powerful Iranian and
theless certain clues may provide an answer to the question
Gnostic influences and thus gradually isolating themselves.
of their origin. Several texts have preserved a mythical geo-
This clearly distinct position—in regard to the Jewish wars
graphical tradition describing a persecution of the communi-
of liberation—led to the persecution of the community and
ty (or 360 “followers,” tarmide) in Jerusalem by the Jews
ultimately to their emigration from the region of the Jordan
under the guidance of Adonai, Ruha, and their seven sons
(and indeed Jordan, that is, Yardna, is what they call the wa-
(the Planets), after which Jerusalem was destroyed as a pun-
ters of baptism) to the east, first to Harran and the moun-
ishment. In a quasi-historical text, the Haran Gawaita, it is
tainous region of Media (Tura d-Madai) and then to the
mentioned that the Nasurai stayed in the “Mountain of the
southern part of Mesopotamia (Caracene, Maisan).
Maddai” (Tura d-Madai) or “inner Harran,” where they
took refuge under a king called Ardban (Artabanus), fleeing
The exodus from the west must have occurred during
from the ruling Jews. The precise identity of this Artabanus
the second century CE at the latest, because certain Mesopo-
is uncertain: Macuch has identified him with the Parthian
tamian and Iranian-Parthian elements imply a rather lengthy
king Artabanus III or Artabanus IV or V. Generally it seems
period in the east. The theory is corroborated by links with
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANDAEAN RELIGION
5639
trans-Jordan baptist sects (including with the one at Qum-
back to a pre-Christian age, a theory that at the beginning
ran) and with so-called Syrian Gnosis (The Odes of Solomon,
of the twentieth century enthralled leading scholars, such as
the Sethians, the Naassenes, Acts of Thomas), also from cer-
Reitzenstein or Bultmann, who formulated a major philolog-
tain surprising ancient Syrian lexical components in their
ical historiographical construct based upon a theory of this
language and mythology. It has been thought that Mani, the
kind.
founder of Manichaeism, had absorbed Mandaean elements
in his later works. The Manichaean Psalms of Thomas make
The oldest evidence of Mandaic writing comes from
clear the links, sometimes friendly and sometimes hostile, ex-
second and third century CE Caracene coinage. According to
isting between the two religions. On the other hand, in the
Macuch, these reveal surprising similarities with the Elymean
ninth book of the Right Ginza there is a dispute with the fol-
inscriptions at Tang-e Sarwak in Khuzistan. On the other
lowers of Mar Mani.
hand, these indicate knowledge of the Nabatean alphabet.
The long-lasting settlement in the lands at the conflu-
Macuch was completely convinced that the ancient Mandae-
ence of the Tigris and the Euphrates (the Shatt al-EArab) also
ans should be regarded as an important link between the
brought about new developments within the community,
Nabatean and Elymean cultures, namely that they had
such as the introduction of the Frash-Ziwa (the shining Eu-
brought the script with them from the west and had passed
phrates) in place of the Jordan, the later development of ritu-
it on to the Elymeans. Clearly this assumes that the Mandae-
al worship and religious hierarchy, the evolution of other Ira-
ans effectively either “invented” or transmitted this writing
nian ideas, and clearly also the re-creation in the new
system. Furthermore Macuch maintained that the Mandae-
homeland of the situation in Palestine during the early days
ans should be associated with Aramean penetration of Khuzi-
of the sect. There is also an increasing contrast with Chris-
stan and Caracene. If so the Mandaeans should no longer be
tianity and the Christian missionary church, especially the
regarded as isolated and self-contained but rather as an im-
Byzantine part. Christ “the Roman” is one who oppresses the
portant means by which Aramean culture was diffused
community, whom it must be on its guard against.
throughout the Orient as well as linked to the development
In contrast to what occurred during the Arsacid period,
of the Middle-Persian Pahlavi script. The Iranian theory of
under whom the sect enjoyed a tranquil existence (as shown
Widengren is based upon such speculation. According to the
by king Artabanus in the legendary story in the Haran
distinguished Swedish scholar, the Mandaean religion is the
Gawaita), relations with the Sassanids were not good. The
result of the development of three main religious environ-
Haran Gawaita talks of a considerable reduction in the num-
ments that are at times clearly distinguishable. The first, the
ber of Mandaean temples during that period. It is known
Judeo-Semitic and Western, constitutes the Palestinian mi-
only that under Sha¯pu¯r I (242–273 CE) there took place a
lieu in which Mandaeism was born and developed. The es-
persecution of foreign religions, including that of the Na-
sentially Jewish aspects of Mandaean Gnosis, including the
soreans (Kirdir inscription). Mandaean documents repeated-
figure of John the Baptist, in fact come from this layer, which
ly mention curses against Muh:ammad and his religion (espe-
is the oldest. The Mesopotamian component is next, made
cially in colophons). Islam also instigated other persecutions,
up of archaic Babylonian traditional elements, recognizable
despite the tolerance accorded to the “Sabaeans.” Thus the
in the large number of Akkadian linguistic loan-words as well
persecuted community withdrew to more and more inacces-
as in a large number of mythical and ritual themes, not least
sible marsh regions of southern Iraq, where it continues to
the sacred kingship. Finally, there is the Iranian part, which
exist, alongside other Aramaic Christian groups, dreaming
is imbued with religious ideas and concepts most probably
about and longing for their own particular past, convinced
taken from the doctrines of the Mazdean-Zurvanite Magi of
that wickedness will soon disappear from this world.
Media Atropatene, in particular beliefs concerning human
The fundamental importance of the Mandaean religion
redemption expressed in the dogma of Savior Saved may be
lies in the fact that in its original essentials it may be consid-
derived from these.
ered as an expression—organized in a baptismal communi-
ty—of Syrian Mesopotamian Gnosis, a clearly defined enti-
Such ideas, originating from an Iranian milieu, would
ty, a peculiar Aramaic social and linguistic unit, something
define the characteristics of Mandaeism in terms of Gnosti-
that has not been proven for any Gnostic school. Its rich tra-
cism and dualism. Thus it is likely that Mani, the founder
ditions offer the opportunity of studying this religious model
of the “Religion of Light,” grew in a community of baptists
of late antiquity with its typically Oriental origins, which by
linked to the Mandaeans, the Elchasaites. Given what has
this time had disappeared from every other point of view,
been said so far, one must therefore agree with Widengren
and in this way gaining some idea of the religious nature and
that “without a detailed understanding of Mandaic language
inner life of a Gnostic community.
and literature, it is impossible to have a genuine and precise
This is the generally accepted reconstruction of scholars
concept of ancient Gnosticism” (Handbuch der Orientalistik,
(Rudolph is among the most influential). Yet clear links with
VIII, 1961, p. 98). It is not necessary to suppose a Palestinian
the Gospel of John, the Odes of Solomon, and several Gnostic
Judeo-Semitic milieu, because Jewish communities were
texts leave open the possibility that Mandaean traditions date
present in Mesopotamia since at least the sixth century BCE.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5640
MAN:D:ALAS: HINDU MAN:D:ALAS
SEE ALSO Ablutions; Baptism; Ginza; Gnosticism, article on
94 (1994): 161–184; Erica C. D. Hunter, “Aramaic-
Gnosticism from Its Origins to the Middle Ages; Manda
Speaking Communities of Sasanid Mesopotamia,” Aram 7
d’Hiia; Manichaeism, overview article.
(1995): 319–335; Ezio Albrile, “Il ‘Bianco Monte’ dei Magi:
La montagna paradisiaca nel sincretismo iranico-
mesopotamico,” Annali dell’Istituto Orientale di Napoli 57
BIBLIOGRAPHY
(1997): 145–161; and Ezio Albrile, “I Magi e la ‘Madre cel-
Two Mandaean collections were published in German under the
este,’” Antonianum 75 (2000): 311–332. The proceedings of
editorship of Mark Lidzbarski, Das Johannesbuch der Man-
the conference on the Mandaeans held at Harvard University
däer (Giessen, 1915; reprint, Berlin, 1966) and Ginza¯: Der
in June 1999 were published in Aram 11–12 (1999–2000):
Schatz; Oder, Das grosse Buch der Mandäer (Göttingen, Ger-
197–331.
many, 1925, 1978). Ethel S. Drower, trans., The Canonical
Prayerbook of the Mandaeans (Leiden, 1959), contains a great
JORUNN JACOBSEN BUCKLEY (1987)
number of Mandaean hymns and prayers. Representative ex-
EZIO ALBRILE (2005)
cerpts from these three texts (as well as from other Mandaean
Translated from Italian by Paul Ellis
sources) are in Werner Foerster, Gnosis: A Selection of Gnostic
Texts, vol. 2, Coptic and Mandean Sources, edited by Robert
M. Wilson (Oxford, 1974), which includes an introduction
by Kurt Rudolph. The classical eyewitness account of Man-
MAN:D:ALAS
This entry consists of the following articles:
daean religious life is Ethel S. Drower, The Mandaeans of
Iraq and Iran (Oxford, 1937; reprint, Leiden, Netherlands,
HINDU MAN:D:ALAS
1962). Kurt Rudolph, Die Mandäer, vol. 1, Prolegomena: Das
BUDDHIST MAN:D:ALAS
Mandäerproblem, vol. 2, Der Kult (Göttingen, Germany,
1960–1961), is a comprehensive treatment of Mandaeism.
MAN:D:ALAS: HINDU MAN:D:ALAS
The bibliography in this work should be supplemented by
that in Rudolf Macuch, Handbook of Classical and Modern
The man:d:ala, a complex geometric design, is used in Hindu
Mandaic (Berlin, 1965). A list of works on Mandaeism after
rituals in order to involve the whole cosmos in the ritual act.
1965 is in Macuch, ed., Zur Sprache und Literatur der Man-
Man:d:alas were first described in Tantric texts, but they al-
däer, Studia Mandaica I (Berlin, 1976).
ready appear there in such detail and in such highly evolved
The history of Mandaic historiography (especially their origins) is
forms that an earlier, unrecorded tradition of man:d:ala con-
dealt with in Edmondo Lupieri, The Mandaeans: The Last
struction must be assumed.
Gnostics (Grand Rapids, Mich., 2002). New mythological
The interest of the early Hindus in geometric designs
studies, along with primary ethnographic evidence, are in the
with cosmological implications is attested by the careful con-
valuable work by Jorunn Jacobsen Buckley, The Mandaeans:
struction of Vedic altars mentioned in the Taitti-r¯ıya
Ancient Texts and Modern People (New York, 2002). Buckley
also translated the Mandaic Diwan malkuta Elaita: The Scroll
Sam:hita¯ (5.4.11) and in the Baudha¯yana S´ulva´sa¯stra and the
of Exalted Kingship (New Haven, Conn., 1993). Relations
A¯pasthamba S´ulva´sa¯stra. The best-known design is the fal-
with the Sabeans have been investigated by S¸inasi Gündüz,
con-shaped altar for the Agnicayana ritual. In this design,
The Knowledge of Life (Oxford, 1994). The subject of magic
well-defined places are demarcated as seats for the gods dur-
and so-called magic bowls is dealt with in Shaul Shaked,
ing the ritual. Other geometrically shaped altars were in the
“Bagdana, King of the Demons, and Other Iranian Terms
forms of triangles, wheels, and so forth. They all developed
in Babylonian Aramaic Magic,” in Papers in Honour of Profes-
out of a basic design, called catura´sra´syenacit, a fire altar “re-
sor Mary Boyce, Acta Iranica 24–25, ser. 2, Hommages et
sembling a falcon [constructed] from squares.” The shape of
Opera minora, 10–11 (Leiden, 1985), pp. 511–525; J. B.
a particular man:d:ala depends on the special purpose of the
Segal and Erica C. D. Hunter, Catalogue of the Aramaic and
sacrifice.
Mandaic Incantation Bowls in the British Museum (London,
2000); and Marco Moriggi, La lingua delle coppe magiche siri-
Another description of the geometrical designs for ritu-
ache (Florence, 2004). For individual mythological, cosmo-
alistic purposes is found in the Vastu´sa¯tras, the handbooks
logical, and ritual topics, see the various studies collected in
on architecture. Instead of an outline in reduced scale, the
Geo Widengren, Der Mandäismus (Darmstadt, Germany,
Indian architect used a square (vastuman:d:ala) consisting of
1982); Edwin M. Yamauchi, Gnostic Ethics and Mandaean
a grid of 64, 81, or more small squares as the starting point
Origins (Cambridge, Mass., 1970); Eric Segelberg, Gnostica
Mandaica Liturgica (Uppsala, Sweden, 1990); Waldemar
of a temple construction. Such a vastuman:d:ala was regarded
Sundberg, Kushta: A Monograph on a Principal Word in Man-
as the body of the cosmic being (vastupurus:a) in whose vari-
daean Texts, vol. 1, The Descending Knowledge, vol. 2, The As-
ous parts the main deity, auxiliary deities, and temple guard-
cending Soul (Lund, Sweden, 1993–1994); Majella Franz-
ians resided. The vastuman:d:ala is often closely connected
mann, “Living Water: Mediating Element in Mandaean
with the actual design of the building and assures the builder
Myth and Ritual,” Numen 36 (1990): 156–172; D. Kru-
of the presence of the gods.
isheer, “Theodore Bar Koni’s Ketaba d- Deskolyon as a Source
for the Study of Early Mandaeism,” Jaarbericht Ex Oriente
Square forms, in contrast to the circular plans of Hindu
Lux 33 (1993): 151–169; Kurt Rudolph, “Die Mändaer
and Jain cosmology, are also the basis for Hindu man:d:alas
heute: Ein Zwischenbilanz ihrer Erforschung und ihres
used in Pa¯ñcara¯tra (Vais:n:ava Tantra) as well as S´aiva and
Wandels in der Gegenwart,” Zeitschrif für Religionsgeschichte
S´a¯kta Tantric rituals. The most elaborate designs to appear
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAN:D:ALAS: BUDDHIST MAN:D:ALAS
5641
in the Pa¯ñcara¯tra ritual are described in the Laks:m¯ı Tantra
Hindu man:d:alas have attracted the curiosity of modern
(c. tenth century CE), which contains a whole chapter on
symbolists and psychoanalysts such as Mircea Eliade and C.
man:d:ala construction, and in the earlier Jaya¯khya Sam:hita¯.
G. Jung. However, as their interpretations are not always
These texts prescribe at the beginning of the worship the
based on the evidence of the available texts, the explanatory
construction of a square, which is divided into 256 small
value of these studies is limited. A definitive history of the
squares. The 16 small squares at the center and 8 squares of
geometric designs used in Hindu rituals has yet to be written.
identical size at the margins are filled with one lotus each.
SEE ALSO Tantrism; Temple, article on Hindu Temples;
The great square has gates and is surrounded by ´sobha¯s (ram-
Yantra.
parts; literally, “ornaments”) and kon:as (“corners”). This
man:d:ala is called Navapadma Man:d:ala (“man:d:ala of nine
BIBLIOGRAPHY
lotuses.” The texts state that no matter whether the deity is
Bürk, Albert. “Das A¯pastamba-S´ulva Su¯tra.” Zeitschrift der Deutsc-
worshiped in an image, in a pitcher, or under any other cir-
hen Morgenländischen Gesellschaft 56 (1902): 327–391.
cumstances, the worshiper should always “recall to his mind
Gupta, Sanjukta, trans. and ed. Laks:m¯ı Tantra: A Pa¯ñcara¯tra
the nine lotuses” of the man:d:ala, “which contains the whole
Text. Leiden, 1972.
world and is the exalted home of all gods, which encompasses
all [other] loci and is the paramount abode” (Laks:m¯ı Tantra
Gupta, Sanjukta, and Teun Goudriaan. “Hindu Tantric and
37.22, 37.25). The Pañcara¯trins also used a Cakra¯bja
S´a¯kta Literature.” In History of Indian Literature, edited by
Jan Gonda, vol. 2, fasc. 2. Wiesbaden, 1981.
Man:d:ala (“man:d:ala having a lotus circle”), in which a large
lotus fills the entire great square. A third form, the
Gupta, Sanjukta, Dirk Jan Hoens, and Teun Goudriaan. Hindu
Navana¯bha Man:d:ala (“man:d:ala of the nine navels”) has the
Tantrism. Leiden, 1979.
great square divided into nine smaller squares, in each of
Kramrisch, Stella. The Hindu Temple. 2 vols. Calcutta, 1946.
which is a seat (bimba) for one of the nine manifestations of
Meister, Michael W. “Man:d:ala and Practice in Nagara Architec-
Laks:m¯ı (i.e., Va¯sudeva, Sam:kars:an:a, Pradyumna, Anirudd-
ture in North India.” Journal of the American Oriental Society
ha, Na¯ra¯yan:a, Vira¯t:t, Vis:n:u, Narasim:ha, and Vara¯ha).
99 (1979): 204–219.
In several North Indian Tantric S´aiva and S´a¯kta texts,
Pott, P. H. Yoga and Tantra: Their Interrelation and Their Signifi-
man:d:ala worship is mentioned along with the d¯ıks:a¯
cance for Indian Archeology (1946). Translated from Dutch
(“initiation”) ceremony, (e.g., Prapañcasa¯ra Tantra 5.36–
by Rodney Needham. The Hague, 1966.
70). The similarities in preparation and designs with those
New Sources
of the Pa¯ñcara¯trins is striking: in both traditions a pavilion
Bühnemann, Gudrun. Mandalas and Yantras in the Hindu Tradi-
must be erected over the prepared ground on which the
tions. Leiden and Boston, 2003.
man:d:ala is to be constructed. Of four man:d:alas, mentioned
PETER GAEFFKE (1987)
in Tantric texts, the first, called Sarvatobhadra Man:d:ala
Revised Bibliography
(“man:d:ala that is auspicious on every side”), is identical with
the Navapadma Man:d:ala; the second is only its smaller vari-
ant. The third, the Navanabha Man:d:ala, is identical in form
with the man:d:ala of the same name of the Pa¯ñcara¯trins, but
MAN:D:ALAS: BUDDHIST MAN:D:ALAS
instead of the nine seats for deities it has five lotuses and four
In general terms, the Sanskrit word man:d:ala (Tib., dkyil
sva¯stikas. The fourth man:d:ala is identical with the third but
’khor) refers to something that is round or circular. Man:d:ala
has only five lotuses and no sva¯stikas. Therefore, it is called
also designates a region, terrestrial division, domain, assem-
Pañca¯bja Man:d:ala (“man:d:ala of five lotuses”). During the
bly, or group. In Tantric traditions, the term man:d:ala often
initiation ceremony among the Pa¯ñcara¯trins and among
refers to a space with a specific structure that is enclosed and
Tantrics, the blindfolded adept is led to the man:d:ala and
delimited by a circumferential line into which a deity or dei-
throws flowers upon it. The deity on whose seat the flowers
ties are invited by means of mantras. This space is often a cir-
fall will provide him with a name or will become his special
cle, but may also appear as a square, a triangle, or another
object of worship.
shape.
In their daily and thus more private rituals, Tantrics of
The center of a man:d:ala contains an image or symbol
all denominations start the ritual with the drawing of geo-
of the main deity, the man:d:ale´sa or man:d:ala lord, for which
metrical designs in vermilion or red sandalwood paste on a
the man:d:ala is named. The man:d:ale´sa is identified with the
purified surface. For the devotee, these diagrams are a source
whole man:d:ala, and the surrounding deities are the
of cosmic power and the place on which the deity dwells dur-
man:d:ale´sa’s aspects. The number of residents of a man:d:ala
ing the ritual. Although such diagrams are also often called
(e.g., buddhas, bodhisattvas, deities, consorts, offering god-
man:d:alas and their function of providing a proper abode for
desses, and gatekeepers) differs according to specific schools,
the deity is the same as in the d¯ıks:a¯ rituals, it has become
giving rise to many varieties of man:d:alas, which are difficult
customary to call the simpler designs for daily worship yan-
to classify. A simple man:d:ala has only one man:d:ale´sa with
tras, and to reserve the term man:d:ala for the larger ones in
four surrounding deities situated in the four cardinal direc-
public ceremonies where the whole cosmos has to be present.
tions. This simple structure can be expanded by adding four
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5642
MAN:D:ALAS: BUDDHIST MAN:D:ALAS
more divine beings in the intermediate directions. Thus, the
diate directions and are thus well suited for positioning dei-
divinities surrounding the man:d:ale´sa usually number eight
ties in their respective directions. Eight-petaled lotus designs
or multiples of eight. Greater complexity of the basic struc-
are commonly found in the center of Buddhist (and also
ture is achieved by increasing the number of divinities sur-
Hindu and Jain) man:d:alas, such as in some versions of the
rounding the center, by varying their spatial relationship to
man:d:ala of the Eight Great Bodhisattvas. The free-standing
the center, and by grouping them around the center in circles
lotus man:d:alas, which were manufactured in India from
of increasing distance.
brass and later in Tibet from other metals, also feature an
eight-petaled lotus with a statue of a tatha¯gata in the center
Man:d:alas can be classified structurally as unicyclic, with
and small statues of surrounding deities on the lotus petals.
only one inner circle; bi-cyclic, with a second circle; tricyclic;
A pattern of nine lotuses arranged in groups of three placed
and quadricyclic. The circles within some tricyclic man:d:alas
one above the other appears in several important man:d:alas,
are called the body man:d:ala, the speech man:d:ala, and the
including versions of the Buddhist vajradha¯tuman:d:ala; this
mind man:d:ala, according to the way in which the deities are
pattern also appears in Hindu Tantric man:d:alas, such as ver-
represented. Generally, the deities can be represented in one
sions of the Pa¯ñcara¯tra navapadmaman:d:ala and the S´aiva
of three ways. They may appear as images with iconographic
navana¯bhaman:d:ala.
characteristics, in symbolic form, or as seed syllables (b¯ıja),
which are mantras of deities and are thus considered identical
Man:d:alas of the goddess Vajrava¯ra¯h¯ı (Vajrayogin¯ı) in-
to them. The symbols are often identical with the attributes
clude a hexagram consisting of two superimposed equilateral
held by the images. In the body man:d:ala, the deities are rep-
triangles, one pointing upwards and the other downwards.
resented as anthropomorphic images with iconographic attri-
The triangles, which are also found in Hindu man:d:alas and
butes; in the speech man:d:ala, they are represented by their
yantras, symbolize the union of the female and male princi-
seed syllables; and in the mind man:d:ala, they are represented
ples. The hexagram is a widespread symbol and has been
by their symbols.
used for decorative purposes or as a magical sign in many cul-
Composite man:d:alas consist of several individual
tures. It is also known as Magen David, the Shield of David,
man:d:alas, each with a central deity. While the simplest
or as the Seal of Solomon.
man:d:ala houses one to five deities, more complex man:d:alas
Man:d:alas have been used in different ways in various
may accommodate several hundred or more than one thou-
traditions. Indian Buddhist Tantric texts attest to their use
sand deities. The man:d:ala structure can function as an im-
in rituals, most importantly in Tantric consecration or em-
portant device for representing the pantheon of deities in a
powerment (abhis:eka) rites, which form part of a ritual initia-
system or school, as well as the hierarchy of deities within
tion by a Tantric teacher. The number of empowerments re-
the system. The hierarchical status of the man:d:ala inhabi-
ceived by the disciple differs according to the type of
tants declines as one moves away from the center, and those
initiation. In the garland empowerment, a blindfolded initi-
in the outermost ring generally function only as guardians.
ate casts a flower on the man:d:ala in front of him. The initi-
The element of distance from the man:d:ala’s center assumed
ate’s buddha family is then determined from the place in the
importance when it came to including Brahmanic and
man:d:ala where the flower has fallen. A similar ritual is also
Hindu deities, who were regularly assigned to the periphery
known in Hindu Tantric traditions. Man:d:alas for such tem-
of the man:d:ala.
porary use in a specific ritual are prepared from various mate-
There is no single uniform man:d:ala pattern. Man:d:alas
rials, including colored powders. After they have fulfilled
display various shapes and consist of different constituent
their purposes, the man:d:alas are ritually obliterated. The ac-
parts, depending on the traditions of different schools, the
tual size of man:d:alas differs according to the practitioner’s
ritual application, the deity worshiped, and the practitioner’s
means and goals. At times they are large enough for the prac-
qualifications and goals. It must be emphasized, however,
titioner to enter and move along pathways in them.
that the man:d:ala is not merely a physical structure with a
Man:d:alas are also visualized as part of Tantric sa¯dhanas (de-
specific design. It is the place in which the practitioner be-
scribed below).
holds the deities who have been invoked into the man:d:ala
MAN:D:ALAS IN INDIAN BUDDHIST TEXTS. Descriptions of
and so have become an integral part of the structure.
man:d:alas for visualization appear in Indian sa¯dhana texts in
One basic structural element of man:d:alas (and yantras)
such collections as the Sa¯dhanama¯la¯. Some of these texts may
is the lotus design. The lotus is a South Asian symbol of cre-
date back to the ninth century CE or earlier. The term
ation, purity, transcendence, and the sphere of the absolute,
sa¯dhana refers both to the methods employed by Tantric
but it is especially known as a symbol of the female reproduc-
practitioners for the worship of a particular deity and the
tive organ. In man:d:alas of lotus design, the central deity is
texts written to guide practitioners, often called yogins, in
positioned in the pericarp, with the emanations or subordi-
worship. As part of a sa¯dhana, the practitioner may mentally
nate deities in the petals. A lotus design may feature one or
create a man:d:ala of a deity in the following manner. After
more concentric rings of petals. Four-petaled and eight-
completing certain preliminary rites, the practitioner visual-
petaled lotus designs are the most common. The petals of an
izes in succession: (1) an outer enclosure of ritual thunder-
eight-petaled lotus ideally point in the cardinal and interme-
bolt scepters (vajra); (2) a pavilion made of thunderbolt scep-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAN:D:ALAS: BUDDHIST MAN:D:ALAS
5643
ters; (3) a floor of adamantine stones; and (4) an outer
pat:a (Skt.), than˙ka (Tib.), and paubha¯h: or pauba¯ha¯h:
boundary. Next the practitioner visualizes a white down-
(Neva¯r¯ı). Such man:d:alas on cloth are commonly found in
ward-pointing triangle inside the pavilion; this is the symbol
the Tibetan and Neva¯r Buddhist traditions as objects of gen-
of the female generative principle, called the “origin of exis-
eral worship, and must have been popular in India as well
tents” (dharmodaya¯), which is said to consist of space. Such
since simpler versions, which assign anthropomorphic im-
an inverted triangle is also common in Hindu man:d:alas and
ages of deities in the directions and have been called
yantras, where it is a symbol of the female pubic triangle, sex
proto-man:d:alas, are described in the Mañju´sr¯ımu¯lakalpa
organ, and womb. In the center of the triangle the practition-
(eighth to eleventh century). Important painted man:d:ala
er visualizes a lotus with multicolored petals, and in its peri-
collections of the later Tibetan tradition include the N
˙ or col-
carp a five-pronged crossed thunderbolt scepter (vi´svavajra)
lection, a set of 132 man:d:alas produced at N
˙ or Monastery,
having the form of space. The spheres of the four great ele-
the headquarters of the Tibetan Sa skya (Sakya) pa N
˙ or sect.
ments (wind, fire, water, earth), arising through the transfor-
The collection forms part of a voluminous work, the Rgyud
mation of specific seed syllables, are configured atop one an-
sde kun btus (Compendium of Tantras), which is based on
other in the center of the crossed thunderbolt scepter.
earlier man:d:ala texts and encompasses all Tibetan Tantric
Generated from the transformation of the four elements, the
traditions, with an emphasis on the Sa skya sect. The text was
practitioner then visualizes a square palace, made from vari-
compiled and the man:d:ala paintings were produced in East-
ous jewels, with four gates, eight columns (two at each gate),
ern Tibet during the latter half of the nineteenth century.
four verandas, and four arches. The palace is decorated with
garlands, half-garlands, mirrors, fly-whisks, various banners,
Man:d:alas are also painted on the walls and ceilings of
bells, and other ornaments. In its innermost part the practi-
temples in the Tibetan and Neva¯r Buddhist traditions, a
tioner visualizes an eight-petaled lotus within whose pericarp
practice that continues today. The painting of man:d:alas be-
the deity is enthroned.
came part of the Bon tradition of Tibet, which is still active
as an organized religion and has absorbed considerable Bud-
Other patterns for man:d:ala visualization do not feature
dhist influence. In addition to the painting of man:d:alas, a
the origin of existents but call for the palace to be situated
tradition of manufacturing and installing stone man:d:alas of
in the pavilion made of thunderbolt scepters and to rest on
Dharmadha¯tuva¯g¯ı´svara, a form of Mañju´sr¯ı, for the pur-
the five-pronged thunderbolt scepter, which is inside the
poses of worship started around the seventeenth century
pericarp of a huge lotus with multicolored petals. The lotus
among Neva¯r Buddhists. Many such stone man:d:alas can be
in turn rests on Mount Sumeru, which is surrounded by the
found in the Kathmandu Valley.
oceans, continents, and subcontinents.
Structural elements of man:d:alas appear more clearly in
A two-dimensional painted or drawn man:d:ala repre-
complex three-dimensional man:d:alas made of such materials
sents a three-dimensional man:d:ala structure from a bird’s-
as wood, metal, or even precious stones. Three-dimensional
eye view. The outer parts of Tibetan painted man:d:alas are
man:d:alas are already mentioned in the Dharmaman:d:alasu¯tra
often made up of several concentric rings. The outermost rim
by Buddhaguhya, a text composed in the eighth century and
consists of a circle of fire, with the flames represented by a
extant only in its Tibetan translation. This work deals with
line of scrollwork. This flame barrier is usually depicted in
various aspects of the man:d:ala and its symbolism. The
five colors: blue, red, green, white, and yellow. Contiguous
Nis:pannayoga¯val¯ı and Vajra¯val¯ı, two complementary works
to the circle of fire is a dark, impenetrable wall of thunder-
by Abhaya¯karagupta that were written around 1100, are im-
bolt scepters. Some texts identify it with the ring mountain
portant documents for the study of late Indian Tantric
of Buddhist cosmology, the world’s most exterior boundary.
man:d:alas. Both texts describe in great detail twenty-six
Such a circle of thunderbolt scepters can appear in different
man:d:alas from various Tantric traditions, including a ver-
positions on a man:d:ala. Its general function is that of a sepa-
sion of the ka¯lacakraman:d:ala. The Nis:pannayoga¯val¯ı focuses
rator between the outer rings of the man:d:ala.
on the three-dimensional forms of these man:d:alas for visual-
In some cases, especially in man:d:alas of wrathful deities,
ization (bha¯vyaman:d:ala) and describes in detail the iconogra-
a circle containing eight cremation grounds (´sma´sa¯na) fol-
phy of deities. The Vajra¯val¯ı explains the construction and
lows. They are represented as places of religious practice,
ritual use of two-dimensional man:d:alas, which are to be
with four in the cardinal and four in the intermediate direc-
drawn or painted (lekhyaman:d:ala) on the ground. In visual-
tions. The cremation grounds are modeled on a detailed
ized man:d:alas, the deities are mentally seen with their dis-
iconographic plan. Each site has been assigned a specific
tinct iconographic characteristics, whereas in drawn
mountain, relic shrine (stupa), river, tree, and ascetic who
man:d:alas they are usually only represented by corresponding
practices there. An ocean appears between each of the crema-
symbols (cihna, samaya). The elaborate ritual descriptions in
tion grounds. In some man:d:alas the circle of cremation
the Vajra¯val¯ı begin with the selection and purification of the
grounds is found in the outermost part of the man:d:ala, out-
site and the drawing of the lines of the man:d:ala, and include
side the circle of fire. The cremation grounds encircle a ring
important details of the consecration rituals.
of multicolored lotus petals. These are the petals of the huge
MAN:D:ALAS IN THE TIBETAN AND NEVA¯R BUDDHIST TRADI-
lotus, which is conceived of as supporting the entire man:d:ala
TIONS. Permanent man:d:alas painted on cloth are known as
structure. Inside these enclosures is a park-like courtyard,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5644
MAN:D:ALAS: BUDDHIST MAN:D:ALAS
often filled with water or cloud motifs, or displaying symbols
the universe offered up in another kind of man:d:ala, the of-
of victory and auspiciousness.
fering man:d:ala.
A square palace appears in the center of the man:d:ala.
The offering man:d:ala or Mount Meru man:d:ala, which
Each of the four sides of the palace is interrupted by a T-
is widely known in the Tibetan tradition, is the symbolic of-
shaped gate guarded by a gatekeeper. The palace rests on a
fering of the spheres of the universe to a deity or preceptor.
foundation consisting of a crossed thunderbolt scepter,
This man:d:ala represents the component parts of the universe
whose prongs project beyond the T-shaped gates. The palace
according to ancient Indian cosmology: Mount Meru, the
has an inner courtyard of four basic colors that represent the
four continents, the eight subcontinents, the sun and moon,
four directions, usually white (east), yellow (south), red
and the symbols of wealth and auspiciousness. The offering
(west), and green (north). The center of the palace, usually
is made in containers of various shapes and materials. The
marked off by another circle, contains the throne of the
most commonly used container consists of a round plate
deity, which takes such shapes as that of a lotus flower or a
topped by hollow concentric metal rings of decreasing diam-
wheel. These structural parts of the man:d:ala may be adorned
eter and held in position by the grain offering that is placed
elaborately in various ways.
inside. A decoration, which may include the wheel of the
law, is placed on the top of the man:d:ala. Handfuls of grain,
A comparison between the structural elements of some
signifying the components of the universe, are generally
extant painted man:d:alas in the Tibetan tradition and those
heaped into the concentric rings. In this way the donor
of the visualized man:d:alas described in Indian sa¯dhana texts
makes an offering of the universe in miniature. A similar
shows many similarities. The fire circle of the painted
scheme is also represented by free-standing brass, silver,
man:d:ala corresponds to the outer boundary, which is visual-
beaded, or wooden structures, which are often placed on al-
ized as surrounding the whole man:d:ala structure on all sides
tars. Similar to the Tibetan offering man:d:ala is the
like a fire. According to some sa¯dhana texts this circle is visu-
guruman:d:ala, which figures prominently in rituals of Neva¯r
alized in five colors, as in the Tibetan man:d:ala paintings.
Buddhists. It is an ancient ritual offering of Mount Meru and
The circle of ritual thunderbolt scepters corresponds to the
the continents to the guru¯, identified with the transcendental
outer enclosure of thunderbolt scepters, which is identified
Buddha Vajrasattva.
with the ring mountain in cosmology. The huge crossed
MAN:D:ALAS IN JAPANESE SHINGON BUDDHISM. Man:d:alas
thunderbolt scepter of painted man:d:alas, upon which the
also play an important role in the Shingon and Tendai eso-
man:d:ala palace stands, corresponds to the crossed thunder-
teric schools of Japanese Buddhism. Ku¯kai (774–835 CE),
bolt scepter (vi´svavajra) visualized as resting on the lotus in-
who received a Buddhist Tantric transmission of Indian ori-
side the origin of existents. The multicolored lotus petals in
gin from his teacher Hui-ko (746–805) in China, is credited
the painted man:d:alas are the petals of this lotus.
with bringing to Japan copies of a pair of man:d:alas. The
paired man:d:alas assumed a prominent role in the ritual of
Offering man:d:alas. While the basic structure of the
the Shingon school that Ku¯kai subsequently founded, which
man:d:ala suggests that it was originally intended to portray
aims at integrating the individual with the Buddha. The two
the central deity as a king on a throne surrounded by his
man:d:alas are said to represent the two aspects of the dharma,
court inside a palace, various theological and philosophical
the knower and the known, which are viewed as two aspects
concepts and schemes became associated with the man:d:ala
of the same reality. One is the so-called Womb or Matrix
structure when the man:d:ala symbolism evolved to more in-
Man:d:ala (Skt., garbhaman:d:ala
or [maha¯karun:a¯]-
tricate and complex levels in the course of time. Such ele-
garbhodbhavaman:d:ala; Jpn., taizo¯ mandara or daihi taizo¯ sho¯
ments as the four gates of the man:d:ala were identified with
mandara), meaning “man:d:ala generated from the womb of
categories of the Buddhist path. Iconographic characteristics
Great Compassion.” The other man:d:ala is the Thunderbolt
of the man:d:ala deities were interpreted as expressing Bud-
Realm Man:d:ala (Jpn., kongo¯kai mandara), which is one of
dhist truths. This development naturally led to various inter-
several known versions of a vajradha¯tuman:d:ala. The Womb
pretations of the man:d:ala structure. The interpretations are
Man:d:ala features in its center the familiar pattern of an
extremely varied so that even a single text may provide more
eight-petaled lotus with Maha¯vairocana occupying the
than one interpretation of the structural elements of a
throne. The Thunderbolt Realm Man:d:ala can best be cate-
man:d:ala.
gorized as a composite man:d:ala, an aggregate of originally
In The Theory and Practice of the Man:d:ala, Giuseppe
nine individual man:d:alas arranged horizontally and vertically
Tucci called the man:d:ala “a map of the cosmos” and a “psy-
in rows of three. When viewed collectively, these individual
chocosmogram” (Tucci, 1961, p. 23). These terms have been
man:d:alas are referred to as the “assemblies.” Structurally, the
taken over by many later authors, who speak about the
Thunderbolt Realm Man:d:ala can be compared to the above-
man:d:ala as a “cosmogram.” This can be misleading, since we
mentioned nine-lotus man:d:alas. In addition to these two
do not find representations of the continents in deity
fundamental man:d:alas, other man:d:alas are also known in
man:d:alas, although cosmological notions often became asso-
these esoteric Japanese traditions.
ciated with them. The “world” depicted in a deity man:d:ala
SPECULATIONS ON THE ORIGINS OF THE MAN:D:ALA. The ori-
is mostly a divine, transcendent world, distinguishable from
gins of the Buddhist Tantric man:d:ala are not yet clearly un-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAN:D:ALAS: BUDDHIST MAN:D:ALAS
5645
derstood. Several scholars have suggested that all Tantric
sets of angles, resembling the letters T, L, and V—on the
man:d:alas are rooted in Vedic traditions. The layout of Vedic
backsides of Chinese mirrors used between 100 BCE and 100
altars is taken as indicative of an early interest in geometric
CE. TLV patterns seem to represent the universe, but the
designs endowed with cosmological symbolism. The method
symbolism of the mirror designs is still a matter of debate.
of determining the lines of the compass for the construction
The Chinese mirrors depict the square earth—that is, the
of sacrificial altars, the consecration of bricks on the surface
Middle Kingdom, or China—at the center of the world with
of a cayana altar by means of mantras and the locating of dei-
four T-shaped gates. In Tibetan man:d:alas the T-shaped gates
ties on the bricks are essential features of Vedic rituals, and
are also visible, but they are crowned with elaborate struc-
aspects of these rituals recur in the practice of constructing
tures. Squares with T-shaped gates (called earth squares) are
man:d:alas and invoking deities into their parts. The sacred
common elements of Hindu yantras as well. In the Chinese
space of man:d:alas and yantras can be seen as a continuation
mirrors, the outer circle is thought to represent the sky, as
of the Vedic sacrificial site, and the square enclosure of many
indicated by a continuous string of clouds or “drifting cloud”
Tantric man:d:alas can be seen as an analogue of the sacred
design. In the Tibetan man:d:ala, however, the scrollwork on
fire altar. But the similarities between the two traditions are
the outer ring represents fire.
limited, since the patterns displayed by Tantric man:d:alas are
distinctly different, as are the details of the rites and the man-
SEE ALSO Buddhist Meditation, article on Tibetan Buddhist
tras and deities invoked. Influences from other traditions
Meditation; Labyrinth; Maha¯vairocana; Tantrism, overview
must also have played an important role in the development
article; Temple.
of the man:d:ala.
B
Ronald M. Davidson pointed out similarities between
IBLIOGRAPHY
Buddhist man:d:ala structures and structural elements of po-
Giuseppe Tucci’s The Theory and Practice of the Man:d:ala, with
Special Reference to the Modern Psychology of the Subconscious,
litical systems. He suggested a derivation of the form and
translated by A. H. Brodrick (London, 1961), remains a
functions of Buddhist man:d:alas from the political situation
readable general source on man:d:alas. This is a translation of
in early medieval India, with the man:d:ala replicating the feu-
Tucci’s original Italian work, Teoria e pratica del man:d:ala,
dal system of vassals (sa¯manta) and the relationship between
con particolare riguardo alla moderna psicologia de profondo
overlords and peripheral states. This derivation, however,
(Rome, 1949). However, Tucci’s book, which was influ-
can only account for selected man:d:ala patterns. Earlier, Stan-
enced by Jung’s theory of archetypes, has become somewhat
ley J. Tambiah had interpreted man:d:alas as patterns for so-
dated and suffers from generalizations and at times a confus-
cial organization.
ing mix of Hindu and Buddhist materials. Also dated, but
still a mine of information culled from Indo-Tibetan sources,
Some scholars have considered the Wheel of Existence
is Reginald A. Ray’s “Man:d:ala Symbolism in Tantric Bud-
(bhavacakra) as an antecedent of the Buddhist Tantric
dhism,” an unpublished doctoral dissertation submitted to
man:d:ala. The Wheel of Existence, whose earliest representa-
the Divinity School of the University of Chicago in 1973.
tion is a fifth-century painting found on the wall of cave 17
Detailed descriptions of thirty-seven major man:d:alas in Indi-
in Ajan:t:a¯, is a graphic and pictorial didactic device for ex-
an Tantric Buddhist texts can be found in Marie-Thérèse de
plaining Buddhist teachings, namely the endless cycle of
Mallmann, Introduction à l’iconographie du tântrisme boudd-
hique (Paris, 1986), pp. 39–82. Buddhaguhya’s Dharma-
birth and death. It differs considerably from a man:d:ala in
man:d:alasu¯tra was translated by Erberto Lo Bue as “The
its nature and function, since it is not concerned with deities
Dharmaman:d:ala-Su¯tra,” in Orientalia Iosephi Tucci Mem-
and their emanations in the way man:d:alas are. The kasin:a
oriae Dicata, edited by G. Gnoli and L. Lanciotti (Rome,
disks used as concentration devices in early Buddhism and
1987), vol. 2, pp. 787–818. See also Siegbert Hummel, Der
recommended, for example, in Buddhaghosa’s Visuddhimag-
Ursprung des tibetischen Man:d:alas, Ethnos 23 (1958): 158-
ga, have also been invoked as antecedents of man:d:alas. How-
171; and S. J. Tambiah, World Conqueror and World Re-
ever, these are plain disks and, unlike man:d:alas, do not repre-
nouncer (London, 1976).
sent sacred space. Others have pointed to the symbolism and
For an interpretation of the Buddhist man:d:ala as replicating the
architectural form of stupas as contributing factors to the de-
Indian medieval feudal system, see Ronald M. Davidson, In-
velopment of the Tantric man:d:ala. In contrast, Siegbert
dian Esoteric Buddhism: A Social History of the Tantric Move-
Hummel assumed that man:d:alas originated outside India,
ment (New York, 2002), pp. 131–144. A comprehensive
probably in Tibet or China. Tucci believed that the symbol-
treatment of the Tibetan man:d:ala can be found in Martin
ism of the man:d:ala was derived from the ziggurats of ancient
Brauen, The Mandala: Sacred Circle in Tibetan Buddhism,
Mesopotamia. These were towers built of mud brick with a
translated by Martin Willson (Boston, 1998). The book is
square foundation and five (later seven) terraces, outside
a translation of the original German work, Das Mandala: Der
staircases, and a shrine at the summit.
heilige Kreis im tantrischen Buddhismus (Cologne, Germany,
1992).
Man:d:ala-like patterns are also found on Chinese mir-
Photographs of Tibetan man:d:alas from different periods and tra-
rors, which led Schuyler Cammann to postulate the deriva-
ditions are reproduced in many exhibition catalogues, in-
tion of the Tibetan man:d:ala paintings from the Han dynas-
cluding Denise P. Leidy and Robert A. F. Thurman, Manda-
ty’s “TLV” mirrors. Cammann studied TLV patterns—three
la: The Architecture of Enlightenment (New York, 1997). 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
5646
MANI
the Tibetan N
˙ or man:d:alas, see The Ngor Mandalas of Tibet,
mentioned in the stories and hagiographic accounts of his
vol. 1: Plates, edited by bSod nams rgya mtsho and Musashi
life. The honorific title “Lord Mani” (Mar Mani), was also
Tachikawa (Tokyo, 1989), and vol. 2: Listings of the Mandala
known to the Chinese via the transcription Mo-mo-ni and
Deities, by bSod nams rgya mtsho, revised by Tachikawa, S.
to the Tibetans as Mar Ma-ne. The form Manes (the mad-
Onoda, K. Noguchi, and K. Tanaka (Tokyo, 1991).
man) was used in etymological wordplay (mania, “madness”)
For a comprehensive treatment of the two main man:d:alas of the
by opponents in order to attack what they considered the ab-
Japanese Shingon and Tendai schools, see Adrian Snodgrass,
surd nature of his teaching. In the same way, the original Ar-
The Matrix and Diamond World Mandalas in Shingon Bud-
amaic word mana (vessel), was turned around so that instead
dhism (New Delhi, 1988), and Michael Saso, Homa Rites and
of being the “vessel of life” (mana hayya), insulting epithets
Man:d:ala Meditation in Tendai Buddhism (New Delhi,
were coined, such as the “vessel of Evil” (Ephraim) or “vessel
1991). Nepalese stone man:d:alas are described in Adalbert
of the Anti-Christ” (Acta Archelai).
Gail, “Stone Man:d:alas in Nepal,” East and West 50 (2000):
309–358. For the Tibetan offering or Mount Meru
INTRODUCTION. Third-century CE Mesopotamia was a
man:d:alas, see Stephan Beyer, The Cult of Ta¯ra¯: Magic and
flourishing province of Parthian, and later the Sassanid, em-
Ritual in Tibet (Berkeley, 1973), pp. 167–170, and Alex
pire. It had a high level of civilization and urban and com-
Wayman, The Buddhist Tantras: Light on Indo-Tibetan Es-
mercial development (in contrast to the Iranian upland, with
otericism (London, 1995), pp. 101–106. For the
its agricultural economy and its predominantly warrior, feu-
guruman:d:ala of the Neva¯r Buddhists, see David N. Gellner,
dal society). This aristocratic environment, based upon par-
“Ritualized Devotion, Altruism, and Meditation: The Offer-
ticular, overtly national values, was encouraged by Sassanid
ing of the Guru Man:d:ala in Newar Buddhism,” Indo-Iranian
Zoroastrianism and the priestly cast of the magi, whose as-
Journal 34 (1991): 161–197.
cendancy was growing thanks to the groundwork of the high
For research on man:d:ala and landscape the reader may consult the
priest Kird¯ır.
essays in A. W. Macdonald, ed., Man:d:ala and Landscape
(New Delhi, 1997). Buddhist yantras in Southeast Asia have
It was this aristocratic environment of Mesopotamia
been described in François Bizot, “Notes sur les yantra boud-
that came into conflict with the universalism of Mani and
dhiques d’indochine,” in Tantric and Taoist Studies in Hon-
his ascetic teachings (preaching abstinence from agricultural
our of R. A. Stein, edited by Michel Strickmann (Brussels,
labor and marriage), a situation that risked jeopardizing the
1981), vol. 1, pp. 155–191; see also François Bizot and
religious, social, and economic basis of the empire. This in-
Oskar von Hinüber, La guirlande de joyaux (Paris, 1994). For
creased importance of trade was not well-regarded in Zoroas-
a discussion of the designs of Chinese mirrors and a compari-
trian ethical thought, in contrast to Manichaeism, in which
son with Tibetan man:d:ala designs, see the following two ar-
we find an imaginary merchant ship (in the figurative lan-
ticles by Schuyler Cammann: “The ‘TLV’ Pattern on Cos-
guage of its parables) and metaphors such as the Treasure
mic Mirrors of the Han Dynasty,” in Journal of the American
Oriental Society 68 (1948): 159–167; and “Suggested Origin
and the Pearl, or the Merchant traveling in search of valuable
of the Tibetan Mandala Paintings,” in The Art Quarterly 13
merchandise, representing the itinerant nature of the seeker
(1950): 106–119.
of knowledge, a feature common to both Manichaeism and
Buddhism.
GUDRUN BÜHNEMANN (2005)
The extensive movement of peoples and goods in Meso-
potamia encouraged religious, philosophical, and cultural in-
terchange. The close proximity of beliefs from the Hellenism
MANI, the founder of Manichaeism—an important Gnos-
of late antiquity, Chaldean astrology, esoteric and Gnostic
tic and universal religion with pronounced syncretic tenden-
communities, and elements of Semitic paganism all pro-
cies and a marked missionary driving force—was born in the
duced a particularly syncretic environment. Furthermore,
year 527 of the Seleucid calendar, which was calculated in
the vigor and growing spread of Christian proselytism now
Babylon as starting on April 3, 311 BCE. According to the
existed alongside Judaism, which had become entrenched
evidence of al-Birunial-B¯ıru¯n¯ı, this equates to the year 216–
over several centuries, and both Zoroastrianism and Bud-
217 CE, during the reign of the last Arsacid Parthian ruler,
dhism had a presence in those areas adjacent to the great car-
Ardawan (r. 213–224 CE). A comparison with Chinese and
avan routes that had encouraged the spread of Buddhism
Coptic sources allows an even more accurate dating of his
from India to Central Asia.
birth, in the spring of April 14, 216.
All of these belief systems influenced the spiritual devel-
The Greek name Manichaios (Latin, Manichaeus) is a
opment of Mani to varying degrees. Such an auspicious situ-
transcription of a name of Semitic origin, Mani Hayya (Mani
ation, in terms of geography and culture—cosmopolitan,
the Living). The epithet Hayya (Living) indicated a particu-
eclectic, and with flourishing trade—opened a wide range of
lar quality of divine beings or benign individuals providing
possibilities in terms of religious and philosophical opportu-
healing and life-giving power. The term thus represents an
nities. The distinctive features that caused the emergence of
important feature of the spiritual life work of Mani: namely,
Mani, in the context of a varied and dynamic social outlook,
his desire to establish himself as a doctor and healer of both
were suffused with a concern for metaphysical and religious
body and soul, performing various miraculous cures that are
inquiry. His father, Patek, was no stranger to these views, 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
MANI
5647
he belonged to the Elkasite baptismal community (the
menti passed on by Augustine) inscribed on rock crystal, on
Mughtasilah—“those who are washed, who are purified”—
which there also appears what seems to be a picture of Mani
mentioned bythe Arabic chronicler al-Nad¯ım [d. 995]).
in the center of a triptych of figures. He is wearing a hat and
BEGINNINGS. Mani was born in a place in northern Babylon,
a band, his hair is flowing, and he has a long beard with a
at Gaukhai in the Be¯th Dera¯ye¯ region, of Iranian parents.
parting in the middle. Another representation, on a copper
His father, Patek, was from Hamadan and his mother,
plate from the Oldenburg expedition in Turkestan, instead
Maryam, was from the noble Parthian Kamsaragan family.
shows an image with oriental features. Here, Mani has long
Mani’s origins were a source of pride to him; he was aware
hair over his shoulders and a Middle Persian inscription, “the
that he came from an important part of the world in terms
face of the Apostle of Light.” Another probable depiction,
of its cultural, social, and religious relevance—a clear indica-
more Chinese in style, is on a wall painting of Kocˇo (VIII-IX
tion of its spiritual vitality. Mani al-babiliyu (“the Babylo-
sec.), showing him as a church dignitary surrounded by his
nian”) as he was called in Arabic sources, would refer to the
elect, with a beard and mustache, a richly-decorated hat, and
land of his birth on numerous occasions, with gratitude that
a halo consisting of a lunar crescent surrounding a reddish-
he came from a cosmopolitan, eclectic land, a privileged
white solar disk.
starting point for his universalistic and missionary impulse.
THE PHYSICAL BODY AND FIRST TEACHINGS. According to
This drove him to spread his message in far-off lands: “A
the Arabic sources—the Fihrist of al-Nad¯ım—Mani was
thankful pupil am I (Mani), I have come from the land of
lame, but this reference to a physical disability can be inter-
Babylon, I have come from the land of Babylon and I am
preted in one of two ways. It may be seen as a term of con-
posted at the door of Truth . . . I have come forth from the
demnation and contempt by a religious opponent (normal
land of Babylon so that I might shout a call into the world”
practice in heresiological Muslim literature) intended to em-
(M4a, Parthian).
phasize the physical (and hence psychological and spiritual)
The ancient prestige of Babylon—“gateway of the gods”
deformity of the heretical adversary, variously described as
(ba¯b-ila¯ni), as its name means—would thus be enhanced ac-
lame, cross-eyed, or a leper. On the other hand, it may be
cording to new needs of faith and salvation as a “gateway of
seen as a physical symbol of otherness, and of a lopsided walk
Truth,” as a means of getting to heaven, in line with the sym-
(compared to the normal, erect posture) that is typical of ex-
bolism found in the language of various Gnostic and
ceptional individuals such as fortune-tellers, healers, sha-
Manichaean passages, which regard religious teaching as a
mans, and therapists. These types of individuals—like Oedi-
“gateway of salvation” (dar ¯ı uz¯eniˇsn; M 5714, Middle Per-
pus, Melampus, Jason, or indeed Jacob—have been studied
sian). The gates were opened by a savior who would proclaim
by Carlo Ginzburg (1992, pp. 206–224), who finds they are
a “call,” launched by Mani to begin the missionary preaching
geographically and culturally closer to Mani, who after his
drive, starting with the apostle himself, who was the first of
night battle with the angel beside the river Yabboq limps be-
the “heralds” of the message of salvation to be spread
cause of a dislocated hip.
throughout the world.
Walking lopsidedly is thus the sign of a physical abnor-
Descriptions of Mani also survive in the polemical and
mality, of an otherness that characterizes ecstatic experiences
heresiological works of Christian writers and confirm that his
and journeys that anticipate going into the world of the dead,
physical appearance was twofold—both Iranian and Meso-
into a supernatural dimension involving those who are ap-
potamian, as when, in the Acta Archelai (XIV.3), Mani is de-
parently dead. This could correspond to a side of Mani’s
scribed arriving dressed in “a multi-colored cloak of a some-
character—namely, his ability as a wise man and healer, as
what ethereal appearance, while in his hand he held a very
well as his ability to wield miraculous powers (Middle Per-
strong staff made of ebony-wood. He carried a Babylonian
sian, warz). It was this aspect of Mani that influenced those
book under his left arm and he had covered his legs with
who met him to convert. One such convert was the king of
trousers of different colors, one of them scarlet and the other
Turan, who was convinced of the merit of Mani’s teaching
colored leek-green, and his appearance was like that of an old
because of his ability to levitate. In another episode, Mani
Persian magician or warlord.” Persian in appearance, like a
miraculously showed to the skeptical king of Messenia the
wise man or magician as well as a warrior—for his clothes
Paradise of Light with all of the gods in the immortal Air of
resembled that of a priest of the god Mithras (again, accord-
Life, causing the king to faint. Mani then brought him back
ing to the Acta Archelai [XL.7])—this description of Mani
to consciousness by laying a hand on his head.
is a clear and figurative representation of the dual nature of
The miraculous, restorative power of Mani is thus
his ethnic and cultural roots—Iranian and Mesopotamian—
shown mainly in cures. For this reason he is described—and
and also illustrates another extremely important detail of the
describes himself—as a doctor, a therapist who treats both
missionary activity and artistic and cultural output of Mani-
body and soul, wounded and imprisoned in the world of
chaeism—namely, the book.
Matter. Thus, his healing was a means of conversion, a tangi-
Another epithet, “apostle,” also appears in a Syriac in-
ble sign of his message of salvation effected by restorative
scription (“Mani, Apostle of Jesus Christ,” a formula used
words (salubria verba in the Epistula Fundamenti), fully justi-
by Mani to refer to himself that occurs in the Epistula Funda-
fying the epithet “living” (hayya) that follows his name.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5648
MANI
Yet these healing powers also resulted in his condemna-
with the Christian Gospels, the Pauline Epistles, and the Acts
tion. In his last appearance before the Sassanid king,
(of John, Peter, Paul, Andrew, and Thomas) influenced
Wahra¯m I (prompted by the Zorastrian priests), the king ac-
Mani’s initial spiritual training. Paul and Thomas were par-
cused him of being unskilled in war and hunting, and also
ticular favorites of Mani, the former as an example of the
of being an inattentive and ineffective doctor. Mani’s de-
ideal apostle who went all over the world and spread the mes-
fense—reminding the king of the benefits he had given to
sage of salvation, regardless of adversity and persecution, and
his family, the exorcisms that had given release to his servants
the latter because he had set out to preach the gospel in India
and those who had been cured of fevers and deadly illness-
and was thus the predecessor of Mani, whose own first mis-
es—was of no avail. The possession of miraculous healing
sion was also to India.
powers was part of a whole raft of spiritual abilities gained
during mystic and ecstatic experiences in visions and revela-
From the philosophy of Bardaisan, who lived during the
tions by angelic beings and, in particular, by the angel known
second and third centuries and was an exponent of Syriac
as “the Twin” (Greek, syzygos; Middle Persian, narjam¯ıg; Ar-
Gnosticism derived from Greek and Iranian ideas, Mani was
abic, al-Tawm).
probably influenced by the idea of the two principles of Light
and Darkness and their intermingling, and, therefore, by a
The first revelation, which Mani experienced at the age
number of mythical personifications that were remarkably
of twelve, led him to renounce the rituals of the Elkasite bap-
similar (such as the Father of Greatness and the Mother of
tist community in pursuit of more interior knowledge. It was
Light, which recall the Father of Life and Mother of Life in
the spiritual double of Mani, his protective angelic twin, who
Bardaisan). He must also have inherited from Christians and
revealed to him the hidden mysteries of gno¯sis. This was the
Bardesanites the use of music as a way of elevating and puri-
main feature of his message, a gno¯sis involving both knowl-
fying the soul. His knowledge of Zoroastrian religious teach-
edge and understanding of the human condition—and the
ing should also be mentioned, especially as regards the two
pursuit of a regime of physical and mental asceticism—in
principles, the three periods of time, and the importance of
order to achieve the appropriate separation within the indi-
the complete nature of the separation. The Buddhist ele-
vidual life of the “mixture” of the two “principles” (or “na-
ment—remarked upon by al-B¯ıru¯n¯ı, who mentions an Indi-
tures,” “substances,” “roots”) of Light/Wisdom, as opposed
an influence on the doctrine of transmigration—must also
to Darkness/Ignorance. The mythical development of “two
have influenced Mani’s monastic organization and some of
principles” was regarded as taking place in three “periods”
his injunctions, such as the nonviolence prescribed for the
of time (initium, medium, and finis, according to Augustine).
elect.
These represent a first phase, in which Good and Evil were
separate; a second phase, corresponding to mankind’s pres-
The aspect of Mani’s teaching that is most different
ent existence, in which the two principles were mingled after
from the various forms of ascetic Gnosticism and proselytiz-
the onset of Matter’ and a third future stage at the final apo-
ing was his own prophetic and apostolic mission—via
catastasis, when Evil would be defeated and the two princi-
preaching—with a missionary zeal that spread his message
ples would separate once more. This outline forms the basis
of universal salvation both east and west. Once again it was
of the cosmological, soteriological, and eschatological myth
his angel twin who ordained his missionary calling when he
of Mani’s dualist system, a radical and absolute dualism that
was in his twenty-fourth year (240 CE), driving Mani to di-
considered not just myth and metaphysics but also anthro-
vorce himself from the Elkasite community in order to un-
pology and ethics, so that microcosm and macrocosm reflect-
dertake a missionary enterprise that would last for a further
ed one other. Thus, the drama of the creation of the world
thirty-five years, during which time he would gain converts
and the redemption of Light imprisoned by Matter was the
and encourage missions and those who followed him. He
same as the inner experience of the Manichaean believer,
began by sailing to India, to the kingdom of Tu¯ra¯n and—
with his existence enlightened by gno¯sis and the Nous that
following the positive reception of Sˇa¯buhr—throughout the
would redeem his soul.
provinces of the empire: Persia, Media, Parthia, Adiabene,
Babylon, Messenia, and Sushan. He also sent missions be-
THE INITIAL TEACHINGS. Mani’s first teachings were subject
yond the empire, and in the West, in Syria and Egypt, under
to many Jewish and Gnostic influences, as well as to teachers
the leadership of Adda¯, he succeeded in gaining important
such as Marcion (d. 160?) and Bardaisan (154–222 CE).
converts in the city of Palmyra, converting Nafˇsa¯, the sister
Mani probably inherited from Marcion a number of his
of the queen Zenobia (and perhaps even Zenobia herself).
views opposing the Old Testament, even if in the system of
Mani various heterodox Jewish positions, like those of Qum-
While in the East, under the leadership of Ammo¯, there
ran (Reeves, 1991), should be stressed. They are particularly
were missions in Margiana and in Bactria, beyond the Oxus,
recognizable in the structure of the Elkasite baptismal com-
and perhaps even in Armenia. In his missionary drive follow-
munity into which Mani was introduced by his father and
ing the “call” proclaiming the words of salvation to mankind,
where he had his first religious experiences. It is far from in-
Mani took the apostle Paul as his example and attempted to
significant that during this period apocryphal, apocalyptic
make himself the final link in a whole chain of redeeming
literature (by Adam, Seth, Enoch, Shem, and Enosh) that
figures. Beginning from the biblical line of Adam, Seth,
was Gnostic in character was circulating; these works, along
Enosh, Enoch, Shem, and Noah—and with the addition 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
MANI
5649
Zoroaster, Buddha (even Laozi, according to the Chinese
Because of his attendance at court, Mani’s religious imagery
Compendium), and Jesus—this line of apostolic succession
depicted royal and feudal institutions of the palace of Ctesi-
was ended with Mani himself, fulfilling the prophecy that
phon. Beginning with the figure of the Father of Greatness
depicted him, as he was called in Islamic sources, as the “Seal
and his heavenly entourage of Eons, Kingdoms, and Divini-
of the Prophets” (kha¯tim al-nabiyy¯ın). The purpose of his
ties—which made up the “retinue” (padwa¯z) of the King of
coming was to perfect and fulfill the religions that had gone
Paradise—other characters were added, including the
before him. Their teachings had been incomplete and imper-
“friends,” those who stood in the presence of the King
fect before Mani’s supreme revelation and his words of life,
(parwa¯nag), and the “guardian of the gate” (darba¯n).
which he passed on in “living books.”
Mani’s ascension into heaven after his death on Febru-
THE SPREAD OF MANI’S TEACHINGS. The dissemination of
ary 27, 277 CE, when he was sixty (following his suffering
Mani’s message led to his being known in Central Asia in
in prison), is the subject of a story (M5569) that mixes royal
a large number of different ways and by many different ex-
and warrior images, a story that became the paradigm for the
pressions, such as the returning “Messiah-God,” from a
fate of the devoted followers of his teachings. Much like a
Christian perspective, or as “Mani the Buddha of Light”
king who dons armor and is given divine garb, a diadem of
(Mo-ni-guang-fo), or as the “All-knowing king of the law” in
light, and a marvelous garland, the Apostle Mani ascends to
Chinese texts, according to Buddhist phraseology that iden-
heaven in an apotheosis of light and glory to reach the
tified him with the future Buddha, Maitreya, and thus called
Father.
him Buddha (burxan) or God (tängrï). The eclectic and syn-
cretic aspect of his teaching was not always well-received, and
THE PREACHINGS AND AUTHORED WORKS. Mani’s preach-
in some cases, as recorded in an eighth- or ninth-century Ti-
ing was thus strategically aimed at the royal circle, as is shown
betan text, he was addressed as “the deceitful Persian Mar
by the stories of famous conversions—such as the brother of
Ma-ne,” and accused of dressing up his message in Buddhist
the King of Kings, Mihrˇsa¯h—and hence his first work was
guise, borrowing various beliefs in order to construct his own
a book dedicated to his protector, the King of Kings, Sˇa¯buhr,
completely different versions.
titled Sˇa¯buhraga¯n (N¯ıb¯eg; “Book dedicated to Sˇa¯buhr”),
written in Middle Persian and containing cosmology, proph-
Yet this chameleon-like ability, which encouraged the
ecy, and apocalyptics.
widespread expansion of his teaching, was the distinctive
characteristic of Mani and his successors, enabling them to
Mani also wrote eight books in Eastern Aramaic: the
blend “wisdom and action” (M 5794, wih¯ıh ud kirdaga¯n),
Living Gospel, a kind of New Testament, which put forward
“wisdom and ability” (Mani Codex of Cologne 5.4: sophia
a new version of the four Gospels and the Epistles of Paul,
kai eum¯echania), and finding, as the Chinese texts remark,
explaining the purpose of his mission; the Treasure of Life,
the “skillful means” (fang bian) that allowed them to adapt
a work of theology and apologetics; the Mysteries (al-Nad¯ım
themselves to every geographical, cultural, and social situa-
gives us the titles of eighteen chapters); the Pragmateia, a col-
tion in order to boost conversions and establish communities
lection of Manichaean mythology; the Image, a collection of
and institutions. With this practical wisdom, Manichaean
pictures representing teachings; the Giants, inspired by the
gno¯sis displayed the dual Buddhist ideas of prajña¯ (awareness)
Book of Giants and dealing with apocalyptics; the Letters,
and upa¯ya (means), showing a practical and industrious atti-
important organizational and missionary documents; and, fi-
tude that would enable it to flourish in a variety of places and
nally, the Psalms and Prayers.
obtain widespread recognition.
In Mani’s versatile linguistic competence (he spoke Ara-
From this point of view, Mani was not an ascetic who
maic and Middle Persian), there are signs of the universal na-
was cut off from the world, and even if he preached detach-
ture of his message, disseminated in many scripts and lan-
ment from Matter, involving fasting and abstinence, his ap-
guages (Greek, Latin, Coptic, Iranian, Turkish, and
proach toward daily life was anything but pessimistic and re-
Chinese). His writings were inventive, and he created a sim-
jectionist. On the contrary, his clever strategy of promotion
plified Eastern Syriac alphabet (for the Iranic languages) that
and general consensus was optimistic and proactive, cleverly
eliminated the complicated use of scribal heterograms, thus
avoiding any “radical” fundamentalist and anti-universal at-
facilitating a better understanding and use of the languages
titude, though with unfortunate political consequences re-
(Parthian, Middle Persian, Sogdian) that spread his teach-
sulting in his conflict with royal authority.
ings. Thus, one of the prayers dedicated to Mani praises him
as “interpreter of religion” (M 38 Parthian). His new gospel
From the start of his missionary career, Mani sought the
message continued to be translated into new languages and
support of government and the Sassanid royal family, and
scripts.
he was staunchly supported by Sˇa¯buhr, even becoming part
of the royal entourage (komitaton) and traveling with him to
The fundamental importance of the book as a secure
the provinces of the empire and on a campaign against the
means of transmitting truthfully his spiritual teaching and
Romans. Perhaps it was also because of his Parthian noble
avoiding any possibility of misrepresentation reveals another
ancestry, and for this reason—not just as a Gnostic meta-
important aspect of Mani’s character. In addition to being
phor—he was called “son of the king” (Puech, 1949, p. 36).
a preacher, he was also an artist who gained a reputation 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
5650
MANICHAEISM: AN OVERVIEW
a tremendous communicator. He did this not simply via sto-
Lieu, Samuel N.C. “A New Figurative Representation of Mani?”
ries that had cumulative symbolic effect, but rather by ac-
In Studia Manichaica, edited by Ronald E. Emmerick et al.,
companying these stories with pictures illustrating his ba-
pp. 380-386. Berlin, 2000.
roque and impressionist mythology. The use of these
Panaino, Antonio. “Strategies of Manichaean Religious Propagan-
pictures demonstrated that his missionary work did not in-
da.” In Turfan Revisited—The First Century of Research: The
volve only religion and writing, but that Mani was a painter
Arts and Cultures of the Silk Road, edited by D. Durkin-
as well.
Meisterernst et al., pp. 249-255. Berlin, 2004
CONCLUSION. The art of Manichaean manuscripts became
Puech, Henri-Charles. Le manichéisme: son fondateur, sa doctrine.
famous in posterity, consisting of refined, finely-decorated
Paris, 1949.
miniatures with ornamental floral arrangements and bright
Reeves, John C. “The ‘Elchasaite’ Sanhedrin of the Cologne Mani
colors. This work verified Mani’s reputation as a calligrapher
Codex in Light of Second Temple Jewish Sectarian Sources.”
and as a painter (in Islamic sources) able to draw a large per-
Journal of Jewish Studies 43 (1991): 68-91.
fect circle. He was also regarded as the inventor of a kind of
Richter, Siegfried G. The Manichaean Coptic Papyri in the Chester
lute.
Beatty Library. Psalm Book, Die Erakleides-Psalmen. Turn-
hout, Belgium, 1998.
Mani, the Apostle of Light, was thus a custodian of di-
Skjærvo⁄, Prods Oktor.“Bardesanes.” In Encyclopædia Iranica III,
vine revelation, a conscious syncretist, a miracle worker, a
edited by Ehsan Yarshater, cols. 780b-785b. London and
wise and able man, a rhetorician, a lyric and epic storyteller,
New York, 1989.
and a dramatist. His original intellectual and artistic charac-
Stein, Rolf Aurel. “Une mention du manichéisme dans le choix
ter indicates that he was a poet and visionary rather than a
du bouddhisme comme religion d’état par le roi tibétain
theologian and philosopher. Mani was detested and cursed
Khri-sron˙. lde-bcan.” In Indianisme et bouddhisme. Mélanges
as the founder of a heretical religion by the major religions
offerts à Mgr Étienne Lamotte, pp. 329-337. Louvain-la-
of his day, Zoroastrianism and Christianity, and subsequent-
Neuve, 1980.
ly by Islam. Yet he was lauded as the Savior in hymns by the
Tardieu, Michel. Le manichéisme. Paris, 1981.
faithful, as well as in festivals such as Be¯ma—the day com-
memorating his death and his spiritual presence among be-
Tardieu, Michel. “La conception de Dieu dans le manichéisme.”
In Knowledge of God in the Graeco-Roman World, edited by
lievers.
T. Baarda et al., pp. 262-270. Leiden, 1988.
SEE ALSO Bardaisan; Gnosticism, article on Gnosticism
Van Tongerloo, Alois. “Manichaeus Medicus.” In Studia
from Its Origins to the Middle Ages; Manichaeism, over-
Manichaica, edited by Ronald E. Emmerick et al.,
view article and articles on Manichaeism and Christianity,
pp. 613-621. Berlin, 2000.
Manichaeism in Central Asia and China, Manichaeism in
Widengren, Geo. Mesopotamian Elements in Manichaeism. Uppsa-
Iran, and Manichaeism in the Roman Empire; Marcion.
la, Sweden, 1946.
Widengren, Geo. Mani and Manichaeism. New York, 1965.
BIBLIOGRAPHY
Wurst, Gregor. The Manichaean Coptic Papyri in the Chester Beat-
Ginzburg, Carlo. Storia notturna. Per una decifrazione del sabba.
ty Library. Psalm Book, Die Bema-Psalmen. Turnhout, Bel-
Torino, 1989. English translation Ecstasies: Deciphering the
gium, 1996.
Witch’s Sabbath. New York, 1992.
ANDREA PIRAS (2005)
Gnoli, Gherardo. “Introduzione generale.” In Il Manicheismo, vol-
ume I: Mani e il Manicheismo, edited by Gherardo Gnoli,
with the assistance of Andrea Piras, pp. XI-LXVII. Milan,
Italy, 2003. Translation and comment of Manichaean texts:
MANICHAEISM
Greek (Luigi Cirillo) Coptic (Serena Demaria, Sergio Perni-
This entry consists of the following articles:
gotti), Iranian (Enrico Morano, ElioProvasi), Turkish (Peter
AN OVERVIEW
Zieme), Chinese (Antonello Palumbo), Arabic (Alberto
MANICHAEISM IN IRAN
Ventura).
MANICHAEISM IN THE ROMAN EMPIRE
MANICHAEISM AND CHRISTIANITY
Gulácsi, Zsuzsanna. Manichaean Art in Berlin Collections. Turn-
MANICHAEISM IN CENTRAL ASIA AND CHINA
hout, Belgium, 2001.
Klimkeit Hans-Joachim. Gnosis on the Silk Road. San Francisco,
MANICHAEISM: AN OVERVIEW
1993. Translation of Iranian and Turkish texts.
The doctrine professed by Mani and the path to salvation
Klimkeit Hans-Joachim. “Jesus, Mani and Buddha as Physicians
that he revealed constitute a form of gnosis. It originated
in the Texts of the Silk Road.” In La Persia e l’Asia Centrale.
during the first half of the third century in Mesopotamia, a
Da Alessandro al X secolo, pp. 589-595. Rome, 1996.
region of the Parthian empire in which a number of different
Hegemonius, Acta Archelai (The Acts of Archaelaus), translated by
religious and philosophical schools were actively present, no-
Mark Vermes, introduction and commentary by Samuel
tably Christianity, Judaism, and Zoroastrianism. The sects
N.C. Lieu, with the assistance of Kevin Katz. Turnhout, Bel-
and communities of the region reflected the influence of one
gium, 2001.
or the other of these cults to varying degrees and were often
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANICHAEISM: AN OVERVIEW
5651
characterized by an evident Gnostic orientation. Hellenism
should mention the Manichaean Codex of Cologne, a Greek
was well rooted and widespread in Mesopotamia (as in
translation of a Syriac original, dating from the fifth century,
neighboring Syria), especially in the urban centers of Seleu-
and the Coptic Homilies; among the doctrinal ones, the Cop-
cid origin. Open to commercial and cultural exchanges, Mes-
tic Kephalaia and the Chinese Treatise of Dunhuang; among
opotamia was the region within the vast Parthian empire that
the hymns, the Coptic Psaltery and the Iranian hymn books,
was most likely to absorb syncretic and eclectic cultural and
in Middle Persian and in Parthian, found in Turfan, as well
spiritual trends. Manichaeism, however, was not only a gno-
as those in Chinese from Dunhuang; among the practical
sis in the narrow sense; it was primarily a universal Gnostic
and liturgical writings, the Compendium of Doctrines and
religion—the only great universal religion to arise from the
Rules of the Buddha of Light, Mani, a treatise dating from
Near Eastern Gnostic tradition. No other Gnostic school was
731, found in Dunhuang, that was translated from Parthian
as successful as Manichaeism, and no other aimed, as it did,
into Chinese for use in the administration of the cult. To the
to establish itself as a truly universal religion, founded and
last category also belonged the Khwa¯stwa¯n¯eft, a handbook of
nurtured by an enterprising missionary spirit.
formulas for the confession of sins, which has come down
to us in a Uighur text from Central Asia.
As with all Gnostic movements, Manichaeism holds
that knowledge leads to salvation and that this is achieved
Thus the discoveries of the twentieth century have
through the victory of the good light over evil darkness. As
brought to light, albeit only partially and in a fragmented
with all Gnosticism, Manichaeism is permeated by a deep
fashion, a literature that in many cases, especially in the
and radical pessimism about the world, which is seen as dom-
psalms and hymns, is distinguished by its considerable liter-
inated by evil powers, and by a strong desire to break the
ary value and by its strong and delicate poetic sensibility.
chains holding the divine and luminous principle inside the
These writings substantially modified the picture of Mani-
prison of matter and of the body. Knowledge leads to salva-
chaeism that had been reconstructed through indirect
tion through an anamnesis, in which the initiate recognizes
sources before the end of the nineteenth century.
that his soul is a particle of light, consubstantial with the
These sources, however, are still valuable, and they con-
transcendental God.
tribute now in a more balanced way to a reconstruction of
MANICHAEAN LITERATURE AND SOURCES. Very little re-
Manichaean doctrine and history. They are numerous, and
mains of the rich and varied Manichaean literature. We
all by hostile authors, Neoplatonic, Christian, Zoroastrian,
know the canon of its scriptures mainly through the titles of
Muslim. There are Greek sources, from Alexander of Nicop-
individual works, of which seven were attributed to Mani
olis to the Acta Archelai; Latin sources, from the Pseudo-
himself, and through fragments preserved in quotations by
Marius Victorinus to Augustine; Syrian sources, from Aphr-
authors who were hostile to Manichaeism. Sometimes we do
aates and Ephraem of Syria in the fourth century to Theo-
have most of the text, as, for example, in the Living Gospel,
doros bar Ko¯na¯ı in the eighth; Middle Persian and Pahlavi
which was translated from Syriac to Greek. So too was the
sources, from passages in the D¯enkard (The acts of religion)
Treasure of Life, some passages of which were quoted by Au-
to a chapter of the Shkand-guma¯n¯ıg Wiza¯r (The definitive
gustine and by al-B¯ıru¯n¯ı; the Mysteries, of which we know
solution to doubts), a Zoroastrian apologetic work (ninth
the subtitles quoted by Ibn al-Nad¯ım and a few passages pre-
and tenth centuries); Arabic and Persian Muslim sources,
served by al-B¯ıru¯n¯ı; the Treatise, the Book of Giants, and the
from al-YaEqu¯b¯ı (ninth century), al-T:abar¯ı, al-Mas!u¯d¯ı, and
Epistles, of which Ibn al-Nad¯ım gives a list; and the Psalms
Ibn al-Nad¯ım (tenth century) to al-B¯ıru¯n¯ı, T:aEa¯lib¯ı (elev-
and Prayers. All of these works were attributed to the founder
enth century), al-Sharasta¯n¯ı (twelfth century), Abu¯Dl-Fida¯,
of the faith, and rare and scattered fragments of them have
and Mirkhwa¯nd (fourteenth and fifteenth centuries).
been preserved in Manichaean texts from Central Asia (Tur-
fan) and Egypt (Fayum). Two more works were attributed
Until Manichaean literature was rediscovered, the works
to Mani but are outside of the canon: the Image and the
of Augustine, al-B¯ıru¯n¯ı, Ibn al-Nad¯ım, and the Acta Archelai
Sha¯buhraga¯n, the book dedicated to the Sassanid king
were the cornerstones of Manichaean studies. Although the
Sha¯pu¯r I. The purpose of the Image was to illustrate the main
situation has undoubtedly changed considerably thanks to
themes of the doctrine in a way that would be clear even to
the more recent discoveries, the accounts of some anti-
those not able to read. The Sha¯buhraga¯n, the only work writ-
Manichaean authors remain extremely important, especially
ten in Middle Persian—Mani usually wrote in Syriac or East-
when viewed alongside those passages in Manichaean litera-
ern Aramaic—discussed cosmology, anthropogony, and es-
ture that discuss similar or identical subjects. It is now easier
chatology and is known to us through fragments preserved
to distinguish between that which was written in polemic
in the Turfan manuscripts and through an essential quota-
and apologetic ardor and that which resulted from accurate
tion by al-B¯ıru¯n¯ı concerning the Seal of the Prophecy.
and intelligent information concerning Manichaean doc-
trines. Some of the sources are particularly relevant since they
Manichaean patrology is relatively better known to us
provide likely and precious data: for example, de Moribus
than Mani’s writings, mainly through the texts discovered at
Manichaeorum, de duabus animabus, de Genesi contra
Turfan around the beginning of this century and those found
Manichaeos, the writings against Adimantus, Faustus, Felix,
at Fayum in 1930. Among the hagiographic works, we
Fortunatus, Secundinus by Augustine, the Manichaean cos-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5652
MANICHAEISM: AN OVERVIEW
mogony of Theodoros bar Ko¯na¯ı, and a few quotations and
matter. Because good and evil are coeval, the problem of the
excerpts by al-B¯ıru¯n¯ı and Ibn al-Nad¯ım.
origin of evil (a central dilemma of Christian doctrine) is re-
THE FUNDAMENTAL DOCTRINES. Manichaean doctrine
solved, in the most radical and extreme way. Its existence
places great importance on the concept of dualism, which is
cannot be denied; it is everywhere, it is eternal and can only
deeply rooted in Iranian religious thought.
be defeated by knowledge (gnosis), which leads to salvation
through the separation of light and darkness.
Dualism. Like Zoroastrian cosmology, which we know
through relatively late texts (ninth century CE), Manichaean
The way in which the two principles are represented is
dualism is based on the doctrine of the two roots, or princi-
reminiscent of the two spirits, or mainyus, in the original Zo-
ples, of light and darkness and the three stages of cosmic his-
roastrian concept. Spenta Mainyu and Angra Mainyu are op-
tory: the golden age before the two principles mixed togeth-
posites in all things (Yasna 30.3–6), and their choice between
er; the middle, or mixed, period; the present age, in which
good and evil, between asha (“truth”) and druj (“falsehood”),
the powers of light and darkness battle for ultimate control
is also prototypical of the choice that must be made by hu-
of the cosmos; and the last age, when the separation of that
mankind. The ethical value of Manichaean dualism is no less
which had become mixed, and between followers of good
strong, although its answer to the problem of evil is, of
and evil, occurs. According to the Zoroastrian doctrine, this
course, more typically Gnostic. The Manichaeans refused to
is the time of frashgird (MPers., “rehabilitation”; Av.,
consider O
¯ hrmazd and Ahriman, the Pahlavi equivalents of
frasho¯kereti) in which the two poles of good and evil will once
the two mainyus, as two brothers who are opposed one to
again be distinguished. The holy books that he himself has
the other. The Uighur text Khwa¯stwa¯n¯eft states: “If we once
revealed are those of the two principles and three stages. The
asserted that Khormuzta [O
¯ hrmazd] and Sh¯ımnu [Ahriman]
two principles are light and darkness; the three stages are the
are brothers, one the cadet, one the firstborn . . . I repent
past, the present, and the future; this information comes to
of it . . . and I beg to be forgiven for that sin” (1c.3–4).
us from a fragment of a Chinese text. This is the doctrine
Thus they were not so much addressing the dualism of the
to which Augustine makes reference—initium, medium, et
Ga¯tha¯s, as opposing the later dualism of Zurvanism, which
finis—in his anti-Manichaean treatises Against Felix and
had demoted Ahura Mazda¯ to the role of a symmetrical op-
Against Faustus. It is more fully expressed in another Chinese
posite of Angra Mainyu and placed Zurwa¯n, who personified
text:
infinite time, above the dualistic formula. In fact, it is inter-
esting to observe how the Manichaeans restored O
¯ hrmazd
First of all, we must distinguish between the two princi-
to a central role in the drama of salvation and in the very
ples. He who wishes to join this religion must know
Gnostic approach to the pro¯tos anthro¯pos, while considering
that the two principles of light and darkness have abso-
Zurwa¯n as one of the names—the other Iranian name was
lutely distinct natures; if he cannot distinguish this,
how can he practice the doctrine? Also, it is necessary
Sro¯shaw—for the Father of Greatness, “sovereign god of the
to understand the three stages, that is, the prior stage,
heaven of light,” “god of truth,” that is, one of the two terms
the middle stage, the posterior stage. In the prior stage,
of the dualistic formula. Terms for the opposite pole are
heaven and earth do not yet exist: there are only light
Devil, Satan, Ahriman, Sh¯ımnu, Hul¯e, Matter, Evil, the Great
and darkness, and they are separate from each other.
Archon, and the Prince of Darkness.
The nature of light is wisdom, the nature of darkness
is ignorance. In all motion and in all repose, these two
Rather than metaphysical speculation, we find at the
are opposed to each other. At the middle stage, darkness
root of Manichaean dualism a merciless analysis of the
has invaded light. The latter lunges forward to drive it
human condition, a pessimism largely common to all forms
back and thus itself enters the darkness and attempts at
of gnosis and to Buddhism. By the mere fact of being incar-
all costs to drive it out. Through the great calamity we
nate, humans suffer; they are prey to evil, forgetful of their
acquire disgust, which, in turn, drives us to separate our
luminous nature as long as they remain asleep and dimmed
selves from our bodies; in the burning abode the vow
by ignorance in the prison of matter. While the two princi-
is made to attempt an escape. (Chavannes and Pelliot,
ples remain mixed, all is waste, torture, death, darkness:
1913)
“Liberate me from this deep nothingness, from this dark
The “great calamity” is a metaphor for the body, and the
abyss of waste, which is naught but torture, wounds unto
“burning abode” stands for the world, seen as a burning
death, and where there is no rescuer, no friend. There can
house from which one is saved by escaping. The text contin-
be no salvation here, ever! All is darkness . . . all is prisons,
ues: “At the later stage, instruction and conversion are ac-
and there is no exit” (Parthian fragment T2d.178).
complished, truth and falsehood have returned each to its
This pessimistic attitude toward the world and toward
roots: light has returned to the great light, and darkness has
life, which perpetuates itself in the snares of matter, accom-
returned to the mass of darkness. The two principles are re-
panied Manichaeism throughout its history, increasingly
constituted” (Chavannes and Pelliot, 1913).
strengthened by the bitter and often violent confrontations
The two roots are not generated and have nothing in
between its followers and the other established religions of
common: they are irreducible opposites in every way. Light
the eastern and western empires. It was probably also at the
is good, equated with God; darkness is evil, equated with
root of an antinomic tendency of these “subversives,” 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
MANICHAEISM: AN OVERVIEW
5653
could see nothing good in a world full of horror, evil, and
founded in reason, whose ability and dignity it praised, was
injustice. This was probably also an important reason for the
expressed in a language of myth, one that was crowded with
fierce persecutions they suffered—as is evident from the tes-
figures and images and painted in strong, often dark colors.
timony of Zoroastrian sources (D¯enkard, Madan edition,
In fact, its mythology, which was invented by Mani himself,
pp. 216–218)—as well as for their refusal to conform to tra-
is intellectualistic and reflexive, almost metaphorical in char-
ditional customs and practices. It also helped to bring about
acter: Manichaean myths serve the purpose of illustrating the
that damnatio memoriae to which Mani and Manichaeism
truth about the drama of existence, both macrocosmic and
were universally subjected.
microcosmic. They achieve their objective with the aid of
Knowledge as the path to salvation. An essential and
powerful images, most of which are derived from the mytho-
specific characteristic of Manichaeism is its Gnosticism, that
logical heritage of previous traditions—a fact that lent them
is, its mixture of religion and science in a sort of theosophy.
greater weight and authority—and by the use of divine fig-
Manichaeism was attempting to give a universal explanation
ures, both angelic and demoniacal, familiar, at least in part,
of the world, and it did not believe that mere faith and
to the popular imagination. Because Mani’s teachings were
dogma were effective instruments in the search for redemp-
directed to all the world’s peoples, the actors in the great play
tion. On the contrary, Manichaean soteriology was based on
could, to be more easily understood, adopt different names
knowledge. So it is understandable that Augustine should
in different countries, drawing from local pantheons. Thus,
confess that he had most been attracted by precisely this as-
Manichaean mythology is like a great album of pictures ar-
pect of Manichaeism during the years of his adherence to it
ranged in a sequence aimed at awakening in the adept remi-
(377–382), that is, to the promise that humankind could be
niscences and intuitions that will lead him to knowledge.
freed of the authority of faith and tradition and led back to
Small wonder, then, that Mani, who was famous for his
God simply by the strength of reason.
paintings, should also use a book of illustrations, the Image
(Gr., Eikon; MPers., and Pth., A¯rdahang), to convey his doc-
Manichaeans did not accept tradition, be it that of the
trine, or that his disciples later continued to do the same in
New Testament or that of the Zoroastrian scriptures (Ke-
their missionary activities.
phalaia 7), without first making a distinction between what
they recognized as true and authentic in them and what, in
Such a mythology must, of necessity, have keys to its in-
their view, was simply the result of deceitful manipulations
terpretation. The first of these is the omnipresent dominant
and interpolations by ignorant or insincere disciples. Only
theme: that of the soul which has fallen into matter and is
Mani’s authority was worthy of trust, as it was based on rea-
freed by its nous. Next, in order to understand what are often
son and drawn from revelation. It was also set down in writ-
described as the aberrations of Manichaean myths—those re-
ing by him with extreme care and with the precise intent of
pugnant acts of cannibalism and sexual practices with which
not letting his teachings be misrepresented. Manichaeans,
they are studded, as well as the self-destructiveness and au-
therefore, prided themselves on not asserting any truth with-
tophagia of matter—one must keep in mind two basic con-
out a logical and rational demonstration thereof, and with-
cepts: the Indo-Iranian idea of the equivalence of spirit, light,
out first opening the doors of knowledge.
and seed (Eliade, 1971, pp. 1–30) and that of the distillation
Such knowledge was, ultimately, an anamnesis, an
of light through the “gastric machine” of the elect, an act that
awakening; that is, gnosis was an epignosis, a recognition, a
corresponds to the great purification of the luminous ele-
memory of self, knowledge of one’s true ego and, at the same
ments (Syr., z¯ıwa¯n¯e), which was carried out by the demiurge
time, knowledge of God, the former being consubstantial
and his children at the beginning of time (Tardieu, 1981).
with the latter, a particle of light fallen into matter’s obfus-
The premise of the first concept is that light resides in the
cating mix. Thus God is a “savior saved,” or one to be saved:
seed and through procreation is decanted from one body into
a transcendental, luminous principle, spirit, or intelligence
another, undergoing the painful cycles of births and deaths
(nous). It is the superior portion of humankind’s ego, exiled
(Skt., sam:sa¯ra). This follows the related doctrine of metem-
in the body, and is the subject of the act of knowledge,
psychosis (Syr., tashp¯ıka¯; Lat., revolutio; Gr., metangismos),
thanks to which we will know where we are, where we come
an idea that originally came from India and that Mani adopt-
from, and where we are going. Humans have forgotten their
ed as pivotal to his system. The premise of the second is that
nature, a blend of light and darkness, spirit and matter. The
just as the universe is the place in which all luminous bodies
enlightening power of knowledge makes them understand
are healed, so the stomach is like a great alchemist’s alembic,
their own nature, that of the universe, and their destiny. It
in which the elect, thanks to the high degree of purification
is, therefore, a universal science, blending theology, cosmolo-
he has attained, is able to separate the light present in food
gy, anthropology, and eschatology. It includes everything:
from all impurities, through a double cycle of filtering and
physical nature as well as history. Reason can penetrate any-
return. This cycle is a microcosm, whose corresponding mac-
thing: “Man must not believe until he has seen the object
rocosm is the distillation of the z¯ıwa¯n¯e into the moon and
with his own eyes” (Kephalaia 142).
the sun (Tardieu, 1981).
The cosmogonic and anthropogonic myths. It may
The Manichaean origin myth is based on the doctrine
appear paradoxical to find that the doctrine of Manichaeism,
of two principles (light and darkness) and three stages of cre-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5654
MANICHAEISM: AN OVERVIEW
ation. During the first stage of existence, the two principles,
out the world by means of procreation—that is, by the cre-
personified as the Father of Greatness and the Prince of
ation of more and more corporeal prisons to entrap the
Darkness, are separate, residing, respectively, in the north
elements of light—and on the other hand by the efforts of
and in the south, kept apart by a border between their two
the Father of Greatness to spread good. Through the practice
kingdoms. The Prince of Darkness—that is, agitated and
of the laws of the religion and, in particular, by interrupting
disorderly matter—wishes to penetrate the kingdom of the
the cycle of reincarnation, light is liberated; that is, the soul
Father of Greatness. Thus begins the second stage, in which
is freed by knowledge. When the church of justice triumphs,
the Father of Greatness, not wishing to compromise his five
the souls will be judged, and those of the elect will rise to
“dwellings” (Intelligence, Science, Thought, Reflection, and
Heaven. The world will then be purified and destroyed by
Conscience), decides to battle the Prince of Darkness and en-
a fire lasting 1,468 years. All, or most, of the light particles,
genders an avatar, the Mother of the Living, who, in turn,
will be saved; Matter, in all its manifestations, and with its
produces Primordial Man. But the Prince of Darkness de-
victims (the damned), will be forever imprisoned in a globe
feats Primordial Man and devours his five children. The
inside a gigantic pit covered with a stone. The separation of
avidity and greed of the Prince of Darkness, however, bring
the two principles will thus be accomplished for all eternity.
about his downfall; the five children of Primordial Man are
O
like a poison within his stomach.
RIGINS. We now know something more about the origins
of the Manichaean religion, by comparing the Manichaean
The Father of Greatness responds by creating a second
Codex of Cologne to other available sources, mainly the Ara-
being: the Living Spirit (who corresponds to the Persian god
bic ones. Mani was raised in the environment of a Judeo-
Mithra). The Living Spirit, who is also the father of five chil-
Christian Gnostic and baptist sect, which had been founded
dren, and Primordial Man confront the demons of the pow-
by a figure, almost more mythical than historical, by the
ers of darkness, and so the demiurgic action begins: from the
name of Elchasai (Gr., Alkhasaios; Arab., al-Khasayh). El-
bodies of the demons arise the skies, the mountains, the soil,
chasaism was a particularly widespread movement during the
and, finally, from a first bit of liberated light, the sun, moon,
third and fourth centuries in Syria, Palestine, Mesopotamia,
and stars. The Father of Greatness then creates a third being,
Transjordan, and northern Arabia. It survived for many cen-
called the Messenger, who incarnates nous; he is also called
turies and is mentioned by the Arabic encyclopedist Ibn
the Great Wahman, the Good Thought (Av., Vohu Manah).
al-Nad¯ım as still existing during the fourth century AH in
The Messenger calls forth twelve Virgins of Light, and they
what is today southeastern Iraq.
show themselves nude to the demons, both male and female,
It would, however, be a mistake to view the origins of
so that they will all ejaculate at the sight of such beauty and
Manichaeism only, or even mainly, in the light of such infor-
thus free the elements of light that they had ingested and im-
mation, for one might erroneously conclude that the princi-
prisoned. The seed spilled on the dry earth gives life to five
pal inspiration for the Manichaean doctrine was Judeo-
trees: thus is accomplished the creation of the world.
Christian Gnosticism. The origins of Manichaeism are still
The creation of the human race then occurs as follows.
open to question (as are, in fact, those of Gnosticism). The
The she-demons, thus impregnated, thanks to the Messen-
most likely interpretation would recognize the dominating
ger’s ruse, give birth to monsters, who swallow plants in
imprint of Iranian dualism since without a doubt the dualis-
order to absorb the light contained within them. Then Mat-
tic doctrine is central and pivotal to Mani’s thought and to
ter (darkness), in the guise of Az, the personification of con-
the teachings and practices of his church. We must, however,
cupiscence, in order to imprison the elements of light in a
consider the presence of three different forms of religious
more secure fashion, causes the demons Ashaqlun and Nam-
doctrine: the Iranian, which is basically Zoroastrian; the
rael, male and female, to devour all the monsters, and then
Christian or Judeo-Christian; and the Maha¯ya¯na Buddhist.
to mate. They then generate the first human couple, Adam
Of these, the Iranian form held the key to the Manichaean
and Eve. At this point, the work of salvation begins: Adam,
system and provided the essence of the new universalistic re-
kept wild and ignorant by the snares of darkness, is awakened
ligious concept that developed from the main themes and as-
from this state by the savior, the son of God, sent by the pow-
pirations of Gnosticism. If we were to separate the
ers above. The savior is identified with Primordial Man,
Manichaean system from its Christian and Buddhist ele-
O
¯ hrmazd, or, later, with the transcendental Jesus, or the god
ments, it would not suffer irreparably.
of nous. The savior awakens Adam from his slumber, opens
his eyes, shows him his soul, which is suffering in the materi-
Manichaeism was long thought of as a Christian heresy,
al world, and reveals to him the infernal origins of his body
but this interpretation was already being abandoned during
and the heavenly origins of his spirit. Thus Adam acquires
the nineteenth century and has now been entirely rejected.
knowledge of himself, and his soul, thanks to gnosis, is resus-
We must also reject the approach that perceives the Judeo-
citated.
Christian components, more or less affected by Hellenism,
as dominant (Burkitt, 1925; Schaeder, 1927). There is a
The third stage is the Great War between the forces of
widespread tendency today to give equal emphasis to what
good and evil, characterized on the one hand by the desper-
we have called the three forms of Manichaeism and to con-
ate attempt of the Prince of Darkness to spread evil through-
sider it a great and independent universal religion, although
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANICHAEISM: AN OVERVIEW
5655
such an approach is sometimes still weighted in favor of the
Manichaean propaganda in Iran, in the 250s, Mani wrote the
relationship between Manicheaism and Christianity (Tar-
Sha¯buhraga¯n, a work he dedicated to his royal protector and
dieu, 1981). Nevertheless, if we discount certain obvious dif-
which has reached us only in a fragmented form.
ferences, we can assert that Manichaeism has its roots in the
Once the work of its founder had established it as a real
Iranian religious tradition and that its relationship to Mazda-
church, Manichaeism soon spread beyond the borders of
ism, or Zoroastrianism, is more or less like that of Christiani-
Persia, both in the Roman Empire and in the east, southeast,
ty to Judaism (Bausani, 1959, p. 103).
and south. Mani wrote: “My hope [that is, the Manichaean
HISTORY. We can trace the beginnings of the religion to the
church] has reached the east of the world and all inhabited
second revelation received by the prophet at the age of twen-
regions of the earth, both to the north and to the south. . . .
ty-four, that is, on the first of Nisan of 551 of the Seleucid
None of the [previous] apostles has ever done anything like
era, which corresponds to April 12, 240 CE (his first occurred
this” (Kephalaia 1).
at the age of twelve while he was living in the baptist commu-
The political good fortune of Manichaeism in the Per-
nity). It was then that there appeared to him an angel, his
sian empire lasted only a few years. The official state religion,
“twin” (Gr., suzugos; Arab., al-Tawm), described as the
Zoroastrianism, grew increasingly hostile as the Magian cler-
“beautiful and sublime mirror” of his being, and it was then
gy, guided by influential figures such as the high priest
that Mani began his prophetic and apostolic ministry, break-
Kerde¯r, organized it into a real national church, with its own
ing off from Elchasaism and its strict legalistic ritualism. He
strict orthodoxy and a strong nationalistic spirit. The reasons
presented himself as the Seal of the Prophets and preached
for the conflict between the Zoroastrianism of the Magi and
a new doctrine aimed at all peoples—Buddhists, Zoroastri-
Manichaeism during the third century are numerous: a he-
ans, and Christians.
reditary clerical caste within a hierarchical social structure
A number of factors lead us to believe that, at the begin-
based on caste tended to be conservative and traditionalist;
ning of his ministry, Mani saw the universalistic religion he
the eastern empire’s cultural and spiritual horizons were nar-
was founding as one that could be adapted to the new politi-
row, typical of an agrarian and aristocratic society such as
cal reality of the Persian empire of the Sassanids, founded by
that of the Iranian plateau and very different from the ethni-
Ardash¯ır I. To the emperor Sha¯pu¯r he dedicated a work,
cally and culturally diverse and composite one in the west-
written in Middle Persian, that opened with a declaration of
ernmost regions of the empire, where there had arisen a
the universalistic idea of the Seal of the Prophecy. Any ambi-
flourishing and cosmopolitan urban civilization. The alliance
tions that great Sassanid ruler might have harbored for a uni-
between the throne and the Magi, which remained strong
versal empire would have found congenial a religious doc-
despite some internal contrasts for the entire duration of the
trine that presented itself as the sum and perfection of all the
Sassanid empire, did not allow Manichaeism to take over
great prior religious traditions.
and, by subjecting it to periodical and fierce persecutions, fi-
nally weakened its drive and confined it to a minority posi-
A missionary spirit moved Manichaeism from its very
tion.
inception. Mani traveled first in the direction of the “country
On the one hand, Manichaeism accurately reflected the
of the Indians” (perhaps in the footsteps of the apostle
most widespread anxieties and aspirations of that period’s re-
Thomas), with the hope of converting the small Christian
ligious preoccupations, through its soteriology, the idea of
communities scattered along the coast of Fars and Baluchi-
knowledge as freedom, and the value it placed on personal
stan (Tardieu, 1981) and perhaps, also, in order to penetrate
experience of the divine; on the other hand, the restored Zo-
lands in which Buddhism was already widespread.
roastrianism of the Magi reflected a tendency, widespread
Manichaean tradition remembers this first apostolic mission
during the third century in both the Persian and Roman em-
by its conversion of Tu¯ra¯n-sha¯h, that is, the Buddhist ruler
pires, toward the formation of a national culture. From this
of Tu¯ra¯n, a kingdom in the Iranian world. That mission was
standpoint, we can view Manichaeism more as heir to Parthi-
a relatively brief one owing to the turn of events in the Sassa-
an eclecticism and syncretism—“one of the last manifesta-
nid empire. The death of Ardash¯ır and the accession to the
tions of Arsacid thought” (Bivar, 1983, p. 97)—than as an
throne of Sha¯pu¯r, the “king of kings of E¯ra¯nshahr,” recalled
interpreter of the vast cultural and political changes wit-
Mani to Persia. Manichaeism began at that time to spread
nessed in Iran upon the ascent to power of the Sassanid
to Iran, where it acquired a prominent position, thanks also
dynasty.
to the conversion of high court officials and even members
of the royal family, and encouraged, to a certain degree, by
The first anti-Manichaean persecution in the Iranian
the king’s support. In fact, the image of Sha¯pu¯r in
state began, after the death of Sha¯pu¯r and of his successor,
Manichaean tradition is a positive one: Manichaeism almost
Horm¯ızd I, with the killing of Mani himself, ordered by
became the official religion of the Persian empire. Mani him-
Bahra¯m I, probably around the beginning of the year 277.
self, after obtaining a successful audience with Sha¯pu¯r, joined
Many other episodes followed, affecting Manichaean com-
the ruler’s court and obtained his permission to preach the
munities in all regions of the empire, from Khorasan to Mes-
new creed throughout the empire, under the protection of
opotamian Seleucia (Ctesiphon), the seat of the Manichaean
local authorities. During this fortunate period for
papacy. Manichaeism, however, was not completely eradicat-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5656
MANICHAEISM: AN OVERVIEW
ed from the Iranian world; in fact, it survived for centuries.
THE MANICHAEAN CHURCH. At the core of the ecclesiastical
Under the caliphate of the Umayyads it remained alive in
structure was a marked distinction among classes of clergy,
those territories that had been Sassanid, despite internal
which were subdivided into four. The first included teachers
schisms and disciplinary controversy.
or apostles, never more than 12; the second, bishops, never
more than 72; the third, stewards, never more than 360; and
During the third and fourth centuries Manichaeism
the fourth were the elects (that is, the elects in general). The
moved west, into the Roman Empire. It spread through
laity made up a fifth class. Only men could belong to the first
Egypt, North Africa, Palestine, Syria, Asia Minor, Dalmatia,
three classes, that is, the true clergy, and above these stood
and Rome and as far north as southern Gaul and Spain. Its
the leader of the faithful, the Manichaean pope. The clergy
adherents were the subjects of persecution by both central
lived in monasteries in the cities and supported itself through
and peripheral imperial authorities, meeting everywhere with
the gifts and foundations of the laity, according to a system
the strong hostility of the political and religious establish-
clearly derived from Buddhist, rather than Christian, monas-
ment. The Manichaeans were seen by Rome as a dangerous
ticism (Baur, 1831; Widengren, 1965).
subversive element and were often thought to be agents of
the rival Persian power. Despite persecutions and imperial
Different moral codes governed the clergy and the lay
edicts, such as that of Diocletian in 297, the faith for the
population. The former was required to observe the five
most part persisted, except in some western areas of the
commandments: truth, nonviolence, sexual abstinence, ab-
Roman Empire. Manichaeism was perceived as a threat well
stinence from meat and from food and drink that were con-
sidered impure, poverty. The laity was required (1) to ob-
into the Christian era. Repressive measures were repeatedly
serve the ten laws of good behavior, which, among other
taken by Roman imperial and church authorities (notably
things, prescribed a strictly monogamous marriage and absti-
Pope Leo the Great, in 445); nevertheless, in 527 the emper-
nence from all forms of violence, both against men and
ors Justin and Justinian still felt the need to promulgate a law
against animals; (2) to pray four times a day (at dawn, mid-
inflicting capital punishment on the followers of Mani’s
day, sunset, and night), after observing particular rituals of
teachings.
purification; (3) to contribute the tenth, or the seventh, part
Like Zoroastrianism and Christianity, Islam had at first
of their worldly goods to support the clergy; (4) to fast week-
been tolerant of Manichaeism but in the end acted with
ly (on Sundays) and yearly for the thirty days preceding the
equal violence against it. The advent of the Abbasid caliphate
celebration of the festival of the Be¯ma; and (5) to confess
marked a renewal of bloody repressive measures, which suc-
their sins weekly (on Mondays), as well as during a great
ceeded in pushing the Manichaeans east, in the direction of
yearly collective confession at the end of the fasting period.
Transoxiana, during the tenth century. It was in Khorasan,
The liturgy was simple: it recalled episodes of the life
Chorasmia, and Sogdiana that the Manichaean faith expand-
of Mani, his martyrdom, and that of the first apostles. The
ed and gained strength, and there it became an outpost for
principal festivity was the Be¯ma (Gr.; MPers., ga¯h; “pulpit,
the dissemination of Mani’s gospel to China and Central
throne, tribunal”), which, on the vernal equinox, celebrated
Asia. In the last decades of the sixth century, the religion suf-
Mani’s passion through gospel worship; the collective confes-
fered a schism with the so-called De¯na¯wars (“observers of
sion of sins; the recitation of three hymns to Mani; the read-
d¯en,” i.e., of the true religion), a rigorist and puritan sect.
ing of the apostle’s spiritual testament, the Letter of the Seal;
Samarkand became the new see of the Manicaean papacy.
chants glorifying the triumphant church; and a sacred ban-
quet offered to the elect by the listeners. In Manichaean holy
Toward the end of the seventh century, Manichaeism
places the b¯ema, a throne on five steps, was left empty in
reached the Far East. As the great caravan route from Kash-
memory of the one who, having left the world, nonetheless
gar to Kucha to Karashahr was reopened following the Chi-
remained as an invisible guide and judge of his church. The
nese conquest of eastern Turkestan, Manichaeism made its
empty throne was probably originally a Buddhist symbol.
appearance in China, mainly through Sogdian missionaries.
In 732, an imperial edict allowed Manichaeans the freedom
HERITAGE AND SURVIVING ELEMENTS. The survival of Man-
to practice their cult there. The religion also spread to Cen-
ichaeism as a source of inspiration for a number of medieval
tral Asia and Mongolia, to the vast empire of the Uighurs,
heresies in the West poses complex questions. Manichaean
dualism has been adduced as an explanation for the origin
who adopted Manichaeism as their official religion in 763.
of those heretical movements that were based on dualism, on
But political and military events following the fall, in 840,
moral asceticism, and on a more or less pronounced anti-
of the Uighur empire caused Manichaeism’s supremacy in
nomism. Accusations of Manichaeism—the most widely de-
Central Asia to be short lived, although it probably survived
spised of Christian heresies—were pronounced by adversar-
there until the thirteenth century. In China, where the
ies against heretics to show their relation to the doctrines of
Manichaeans were persecuted during the ninth century and
Mani, although such a connection has been generally hard
banned by edict in 843, just after the collapse of the Uighurs,
to prove beyond doubt.
Manichaeism nonetheless survived until the sixteenth centu-
ry, protected by secret societies, alongside Daoism and
Priscillianism, which arose in Spain at the end of the
Buddhism.
fourth century, was probably not related to Manichaeism, al-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANICHAEISM: AN OVERVIEW
5657
though Paulicianism, in seventh-century Armenia, probably
In the years following, a number of general studies were published
was, as was Bogomilism. The latter arose in Bulgaria during
that still remain important—G. Flügel’s Mani, seine Lehre
the tenth century and spread along the Balkan Peninsula to
und seine Schriften (Leipzig, 1862); K. Kessler’s Mani: For-
the coastline of Asia Minor, along with the Cathari in south-
schungen über die manichäische Religion (Berlin, 1889); F. C.
ern France and northern Italy during the twelfth and thir-
Burkitt’s The Religion of the Manichees (Cambridge, 1925);
and H. H. Schaeder’s Urform und Fortbildungen des
teenth centuries; together they were considered links in the
manichäischen Systems (Leipzig, 1927)—even though more
same chain, which might be called “medieval Manichaeism”
recent studies and discoveries have, by now, gone beyond
or “Neo-Manichaeism.” A connection among these move-
them. Also useful are A. V. W. Jackson’s Researches on Mani-
ments is probable, and in fact such a link is certain between
chaeism, with Special Reference to the Turfan Fragments (New
the Bogomils and the Cathari. However, it is not possible to
York, 1932) and H.-J. Polotsky’s Abriss des manichäischen
prove their derivation from Manichaeism. Their popular
Systems (Stuttgart, 1934).
character, the social environment in which they developed,
A quarter of a century apart, two important status reports con-
and the typically Gnostic nature of Manichaeism all suggest
cerning the question of Manichaean studies were published:
a generalized influence rather than a direct derivation, that
H. S. Nyberg’s “Forschungen über den Manichäismus,”
is, a background inspiration from the great dualistic religion
Zeitschrift für die neutestamentliche Wissenschaft und die
of late antiquity. It now appears certain that in some in-
Kunde der älteren Kirche 34 (1935): 70–91, and Julien Ries’s
stances Manichaeism itself did survive in the West in clan-
“Introduction aux études manichéennes,” Ephemerides
destine groups and secret forms, especially in Roman Africa,
Theologicae Lovanienses 33 (1957): 453–482 and 35 (1959):
despite the proscriptions and persecutions of the sixth
362–409.
century.
General works that remain valuable, although they give a partially
different picture of Manichaeism, are Henri-Charles Puech’s
The problem is analogous in the East, except in China,
Le manichéisme: Son fondateur, sa doctrine (Paris, 1949) and
where we know that Manichaeism did survive, camouflaged
Geo Widengren’s Mani and Manichaeism (London, 1965).
in Daoist or Buddhist guise, until the sixteenth century. A
We are also indebted to Puech for a very useful collection of
Manichaean origin has been ascribed to Mazdakism, a reli-
essays, Sur le manichéisme et autres essais (Paris, 1979), and
gious and social movement of Sassanid Iran between the fifth
to Widengren for another, with an important introduction,
and sixth centuries (Christensen, 1925), and some degree of
Der Manichäismus (Darmstadt, 1977), pp. ix–xxxii, as well
Manichaean influence upon it is undeniable, although a
as for a more recent essay, “Manichaeism and Its Iranian
more accurate perception would probably see the movement
Background,” in The Cambridge History of Iran, vol. 3, edited
by Ehsan Yarshater (Cambridge, 1983), pp. 965–990.
as a heretical form of Zoroastrianism. There has been an oc-
casional attempt to consider Manichaean any Muslim zind¯ıq
The volume Der Manichäismus contains some of the most impor-
(Arab., “heretic, free thinker”). The word derives from the
tant contributions to Manichaean studies, reprinted entirely
Middle Persian zand¯ıg, used by Zoroastrians to describe
or partially (all in German), by H. S. Nyberg, F. C. Burkitt,
those who used the Zand, the Middle Persian translation of
H. H. Schaeder, Richard Reitzenstein, H.-J. Polotsky,
Henri-Charles Puech, V. Stegemann, Alexander Böhlig,
and commentary on the Avesta, in a heterodox manner. Al-
Mark Lidzbarski, Franz Rosenthal, W. Bang-Kaup,
though it is true that zind¯ıq is often used to mean
A. Baumstark, Charles R. C. Allberry, Prosper Alfaric, W.
“Manichaean,” its sense is actually broader; zandaqah can-
Seston, J. A. L. Vergote, W. B. Henning, Georges Vajda,
not, therefore, be strictly identified with Manichaeism.
Carsten Colpe, and A. V. W. Jackson. Two noteworthy syn-
theses of Manichaeism in French are François Decret’s Mani
In any case, Manichaeism survived in the Islamic world,
et la tradition manichéenne (Paris, 1974) and M. Tardieu’s
even through the persecutions of the Abbasid caliphate, and
Le manichéisme (Paris, 1981); the latter is particularly full of
exercised some degree of influence on Gnostic currents in
original suggestions.
this world. Finally, there is a great likelihood of a direct con-
Two works from the 1960s are dedicated more to Mani himself
nection between Manichaeism and some Tibetan cosmologi-
than to Manichaeism, one concerning mainly the social and
cal concepts (Tucci, 1970).
cultural background from which Manichaeism emerged and
the other mainly dedicated to the religious personality of the
SEE ALSO Frasho¯kereti; Mani; Mazdakism.
founder: Otakar Klíma’s Manis Zeit und Leben (Prague,
1962) and L. J. R. Ort’s Mani: A Religio-Historical Descrip-
BIBLIOGRAPHY
tion of His Personality (Leiden, 1967).
A work that by now belongs to the prehistory of Manichaean
Although the once-classic work on Manichaean literature, Prosper
studies is Isaac de Beausobre’s Histoire critique de Manichée
Alfaric’s Les écritures manichéennes, 2 vols. (Paris, 1918–
et du manichéisme, 2 vols. (Amsterdam, 1734–1739), which
1919), is now quite dated, there is a wealth of more recent
presented Manichaeism as a reformed Christianity. A hun-
works to which we can turn. A whole inventory of Iranian
dred years later, Manichaean studies reached a turning point
documents from Central Asia can be found in Mary Boyce’s
with F. C. Baur’s Das manichäische Religionssystem nach den
A Catalogue of the Iranian Manuscripts in Manichaean Script
Quellen neu untersucht und entwickelt (Tübingen, 1831),
in the German Turfan Collection (Berlin, 1960). Excellent
which gave particular consideration to the Indo-Iranian, Zo-
editions of Iranian and Turkic texts are due to F. W. K. Mül-
roastrian, and Buddhist backgrounds.
ler, A. von Le Coq, Ernst Waldschmidt and Wolfgang Lentz,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5658
MANICHAEISM: AN OVERVIEW
W. Bang, and Annemarie von Gabain, F. C. Andreas, and
Kephalaia, by C. Schmidt, H.-J. Polotsky, and Alexander Bö-
W. B. Henning, published in the Abhandlungen and in the
hlig (Stuttgart, 1935–1940; Berlin, 1966), and Charles R. C.
Sitzungsberichte of the Prussian Academy of Sciences between
Allberry’s A Manichaean Psalm-Book, vol. 2 (Stuttgart,
1904 and 1936. W. B. Henning’s pupil, Mary Boyce, has
1938). On the Manichaean Codex of Cologne, see Albert
also published, in addition to the above-mentioned catalog,
Henrichs and Ludwig Koenen’s “Ein griechischer Mani-
two other important contributions to Manichaean studies,
Codex,” Zeitschrift für Papyrologie und Epigraphik 5 (1970):
The Manichaean Hymn Cycles in Parthian (Oxford, 1954)
97–216, 19 (1975): 1–85, and 32 (1979): 87–200, and Lud-
and A Reader in Manichaean Middle-Persian and Parthian,
wig Koenen and Cornelia Römer, Der Kölner Mani-Kodex.
“Acta Iranica,” no. 9 (Tehran and Liège, 1975). Editions of
Über das Werden seines Leibes (Opladen, 1988).
Iranian texts, as well as a number of extremely careful philo-
Of indirect sources, I shall mention here only the following few.
logical studies, can be found in W. B. Henning’s Selected Pa-
On Augustine, see R. Jolivet and M. Jourion’s Six traités
pers, 2 vols., “Acta Iranica,” nos. 14–15 (Tehran and Liège,
anti-manichéens, in Oeuvres de Saint Augustin, vol. 17 (Paris,
1977), where are reprinted also Henning’s fundamental Mit-
1961); on Theodoros bar Konai, see Franz Cumont’s Recher-
teliranische Manichaica aus Chinesisch-Turkestan, written in
ches sur le manichéisme, vol. 1 (Brussels, 1908); on Zoroastri-
collaboration with F. C. Andreas between 1932 and 1934.
an sources, see J.-P. de Menasce’s Une apologétique mazdéen-
W. Sundermann and P. Zieme, two scholars from the Academy
ne du neuvième siècle ’Sˇkand-guma¯n¯ık vica¯r’ (Fribourg,
of Sciences in Berlin, are currently responsible for continuing
1945); and on Islamic sources, see Carsten Colpe’s “Der
research in the Iranian and Turkish texts from Turfan, which
Manichäismus in der arabischen Überlieferung” (Ph.D. diss.,
are preserved in Berlin. We owe to them, among other
University of Göttingen, 1954).
things, Sundermann’s Mittelpersische und parthische kosmo-
gonische und Parabeltexte der Manichäer (Berlin, 1973), Mit-
Three valuable anthologies of Manichaean texts are A. Adams’s
teliranische manichäische Texte kirchengeschichtlichen Inhalts
Texte zum Manichäismus, 2d ed. (Berlin, 1962), Jes P. As-
(Berlin, 1981), Ein manichäisch-soghdisches Parabelbuch (Ber-
mussen’s Manichaean Literature (Delmar, N.Y., 1975), Alex-
lin, 1985), Der Sermon vom Licht-Nous (Berlin, 1992), Der
ander Böhlig and Jes P. Asmussen’s Die gnosis, vol. 3 (Zurich,
Sermon von der Seele (Turnhout, Belgium, 1997), and
1980), Hans-Joachim Klimkeit. Gnosis on the Silk Road. San
Zieme’s Manichäisch-türkische Texte (Berlin, 1975), Altun
Francisco 1998, and Il Manicheismo, edited by Gherardo
Yaruq Sudur. Eine Lehrschrift des östlichen Manichäismus
Gnoli, vol. 1. Milan, 2003.
(Turnhout, Belgium, 1996). On the state of research into
Concerning the spread of Manichaeism in Asia, in North Africa,
Iranian texts, see also Sundermann’s “Lo studio dei testi
and in the Roman Empire, there are numerous works. The
iranici di Turfan,” in Iranian Studies, edited by me (Rome,
old text by E. de Stoop, Essai sur la diffusion du manichéisme
1983), pp. 119–134. Recent research on Sogdian
dans l’Empire romain (Ghent, 1909), heads the list, followed
Manichaean texts has been done by N. Sims-Williams (Lon-
by Paul Pelliot’s “Les traditions manichéennes au Fou-kien,”
don) and E. Morano (Turin), following the lead of Ilya Ger-
T‘oung pao 22 (1923): 193–208; M. Guidi’s La lotta tra
shevitch (Cambridge). Again in the context of Central Asian
l’Islam e il manicheismo (Rome, 1927); Uberto Pestalozza’s
texts, the handbook for the confession of sins has been care-
“Il manicheismo presso i Turchi occidentali ed orientali,” Re-
fully edited, after the work of W. Bang and W. B. Henning,
ndiconti del Reale Istituto Lombardo di Scienze e Lettere, 2d
and with an ample commentary, by Jes P. Asmussen in
series, 67 (1934): 417–497; Georges Vajda’s “Les Zindiqs en
Xa¯sta¯n¯ıft: Studies in Manichaeism (Copenhagen, 1965); the
pays d’Islam au debout de la période abbaside,” Rivista degli
Sha¯buhraga¯n is the subject of an extremely useful work by
Studi Orientali 17 (1937): 173–229; Giuseppe Messina’s Cr-
D. N. MacKenzie, “Mani’s Sˇa¯buhraga¯n,” Bulletin of the
istianesimo, buddhismo, manicheismo nell’Asia antica (Rome,
School of Oriental and African Studies 42 (1979): 500–534
1947); H. H. Schaeder’s “Der Manichäismus und sein Weg
and 43 (1980): 288–310.
nach Osten,” in Glaube und Geschichte: Festschrift für Frie-
Concerning the Chinese texts, the following are useful works. On
drich Gogarten (Giessen, 1948), pp. 236–254; O. Maenchen-
the Treatise, see Édouard Chavannes and Paul Pelliot’s “Un
Helfen’s “Manichaeans in Siberia,” in Semitic and Oriental
traité manichéen retrouvé en Chine,” Journal asiatique
Studies Presented to William Popper (Berkeley, 1951),
(1911): 499–617 and (1913): 99–392. On the Compendium,
pp. 161–165; Francesco Gabrieli’s “La zandaqa au premier
see Chavannes and Pelliot’s “Compendium de la religion du
siècle abbasside,” in L’élaboration de l’Islam (Paris, 1961),
Buddha de Lumière, Mani,” Journal asiatique (1913): 105–
pp. 23–28; Peter Brown’s “The Diffusion of Manichaeism
116 (Pelliot fragment), and Gustav Haloun and W. B. Hen-
in the Roman Empire,” Journal of Roman Studies 59 (1969):
ning’s “The Compendium of the Doctrines and Styles of the
92–103; François Decret’s Aspects du manichéisme dans
Teaching of Mani, the Buddha of Light,” Asia Major, n.s. 3
l’Afrique romaine (Paris, 1970); and S. N. C. Lieu’s The Reli-
(1952): 184–212 (Stein fragment). On the London Chinese
gion of Light: An Introduction to the History of Manichaeism
hymn book, see, in addition to the work of Ernst Waldsch-
in China (Hong Kong, 1979) and Manichaeism in the Later
midt and Wolfgang Lentz, Tsui Chi’s “Mo-ni-chiao hsia-pu
Roman Empire and Medieval China (Manchester, 1985).
tsan,” Bulletin of the School of Oriental and African Studies 11
Among studies devoted to special topics, note should be taken of
(1943): 174–219.
Charles R. C. Allberry’s “Das manichäische Bema-Fest,”
On the Coptic texts of Fayum, a survey of the state of research
Zeitschrift für die neutestamentliche Wissenschaft und die
can be found in Alexander Böhlig’s “Die Arbeit an den kop-
Kunde der älteren Kirche 37 (1938): 2–10; Geo Widengren’s
tischen Manichaica,” in Mysterion und Wahrheit (Leiden,
The Great Vohu Manah and the Apostle of God (Uppsala,
1968), pp. 177–187. Among editions of the texts are
1945) and Mesopotamian Elements in Manichaeism (Uppsala,
Manichäische Homilien, by H.-J. Polotsky (Stuttgart, 1934),
1946); Henri-Charles Puech’s “Musique et hymnologie
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANICHAEISM: MANICHAEISM IN IRAN
5659
manichéennes,” in Encyclopédie des musiques sacrées, vol. 1
tion between Manichaeism and other Iranian religions, also
(Paris, 1968), pp. 353–386; and Mircea Eliade’s “Spirit,
stimulating some aspects of those religions, and to severe per-
Light, and Seed,” History of Religions 11 (1971): 1–30. Of
secution of Manichaeans alike.
my own works, I may mention “Un particolare aspetto del
simbolismo della luce nel Mazdeismo e nel Manicheismo,”
THE LIFE OF MANI. Mani (216–277) was born into an Irani-
Annali dell’Istituto Universitario Orientale di Napoli n.s. 12
an family, but at the age of four his father took him to live
(1962): 95–128, and “Universalismo e nazionalismo
with the religious community of the Elkasaites. Mani’s fa-
nell’Iran del III secolo,” in Incontro di religioni in Asia tra il
ther, Pattik, may have been of Arsacid stock, so it is assumed
III e il X secolo, edited by L. Lanciotti (Florence, 1984),
that Mani was well acquainted with Iranian and Zoroastrian
pp. 31–54.
tradition.
In the most exhaustive treatment of Manichaeism to have ap-
peared in an encyclopedic work, Henri-Charles Puech’s “Le
At the age of twenty-four, Mani began preaching. In
manichéisme,” in Histoire des religions, vol. 2, edited by
241, after Sha¯pu¯r I (r. 241–272) had become king of the Sa-
Puech (Paris, 1972), pp. 523–645, we also find a full exposi-
sanian empire, Mani began to spread his teaching at the Sas-
tion of the problem concerning the heritage and survival of
sanian court. He was introduced by Pe¯ro¯z, a high-ranking
Manichaeism, with a bibliography to which one should add
member of the nobility, possibly the king’s brother. The cen-
Raoul Manselli’s L’eresia del male (Naples, 1963).
tral themes in his message were the “two principles of light
Despite the length of the present bibliography, there are some
and darkness” and the “three times.” Both ideas have their
works cited in the text of my article that have not yet been
roots in Zoroastrian cosmology: first, the original time when
mentioned here. On the relationship between Manichaeism
the realms of light and darkness existed side by side with
and Zoroastrianism, see Alessandro Bausani’s Persia religiosa
equal strength but separated by a boundary; second, the time
(Milan, 1959); on the Parthian heritage in Manichaeism, see
of mixture after the combat between light and darkness;
A. D. H. Bivar’s “The Political History of Iran under the Ar-
and third, the time of the renewed separation of the two
sacids,” in The Cambridge History of Iran, vol. 3, edited by
principles.
Ehsan Yarshater (Cambridge, 1983), pp. 21–97; and on the
influence of Manichaeism in Tibet, see Giuseppe Tucci’s Die
Mani strongly depended on and made use of Zoroastri-
Religionen Tibets (Stuttgart, 1970), translated as The Religions
an religious thoughts combined with his own Gnostic teach-
of Tibet (Berkeley, 1980).
ings to provide an Iranian framework for his cosmogonical
After 1987, among individual and collective works, proceedings
and eschatological myth. He not only adopted the terminol-
of international conferences, etc., see: Julien Ries, Les études
ogy and the dualistic mythology of the Zoroastrians, but also
manichéennes. Des controverses de la Réforme aux découvertes
made dualism even more exclusive: The material world was
du XX? siècle (Louvain-la-Neuve, 1988); Manichaica Selecta.
considered the devil’s (or Ahreman’s) realm; only the spiritu-
Studies Presented to Professor Julien Ries, edited by Aloïs van
al world was good.
Tongerloo and So⁄ren Giversen (Louvain, 1991); Alexander
Böhlig and Christoph Markschies, Gnosis und Manichäismus
Sha¯pu¯r, who was driven to acquire and introduce new
(Berlin, 1994); The Manichaen NOYΣ, edited by Aloïs van
knowledge into his kingdom, listened to Mani because Mani
Tongerloo and J. van Oort (Louvain, 1995); Turfan, Khotan
presented his religion as a kind of “reform” of Zarathushtra’s
und Dunhuang, edited by Ronald E. Emmerick, W. Sunder-
(Zoroaster’s) ancient teachings. Further, according to Mani’s
mann, Ingrid Warnke and Peter Zieme (Berlin, 1996);
Emerging from Darkness, edited by Paul Mirecki and Jason
teachings, all former religions had been included in this new
BeDuhn (Leiden, 1997); Samuel N. C. Lieu, Manichaeism
religion. This idea fit Sha¯pu¯r’s dream of establishing a large
in Central Asia and China (Leiden, 1998); Jason BeDuhn,
empire incorporating different peoples and their different
The Manichaean Body in Discipline and Ritual (Baltimore,
creeds. Therefore, Sha¯pu¯r viewed Manichaeism as a suitable
2000); Xavier Tremblay, Pour une histoire de la Sérinde. Le
syncretistic yet still Iranian religion to serve as a common
manichéisme parmi les peuples et religions d’Asie Centrale
bond for all people in the emerging empire: for Christians
d’après les sources primaires (Vienna, 2001); Augustine and
in the West, due to the Gnostic tradition picked up in Mani-
Manichaeism in the Latin West, edited by Johannes van Oort,
chaeism; for Zoroastrians, due to Mani’s attempt to present
Otto Wermelinger, Gregor Wurst (Leiden, 2001), The Light
himself as a “new Zoroaster;” and for Buddhists in eastern
and the Darkness, edited by Paul Mirecki and Jason BeDuhn
Iran, as a result of the Manichaean missionary Ma¯r Ammo¯’s
(Leiden, 2001).
journeys during the middle of the third century. Thus Mani-
GHERARDO GNOLI (1987)
chaeism flourished for thirty years within the Sassanian Em-
Translated from Italian by Ughetta Fitzgerald Lubin
pire. Mani himself stayed in the Persis and western Iran,
where he developed a good deal of his missionary work and
his church organization.
MANICHAEISM: MANICHAEISM IN IRAN
This situation changed after Sha¯pu¯r’s death. Although
Manichaeism, a basically Gnostic religion founded by Mani,
King Horm¯ızd (r. 272–273) favored Mani, the religio-
was widespread in antiquity. In Iran, this religion very
political career of the Zoroastrian priest Kerd¯ır (mid-third
strongly made use of Zoroastrian motifs to look like a genu-
to early fourth century) started during this time. Following
ine Iranian religion. This fact led both to intensive interac-
Horm¯ızd’s short reign, his elder brother Wahra¯m I (r. 274–
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5660
MANICHAEISM: MANICHAEISM IN IRAN
277) became king. Kerd¯ır managed to influence the new
In the sixth century, Manichaeism reached its climax in
king, strengthening Zoroastrianism and thus weakening
eastern Iran, with Samarkand as the religious and administra-
Manichaeism. Mani was summoned to the court at Be¯t
tive center, independent from the Manichaean west.
La¯pa¯t (Gunde¯sha¯buhr) by Wahra¯m I and interrogated about
Sha¯d-Ohrmezd (d. 600) was the most prominent East Irani-
his religion. Although Mani could heal Wahra¯m’s servants
an leader of the community of the De¯na¯wars, the “Pure
from demons and fever, Wahra¯m sentenced him to prison
Ones”; he was very engaged in preserving and spreading Ira-
in order to settle Zoroastrian accusations against Mani,
nian Manichaean literature. Besides Parthian missionaries,
possibly raised by Kerd¯ır. Mani died in prison on February
Sogdians began to play an important part in transmitting Ira-
26, 277.
nian religious ideas farther to the east. However, Manichae-
The years following Mani’s death resulted in persecu-
ism was accepted among Sogdians only from the end of the
tions of the members of Mani’s church, reaching their climax
sixth century—after Zoroastrianism, Christianity, and Bud-
with the martyrdom of Sisinnos, then leader of the religion,
dhism had spread among them.
in 286 during the reign of Wahra¯m II (r. 277–293). These
ZOROASTRIAN PERSECUTION OF THE MANICHAEANS. Even
years focused on Kerd¯ır’s career and his promotion of Zoro-
though Mani spent most of his life establishing his religion
astrianism as the only religion in the Sassanian Empire. This
in the core area of Iran, from the early fourth century on,
led to the persecution of other religions, as stated in Kerd¯ır’s
Manichaeism had its centers elsewhere and there are relative-
inscription from Naqsh-i Rostam:
ly few extant original Manichaean sources in Iran. From the
And the creed of Ahreman and the de¯ws was driven out
D¯enkard, a theological compendium of the Zoroastrians in
of the land and deprived of credence. And Jews and
Middle Persian language, it is written that during the reign
Buddhists and Brahmans and Aramaic and Greek-
of Sha¯pu¯r II (r. 309–379), the Zoroastrian priest A¯durba¯d
speaking Christians and Baptisers and Manichaeans
¯ı Ma¯raspanda¯n (mid-fourth century) was the main adversary
were assailed in the land. And images were overthrown,
of Manichaeism, and the third book of the D¯enkard brings
and the dens of demons were (thus) destroyed, and the
places and abodes of the Yazads were established.
to light A¯durba¯d’s refutation of Mani’s doctrine, opening
(Boyce, 1984, p. 112).
with the line: “Ten injunctions which the crippled demon
Mani clamoured against those of the restorer of righteous-
THE SPREAD OF MANICHAEISM. Persecutions of the
ness, A¯durba¯d ¯ı Ma¯raspanda¯n.” These refutations showed
Manichaeans resulted in an exodus of Manichaeans from
some differences between Manichaeism and Zoroastrianism,
central Iran to Mesopotamia and the eastern provinces of the
mainly that the Zoroastrian world view was believed to be
Roman Empire. Other refugees found shelter with the Arab
much more in agreement with the cosmos and not as anti-
king Amaro of Hira (end of third to beginning of fourth cen-
cosmic as Manichaeism. It is probable that this theological
turies), who in the last decade of the third century convinced
refutation of Mani’s religion by an important Zoroastrian
the Sassanian king Narseh (r. 293–302) to put an end to the
persecutions of Manichaeans in Iran. Narseh had another
priest of the time gave an ideological justification for the per-
reason to end the repression of the Manichaeans: when the
secution of Manichaeans during the mid-fourth century.
Roman emperor Diocletian (r. 284–305) issued an edict
Although the persecution of Manichaeans during the
against the Manichaeans in 297, Narseh saw a chance to get
reign of Sha¯pu¯r II seemed to be less fierce than the persecu-
Manichaean support for his military agitations against the
tion of Christians by the same king, there is one interesting
Romans.
Syriac text referring to the martyrdom of the Christian
For some years the Manichaeans managed to live calm-
Aita¯lla¯h: The Sassanian authorities tried to persuade Aita¯lla¯h
ly, but during the reign of Narseh’s successor Horm¯ızd II
to abstain from his faith by referring to the example of an
(r. 302–309), the Zoroastrian priests again voted for the ex-
imprisoned Manichaean who, after being tortured, had ana-
tirpation of the Manichaean creed. Once again the kingdom
themized Mani and his faith. To prove his abrogation from
of Hira helped many Manichaeans to flee from Iran to the
his former religion, this Manichaean even killed an ant to
west; others sought refuge in eastern Iran, spreading Mani-
show that he no longer followed the Manichaean prohibition
chaeism along the Silk Road as far as central Asia in the fol-
of killing any animal. Manichaeans believed that some part
lowing centuries. In eastern Iran (present-day Turkmeni-
of the divine light was included in every being, thus killing
stan), Manichaeism had been known since the middle of the
even an ant would harm the divine element in it. This epi-
third century, due to the missionary efforts of Ma¯r Ammo¯,
sode not only highlighted the persecution of Manichaeans
and in the early fourth century, refugees could find shelter
in the Sassanian Empire, it also indicated the attempts to re-
there. As a result, Iranian Manichaeism came into intensive
convert them to Zoroastrianism. By killing the ant, the (for-
contact with Buddhism that spread westward from the
mer) Manichaean not only showed his willingness to break
Kusha¯na Empire, thus leading to the further adaptation of
with his former religious behavior, but also acted according
Buddhist traditions by Manichaean missionaries, who partly
to Zoroastrian behavior: Killing ants and other creatures of
adapted Buddhist terminology like nirva¯n:a (Parthian: prny-
this kind, which are Ahreman’s creations bringing evil to the
br’n) or “salvation” (Parthian: mwxˇs) for Manichaean theo-
world, is a religious act to partake as a Zoroastrian in the cos-
logical ideas.
mic battle against Ahreman’s creations.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANICHAEISM: MANICHAEISM IN IRAN
5661
During the fourth century Zoroastrians tried to con-
the other hand, the “heretical” Zurwa¯nite interpretation of
vince Manichaeans to convert to Zoroastrianism, even
Zoroastrianism, showing the material world in a negative
through pressure. But the Zoroastrian clergy also reacted
light and as Ahreman’s work, was comparable to the
against the still-practicing Manichaeans in another way. Sev-
Manichaean worldview. Such ascetic aspects in parts of the
eral scholars have argued that the appreciation Manichaeans
Zoroastrian religion that try to avoid contact with the mate-
gave to their canonical “holy books” led to the creation of
rial world are possibly the result of Manichaean influence on
a written Avesta by the Zoroastrian clergy during the fourth
Zoroastrianism.
century (see cf. Hutter, 2000, p. 314). This book was pro-
Another important aspect is the Manichaean symbolism
duced to compete with the Manichaean books. In theologi-
of the divine light: the Column of Light/Glory (ba¯mistu¯n)
cal disputes, Zoroastrians no longer had to rely solely on the
and the Maiden of Light (kan¯ıgro¯ˇsn) are also adapted within
oral tradition; they now had a book showing that it was not
Zoroastrianism, as well as partly in Sufism and even in the
Zoroastrianism that had failed, but Mani who had falsified
recent Baha¯D¯ı religion. Mani’s concept of the heavenly twin
the teaching of Zoroaster.
(yamag) may also have had some impact on S:u¯f¯ı mystics. The
With such a book, Zoroastrian priests and judges could
idea that the succession of prophets, sent by God to different
act against Manichaeism. In the early fifth century, during
peoples at different times, was adopted by Mani to prove his
the reign of Yazdegerd I (r. 339–420), the persecutions of
claim to be God’s last prophet for humankind. This same
Manichaeans had been renewed. In the legal textbook
idea was taken up in Islamic thought (and transferred to
Ma¯diga¯n ¯ı haza¯r da¯desta¯n (Book of thousand judgments), it
Muh:ammad), as well as in the middle of the nineteenth cen-
is written that the property of heretics should be confiscated;
tury—through Islamic intermediation—when it was taken
heretics (zand¯ıq) in this passage referred to Manichaeans.
as the cornerstone of Baha¯D¯ı theology. The founder of
Also Mazdak’s movement during the reign of Kawa¯d
Baha¯D¯ı, Baha¯DuDlla¯h, saw himself as the latest in a line of sub-
(r. 488–497 and 499–531) was not always distinguished
sequent messengers, continuing God’s revelation.
from Manichaeism. Mazdak (about 460–524) was a charis-
Manichaeism as a living religion flourished in the cen-
matic figure whose doctrine combined Gnostic thoughts
tral parts of Iran only for a relatively short period, but never-
with Zoroastrian, Manichaean, and Greek elements. His
theless Iranian influence remained integral for Manichaeism,
doctrine focuses on a good god, but man is bound to earth
and Manichaeism had a lasting effect on Iran. Mani’s ideas
in a pessimistic way. When man comes in contact with the
form one important branch in the religious history of Iran,
divine he is able to remove all his earthly bonds. Mazdak also
leaving an impact on Zoroastrianism, Iranian Islam, and the
tried to abolish social distinctions and and reach equality
Baha¯’¯ı faith.
among all people.
B
Still, during the reign of Khosrow I (Anu¯shirvaa¯n, r.
IBLIOGRAPHY
Bausani, Alessandro. Religion in Iran: From Zoroaster to Baha’ullah
531–579), there lived some Manichaeans in the area of pres-
(1959). Translated by J. M. Marchesi. New York, 2000.
ent-day Iran. Thus despite persecution, Manichaeans formed
Buck, Christopher. “Unique Eschatological Interface. Bahá’u’lláh
a part of the religious pluralism within the Sassanian Empire.
and Cross-Cultural Messianism.” In Studies in Bábí and
After the decisive victory of the Arabs over the Persians in
Bahá’í History. Vol. 3, edited by Peter Smith, pp. 157–179.
637, the initial tolerance of the Arabs gave rise to Manichae-
Los Angeles, 1986. Article focuses on continuing revelation
ism in western Iran for a short period, with some
according to Baha¯’¯ı theology, also covering Mani’s concept
Manichaeans returning from Khorasan and eastern Iran. But
of prophetic succession within Iranian religions.
this was only a brief revival before the end of Manichaeism
Corbin, Henry. The Man of Light in Iranian Sufism. Translated
in Iran proper at the end of the seventh or at the beginning
by Nancy Pearson. Boulder, Colo., 1978.
of the eighth centuries.
Gignoux, Philippe. Les quatre inscriptions du mage Kird¯ır. Paris,
MANICHAEAN THOUGHT IN IRANIAN RELIGIOUS HISTORY.
1991.
From the discoveries of Manichaean literature in the Turfan
Gignoux, Philippe, ed. Recurrent Patterns in Iranian Religions from
oasis in Chinese Turkestan during the early twentieth centu-
Mazdaism to Sufism. Paris, 1992. Important collection of es-
ry, it has been determined that the Middle Persian language
says, covering also Manichaean topics.
remained—even in central Asia—the ritual language for
Hutter, Manfred. “Manichaeism in the Early Sasanian Empire.”
Manichaeans, at least at a symbolic level. There are passages
In Numen 40 (1993): 2–15.
in this language inserted in Parthian and Sogdian liturgical
Hutter, Manfred. “Manichaeism in Iran in the Fourth Century.”
texts showing that the origin of Manichaeism in the core area
In Studia Manichaica. IV. Internationaler Kongress zum
of the early Sassanian Empire was long influential.
Manichaeismus, edited by Ronald E. Emmerick, Werner
Sundermann, and Peter Zieme, pp. 308–317. Berlin, 2000.
Manichaean thought also lived on in Iran proper, influ-
Hutter, Manfred. “Die frühe manichäische Mission unter Budd-
encing later periods. When A¯durba¯d ¯ı Ma¯raspanda¯n op-
histen im Ostiran.” In Zeitschrift für Religionswissenschaft 10
posed Manichaeism in the fourth century, he supported the
(2002): 19–32. This is a series of three articles covering most
positive Zoroastrian stance to the material world against the
of the history and religious history of Manichaeism in con-
pessimistic and negative tendencies of the Manichaeans. On
nection to the religious pluralism in the Sassanian Empire.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5662
MANICHAEISM: MANICHAEISM IN THE ROMAN EMPIRE
Lieu, Samuel N. C. Manichaeism in the Later Roman Empire and
leged position of the elect and the theological reasons for
Medieval China. 2d ed. Tübingen, Germany, 1992. An over-
their needing the service of the hearers to attend to their daily
view on the historical development, especially pp. 106–115.
needs. The elect members of the sect were the priests who
Olsson, Tord. “The Refutation of Manichaean Doctrines in Den-
were not permitted to engage in harvesting or thrashing or
kard 3.200.” In Manichaeica Selecta. Studies Presented to Pro-
milling of the wheat or barley nor in the act of baking for
fessor Julien Ries on the Occasion of His Seventieth Birthday,
fear of damaging the Light-particles which according to
edited by Alois van Tongerloo and Soren Giverson,
Manichaean teaching are found in plant-life. Their liveli-
pp. 273–293. Louvain, Belgium, 1991.
hood therefore depended on the service of the hearers who
Sundermann, Werner. “Studien zur kirchengeschichtlichen Li-
were members of the second rank. A substantial find of
teratur der iranischen Manichäer I–III.” In Altorientalische
Manichaean texts were made at Medinet Madi (Roman Nar-
Forschungen 13 (1986): 40–92; 239–317; Altorientalische
mouthis) in Egypt, between 1929 and 1930, consisting of
Forschungen 14 (1987): 41–107. Very detailed study of the
seven codices in the Lycopolitan (specifically dialect L4) or
Iranian literature and historical sources for Manichaeism.
the Sub-Achmimic B dialect of the Coptic language, which
Tremblay, Xavier. Pour une Histoire de la Sérinde. Le Manichéisme
was not native to the area where the texts were found. It is
parmi les peoples et religions de l’Asie Centrale d’après les sources
highly possible that the texts were originally translated from
primaires. Vienna, 2001. Focusing mainly on eastern Iran
Syriac near Luxor (Roman Lycopolis) and brought to Medi-
and the Sogdians, also with a valuable appendix containing
net Madi in the late fourth century
many details on all relevant written sources for Manichaean
CE by Manichaean mis-
history in eastern Iran.
sionaries who hid them for fear of confiscation by the Chris-
tian Roman authorities. The cache was split up by the
MANFRED HUTTER (2005)
workmen who discovered it; some were purchased by
the Irish-American collector Chester Beatty, and the rest by
the Berlin Academy. The division is as follows:
MANICHAEISM: MANICHAEISM IN THE
In Berlin, at the Bode Museum for Egyptology:
ROMAN EMPIRE
The early diffusion of Manichaeism in the late Roman Em-
1. The Letters of Mani.
pire was achieved directly through the missionary vision of
2. The Kephalaia of the Teacher (i.e., Mani).
Mani and the evangelistic endeavors of his earliest disciples.
3. The Synaxeis Codex, which appears to contain a com-
Patronized by the Sassanid monarch Sha¯pu¯r I, Mani dissemi-
mentary on the Living Gospel (a canonical work of
nated his teaching both within the Sassanid Empire and in
Mani’s) and a text that remains unidentified.
the frontier regions of the Roman Empire, which had recent-
ly come under Persian domination. According to
4. A historical work that includes a life of Mani and the
Manichaean texts, a mission led by Adda was active along the
early history of the sect (the so-called Acta Codex).
Syrian frontier at the time of the ascendancy of Odaenathus
In Dublin, the Chester Beatty Collection, originally in
at Palmyra (c. 262–266). The mission appears to have spent
London:
some time in Palmyra and later reached Egypt, especially Al-
exandria; a number of communities were established, which
5. The Homilies.
might have later influenced the development of early Chris-
6. The Psalm-Book.
tian monasticism. It is possible that a separate mission to
Egypt, probably via Eilat and the Red Sea ports, was also dis-
7. The Kephalaia of the Wisdom of My Lord Mani.
patched, and Luxor (Lycopolis) eventually became its center.
Unfortunately, substantial sections of the codices containing
The sect had reached Syria, North Africa, Asia Minor, the
the Letters of Mani and the historical work were lost in the
Balkans, and Italy, including Rome, by end of the third
aftermath of World War II before the leaves were conserved
century CE.
and photographed. Nevertheless, the texts, which are still in
The study of the history of the sect in the Roman Em-
the process of being edited and translated, throw an enor-
pire was greatly advanced by the recovery of genuine
mous amount of light on the earliest phase of the history of
Manichaean writings in the form of ancient manuscripts and
the sect in its original Mesopotamian homeland. To these
not merely citations transmitted in polemical writings by
texts from Medinet Madi must be added a miniature parch-
their enemies. The first manuscripts to come to light, be-
ment codex containing an autobiographical account of the
tween 1915 and 1919, were a small number of papyrus frag-
early life of Mani in Greek, which might have originally been
ments in Syriac, written in the distinctive Manichaean Es-
recovered from Lycopolis in Egypt and is now housed and
trangela script, recovered from Oxyrhynchus in Egypt. A
exhibited in the Papyrussammlung of Cologne University
more substantial but highly fragmentary text in Latin was re-
(the so-called Cologne Mani Codex). A Coptic version of this
covered from Theveste (Roman Tabessa) in North Africa in
Greek text might have formed the first part of the now al-
1918. This text, probably a letter, was written in Latin by
most completely lost historical text in Coptic recovered from
a Manichaean elect using Christian scriptures (both the Gos-
Medinet Madi. This text describes Mani’s upbringing in a
pels and the Pauline epistles) to justify the apparently privi-
community of “baptists,” who claimed Elchasaios, a Jewish
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANICHAEISM: MANICHAEISM IN THE ROMAN EMPIRE
5663
Christian known from Christian polemical writings, as one
writings. Persecution against the sect, instigated probably by
of the founders of their sect. The successful deciphering of
the pagan emperor Diocletian or his colleague Galerius in
this text in 1970 caused a sensation and completely altered
302, was probably instrumental in the establishment of a
the direction of research on Manichaean origins; scholars
major Manichaean community at Kellis. The earliest
now had to look more closely at the esoteric fringes of Sec-
Manichaean missionaries were undoubtedly Syriac speakers,
ond Temple Judaism and at Gnostic Christianity for the an-
but the sect’s literature was soon translated into Greek, Latin,
cestry of some of Mani’s ideas, both on cosmogony and on
and Coptic. As in Central Asia, the copying of Manichaean
ethics.
texts was held in high esteem by the sect and was normally
carried out by hearers. Manichaean books were handsomely
The existence of a Manichaean community at Kellis in
bound, and extant examples display a uniformly high stan-
the Dakleh Oasis in Egypt during the late Roman period
(fourth century
dard of calligraphy.
CE) came as a complete surprise to scholars.
Manichaean texts in Coptic, Greek, and Syriac were recov-
One of the best-known Roman converts to the sect was
ered as part of the ongoing excavations at Ismant el-Kharab
Augustine of Thagaste in North Africa, who became a hearer
by an international team led by scholars from Australia. The
while he was a university student and teacher at Carthage (c.
texts recovered so far consist of papyrus codices, as well as
373–382). After his famous conversion to a more orthodox
inscribed wooden boards. These contain psalms and prayers
Christianity (via Neoplatonism) in Milan in 386, he would
and a substantial number of fragments of the canonical Let-
devote a great deal of his intellectual energy into refuting the
ters of Mani. There are also bilingual Syriac and Coptic word
basic tenets of the sect, especially its dualism, its use of Chris-
lists, and the same Estrangela script that was used on the frag-
tian scriptures, and its pseudo-asceticism, through his vast
ments from Oxyrhynchus was also used for these texts. This
literary output. A particular source of concern for Christian
script is standard for the copying of Manichaean texts in
polemicists like Augustine was the sect’s claim to be a superi-
Central Asia in Middle Iranian as well as Turkic languages.
or form of Christianity through its interpretation of Chris-
Because the texts from Kellis were recovered from a clearly
tian rather than Manichaean scriptures. The sect’s rejection
recorded archaeological context, they show that the religion
of the Old Testament—save for stories concerning certain
was widespread in the oasis and that the followers regarded
figures like Seth and Enoch (who were also revered in Gnos-
themselves as true Christians. The discovery of a substantial
tic teaching)—as relevant for salvation would have been pop-
section of Paul’s epistle to the Romans shows that the sect
ular among pagans who wished to be converted to Christian-
was well versed in Christian literature, and it is clear from
ity but who abhorred Judaism. The sect claimed to revere the
the unique private letters of the believers that the reading of
crucified Christ; the long-term imprisonment of light by
both Manichaean and what is now called apocryphal Chris-
matter in the physical universe was, according to
tian literature (e.g., Acts of John) was prescribed. The com-
Manichaean teaching, personified by the “suffering Jesus”
munity disappeared when the oasis site was abandoned at the
(Jesus patibilis). This allowed the sect to give a mystical inter-
end of the fourth century CE.
pretation to the crucifixion, and their use of the historical
The spread of Manichaeism in the Roman Empire was
Jesus as a messianic figure who heralded the mission and
assisted above all by the conversion of the Empire to Chris-
“martyrdom” of Mani also enforced the appeal of the sect
tianity. This opened many missionary possibilities for a reli-
to a recently Christianized populace.
gion that claimed to be a superior form of Christianity and
Christian leaders therefore had to demonstrate that
that was proclaimed by a prophet who styled himself the
Manichaean Christology had no scriptural basis and was
“Apostle of Jesus Christ” and the promised Paraclete. It is
founded on themes in apocryphal Christian literature, such
clear that Mani saw himself as a latter-day Saint Paul who
as the Acts of John and the Acts of Thomas. They were also
could claim apostleship through special visionary appear-
concerned that Manichaean belief in a dualistic creation
ances by his divine alter ego (his syzygos). It is also clear that
myth could lead to the denial of the role of human volition
Mani was familiar with both Christian literature and the
in sin and the attribution of evil to a secondary deity that
hyper-Pauline and anti-Judaic writings of Marcion.
would challenge the omnipotence of the Christian God (the
In the Roman Empire, when the religion was first dis-
Father). Augustine, the most effective of the Christian po-
seminated under the last pagan regime prior to Constantine,
lemicists on this score took the battle to the Manichaeans by
its polytheism was thinly disguised. But as the religion circu-
accusing them of rendering the Judeo-Christian God less
lated under Christian emperors it became a form of Christian
than omnipotent by removing him entirely from the horror
dualism (between spirit and body, as well as between good
of human existence. The God that Augustine presents to his
and evil) with strong emphasis on asceticism, especially for
Manichaean opponents is imbued with qualities that are
the elect members of the sect. The Manichaean community
more Neoplatonic than Christian. He is almighty, all-seeing,
at Kellis, for instance, clearly regarded itself as a sect of Gnos-
all-knowing, wise, loving, and above all creative, because all
tic Christianity, and the surviving correspondence of its
these qualities are not for his own gratification but emanate
members abounded in Christian (and Gnostic) terminology
from him into the whole of creation. The world was created
and shows familiarity with Christian (including apocryphal)
out of nothing (ex nihilo), and by “nothing” Augustine
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5664
MANICHAEISM: MANICHAEISM IN THE ROMAN EMPIRE
means absolute nonbeing, thereby rejecting the pagan view
ing polemical writings against the sect, especially a fictional
that the world was created out of “not anything.”
life of Mani known as the Acta Archelai, in which Mani was
portrayed as a failed miracle-worker who plagiarized his
Into this modified Neoplatonic picture of creation as
teachings from Christian sources. This and other polemical
emanation, Augustine injects the important Christian doc-
writings constituted the main source on the history of the
trine that God saw that everything he created was good (Gn.
sect until the beginning of the twentieth century. Moreover,
1:10). The identification of creation with goodness is funda-
they were used regularly by the Byzantine and Catholic
mental to him. Matter, in that it was created, is not in itself
churches in the Middle Ages against “Neo-Manichaean”
evil, as the Manichaeans would argue, but formless. Upon
sects, such as Paulicianism, Bogomilism, and Catharism. The
this basic substance God imposed “measure, form, and
actual religion itself was probably extinguished by persecu-
order” (modus, species, et ordo) in different ways to bring
tion under Justinian, since no genuine Manichaean texts ap-
about the variety of his creation. Evil is not to be found in
pear to be cited by, nor known by name to, the sect’s medi-
creation but in the way a certain object is deficient in its mea-
eval and Byzantine opponents.
sure, form, and order. Evil is a negative force because it is
a privation of good (privatio boni). Therefore, one cannot say
SEE ALSO Mani.
that evil exists in the same way that good exists, because it
is a corruption of good and hence parasitic in its existence.
BIBLIOGRAPHY
In short, evil exists only as a less desirable aspect of some ac-
Primary Sources
tual unity that is intrinsically good, although it may have fall-
The series Corpus fontium Manichaeorum, published by Brepols
en far below the state that God intended. An earlier contem-
and edited by Alois van Tongerloo, Samuel N. C. Lieu, and
porary writer against the sect, Titus of Bostra, would argue
J. van Oort, aims eventually to publish all Manichaean texts.
that all suffering, including natural disasters, is the result of
Already published are two sections of the Psalm-Book (Turn-
sin and not the work of a malignant deity. Human beings,
hout, Belgium, 1996) in the Series Coptica and a volume in
according to Titus, are born neither good nor bad but fair.
the Series Latina on the anti-Manichaean writings of Pope
People acquire goodness through education and training.
Leo the Great (Turnhout Belgium, 2002). The publication
From birth they are imbued with the knowledge of good and
of the Coptic Manichaean codices found at Medinet Madi
evil. Consequently, they are able to reflect on the conse-
in 1929 is underway. The volumes include: Hans Jakob Po-
quences of sinful actions and come to right decisions. What
lotsky, Manichäische Homilien, Manichäische Handschriften
der Sammlung A, Chester Beatty (Stuttgart, Germany,
Titus advocates, therefore, is an all-out assault on evil by
1934); C. R. C. Allberry, A Manichaean Psalm-Book: Part II,
Christians in their daily living, rather than remaining on the
Manichaean Manuscripts in the Chester Beatty Collection
defensive like the father of light in the Manichaean myth,
(Stuttgart, Germany, 1938); Hans Jakob Polotsky and Alex-
waiting for the prince of darkness, his opponent, to take the
ander Böhlig, Kephalaia, Manichäische Handschriften der
initiative.
staatlichen Museen Berlin, Seite 1–243 (Stuttgart, Germany,
1940); Alexander Böhlig, Kephalaia, Manichäische Hand-
The much-vaunted ascetical commandments of the
schriften der staatlichen Museen Berlin, Zweite Hälfte, Lie-
Manichaeans were seen by their Christian opponents as
ferung 11–12, Seite 244–291 (Stuttgart, Germany, 1966);
being based on the sect’s belief in the evil nature of matter
and Wolf Peter Funk, Lieferung 13–14, Seite 292–366
and not on genuine efforts to combat human desires.
(Stuttgart, Germany, 1999), and Lieferung 15–16, Seite
Manichaean leaders were frequently accused (e.g., by Augus-
367–440, (Stuttgart, Germany, 2001).
tine) of gluttony and overindulgence in expensive (vegetari-
The standard edition of the Cologne Mani Codex is Ludwig
an) food and (fruit) drinks. The sect was also labeled as liber-
Koenen and Cornelia Römer, Der Kölner Mani-Kodex (Opla-
tines who used innumerable methods of contraception to
den, Germany, 1988). The texts from Kellis are published
enable the elect to practice sexual intercourse without leading
in Kellis Literary Texts: Vol. 1, edited by Iain Gardner (Ox-
to human birth and generation, which would prolong the
ford, 1996). See also the Coptic Documentary Texts from Kel-
“crucifixion” of light-particles in matter.
lis: Vol. 1, edited by Iain Gardner, Anthony Alcock, and
Wolf Peter Funk (Oxford, 1999), which includes a collection
The religion, as already mentioned, was banned by the
of private correspondence from the Manichaean community
pagan emperor Diocletian in 302 for being a Persian sect that
in Kellis. A convenient edition and translation of the Tebessa
could endanger the moral values of patriotic Romans. The
Codex is Jason BeDuhn and Geoffrey Harrison, “The Tebessa
ban was later renewed by Christian emperors, who accused
Codex: A Manichaean Treatise on Biblical Exegesis and
the sect of being a secretive cult, and Manichaeanism was
Church Order,” in Paul Mirecki and Jason BeDuhn, eds.,
heavily persecuted from Theodosius I onward as the most
Emerging from Darkness: Studies in the Recovery of
Manichaean Sources (Leiden, 1997), pp. 33–88. The Acta Ar-
dangerous of Christian heresies. The standard punishment
chelai (attributed to Hegemonius) has been translated by
was the denial of rights of Roman citizenship, a punishment
Mark Vermes and annotated by Samuel N. C. Lieu, Acta Ar-
that prohibited members from making wills, which rendered
chelai (Turnhout, Belgium, 2001). A dictionary covering
any form of gift to the sect difficult. By the early Byzantine
genuine Manichaean documents in Syriac, Coptic, Greek,
period, the death penalty was commonly inflicted on the
and Latin was published as part of the Corpus Fontium
leaders of the sect. The church was highly active in promot-
Manichaeorum Project: Sarah Clackson, Erica Hunter, Sam-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANICHAEISM: MANICHAEISM AND CHRISTIANITY
5665
uel N. C. Lieu, and Mark Vermes, eds., Dictionary of
Hippo (c. 400 CE), Faustus, the itinerant Manichaean bishop
Manichaean Texts, vol. 1, Texts from the Roman Empire (Texts
originating from Milevis (Algeria), declared his acceptance
in Syriac, Greek, Coptic, and Latin) (Turnhout, Belgium,
of the preaching of Jesus and his belief in a kind of Trinity.
1998). A substantial collection of Manichaean texts from the
For many years the future Catholic bishop Augustine did the
Roman Empire in English translation can now be found in
same (cf., e.g., Confessions III.6.10).
I. Gardner and S.N.C. Lieu. eds., Manichaean Texts from the
Roman Empire (Cambridge, U.K., 2004). A detailed bibliog-
Mani himself believed he was promulgating a new uni-
raphy is also available: Gunner Mikkelsen, Bibliographia
versal religion that would supersede all others. The “prophet
Manichaica: A Comprehensive Bibliography of Manichaeism
from the land of Babylon” was born on April 14, 216 CE,
through 1996 (Turnhout, Belgium, 1997).
near the southern Mesopotamian town of Seleucia-
Studies
Ctesiphon on the Tigris River. His father’s name was Patt¯ıg
Samuel N. C. Lieu, Manichaeism in the Later Roman Empire and
or Patte¯g; in all probability the (Jewish) name of his mother
Medieval China, 2d ed. (Tübingen, Germany, 1992), gives
was Marjam (Mirjam). After receiving several revelations
a detailed overall survey of the history of the religion across
from his heavenly Twin, Mani started his missionary jour-
Eurasia; the sections on Egypt have been updated by Iain
neys inside and outside the Persian Empire in 240 CE, at first
Gardner and Lieu, “From Narmouthis (Medinet Madi) to
accompanied only by his father and two other members of
Kellis (Ismant el-Kharab), Manichaean Documents from
the Judeo-Christian (Elchasaite) sect of his youth.
Roman Egypt,” Journal of Roman Studies 86 (1996):
Following the example of the apostles of Jesus, mis-
146–169, and by the same two authors, Manichaean Texts
from the Roman Empire (New York, 2004). A thought-
sionaries were sent out, and Mani himself journeyed in 241
provoking study on the relationship between gnösis and asce-
CE by boat to India and up the Indus Valley to Turan, where
sis in Manichaeism is Jason BeDuhn, The Manichaean Body
he won over the king. Soon after the accession of Sha¯pu¯r I
in Discipline and Ritual (Baltimore, 2001). Studies in more
(242–273 CE) as the sole king of kings of the Persian Empire,
specialized aspects of the religion in the Roman Empire in-
Mani seems to have delivered to him his only Middle Persian
clude: François Decret, Aspects du manichéisme dans l’Afrique
writing, the Sha¯buhraga¯n. His admittance into Sha¯pu¯r’s en-
romaine (Paris, 1970); François Decret, L’Afrique manichéen-
tourage accorded him unique opportunities to propagate his
ne, Étude historique et doctrinale, 2 vols. (Paris, 1978.); and
new prophecy. After Sha¯pu¯r’s death, Mani also found a will-
Samuel N. C. Lieu, Manichaeism in Mesopotamia and the
ing ear with Horm¯ızd (O
¯ hrmazd, 272–273). At the begin-
Roman East (Leiden, 1999). A classic study of the influence
ning of the second year of the reign of Bahra¯m I (274–
of Manichaeism on Augustine’s theology, especially on his
concept of the “two cities,” is J. van Oort, Jerusalem and Bab-
276/7), this benevolent attitude changed. Karde¯r, the head
ylon: A Study into Augustine’s City of God and the Sources of
of the Zoroastrian magi, began to persuade the great king to
His Doctrine of the Two Cities (Leiden, 1991). The
take action against the new prophet. Mani was summoned
Manichaean Studies Newsletter, an important annual newslet-
before Bahra¯m, duly accused, put in chains, and tortured.
ter (with bibliographical details of the year’s publications)
After twenty-six days in prison, Mani died. In several
has been published by the International Association of
Manichaean sources his death is described as a crucifixion.
Manichaean Studies and Brepols (Turnhout, Belgium) since
Mani’s religion soon spread from Mesopotamia to the Atlan-
1988.
tic in the west and finally as far as the Pacific in the east.
SAMUEL N. C. LIEU (2005)
Although Mani failed to make his revelation the official
religion of Iran, he succeeded in what he really intended: the
establishment of a new world religion or church. The firm
interior organization of this church seems to date from
MANICHAEISM: MANICHAEISM AND
Mani’s times and, in essence, may even be a creation of the
CHRISTIANITY
prophet himself. The church was headed by Mani and later
The teaching of Mani (216–277 CE) was essentially Gnostic,
by his deputy archègos. Immediately following this archègos
its constituent elements deriving from Judaism, Judeo-
or princeps there were, in the order of three subordinate
Christianity, and Iranian religion, especially Zoroastrianism
ranks, the 12 apostles or teachers, the 72 bishops, and the
in its Zurwa¯nist form. It incorporated features from Marcion
360 presbyters. The fourth rank was constituted by the elect,
of Pontus (d. c. 160 CE) and from pluralistic Syriac Chris-
both men and women, and finally, the fifth rank consisted
tianity represented by Bardesanes (Bardaisan) of Edessa
of the wide circle of auditors. In order to firmly establish the
(154–222 CE). According to the Cologne Mani Codex and
doctrine of his church, Mani composed a sevenfold canon
several other primary texts discovered in Egypt, it is basically
of authoritative writings:
correct to see early Manichaeism as a kind of Christian here-
sy. Mani considered himself an apostle of Jesus Christ and,
1. The Living Gospel (or Great Gospel);
moreover, the Paraclete promised by Jesus. Within the
2. The Treasure of Life;
Roman Empire the Manichaeans claimed to be the true
3. The Pragmateia (or Treatise, Essay);
Christian believers (veri Christiani), while they saw the mem-
bers of the Catholic Christian Church as “semi-Christians.”
4. The Book of Mysteries (Secrets);
According to his Capitula, handed over by Augustine of
5. The Book of the Giants;
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5666
MANICHAEISM: MANICHAEISM AND CHRISTIANITY
6. The Letters;
Mani and his followers taught a cosmogony of a defi-
7. The Psalms and Prayers.
nitely dualistic kind: evil is an eternal cosmic force, not the
result of a fall. Two realms or kingdoms—that of light and
All of these writings only survive in fragmentary form, but
that of darkness, good and evil, God and matter—oppose
in many cases its Jewish and in particular (Judeo-)Christian
each other implacably. This dualism, however, is not the
parallels are evident. The discovery of the Cologne Mani
Hellenistic dualism of spirit and matter but one of two sub-
Codex shortly before 1970 produced a highly significant ex-
stances: the divine light is a visible, spatial, and quantifiable
tract from the first and most important of Mani’s writing,
element, as is the evil substance of darkness, the active princi-
that is, his Living Gospel.
ple of lust, the “thought of death.”
Like his followers in the West, Mani regarded himself
THE MYTH. In the kingdom of light the Father of Greatness
as a true disciple of Jesus: he assumed the title “apostle of
rules, and this kingdom is an extension of himself. It has four
Jesus Christ.” However, this title seems not to be fashioned
divine attributes (purity, light, power, wisdom), and the Fa-
after the example and role of the apostles of Jesus in the New
ther resides in his five intellectual powers or “limbs” (reason,
Testament Gospels. Mani preeminently followed in the foot-
mind, intelligence, thought, and understanding, which are
steps of the apostle Paul. In the case of Mani the concept of
otherwise substantially detailed as the five elements of living
apostle should be taken in an even wider sense. In the Co-
air, light, wind, water, and fire). Surrounding the Father are
logne Mani Codex, as in several other Manichaean writings,
the twelve aeons, equally distributed toward the four direc-
Paul functions as a link in a long chain of “apostles of truth.”
tions of heaven and refracted into myriads of “aeons of the
These apostles include such Jewish forefathers as Adam, Se-
aeons.”
thel, Enos, Sem, and Henoch, but also religious figures like
the Buddha and Zoroaster had been called to become the
Opposed to the kingdom of light is the realm of dark-
apostle for their own time. The idea of the cyclical incarna-
ness, a kingdom that is essentially the domain of evil matter.
tion of the true apostle (or prophet or savior or evangelist:
It is disorderly and dominated by the Prince of Darkness,
in many Manichaean texts these terms are interchangeable)
who is the product of (and even identified with) evil matter.
was well known in Judeo-Christian circles. Moreover it is
This kingdom also consists of five areas or worlds (dark rea-
likely that, for the Manichaeans, Mani was also the seal of
son, dark mind), which are also referred to as the five ele-
the prophets. Later on Muh:ammad seems to have adopted
ments of smoke, fire, wind, water, and darkness. In this area
this concept of being both the apostle (rasu¯l) of God and the
countless demons are actively present; they fight and devour
seal of the prophets.
each other. Because there was an accidental shift of these dis-
When Manichaeism moved east, much of its essential
organized movements, the Prince of Darkness once glimpsed
structure remained the same. In southern China, Mani was
the radiance of light, desired to possess its life, and therefore
presented as a reincarnation of Laozi, the founder of Daoism;
attacked the kingdom of light. In the ensuing struggle, the
to many others, he was the Buddha of Light. Yet eastern and
Father of Light called forth the Mother of Life, who in turn
western Manichaeism were to a certain extent identical,
evoked the First Man. This was the first series of “evoca-
though the eastern texts represent a much later and far more
tions.” After that, the First Man, the “firstborn” Son of God,
syncretistic form of Manichaeism. In all its varieties, howev-
was called forth and, being equipped with the five light pow-
er, the figure of Jesus had a certain place.
ers as his “sons” or “arms,” went into battle. But Primal Man
was defeated, and his fivefold armor or Living Soul was de-
In order to understand both Mani’s claim of being an
voured by the powers of evil. This being the case, the divine
apostle of Jesus Christ and the universal place of Jesus him-
Soul (also termed the Living Self that is suspended on the
self within the Manichaean system, some key elements of the
Cross of Light and, particularly in the West, personified as
Manichaean myth will be highlighted. According to this
the suffering Jesus, Jesus patibilis) was mixed with the dark
myth, a series of emanations took place in the heavenly
elements of matter and thus became in need of redemption.
world. From the Father of Greatness came forth the Messen-
ger of Light, and from him emanated Jesus the Splendor,
The First Man, being vanquished, lay unconscious in
who in turn brought forth the Light-Mind, or Light-Nous.
the depths. In order to redeem him, the Father of Light
This Nous called forth the Apostle of Light, and during the
called forth a second series of evocations: a new divine Trini-
course of world history this (heavenly) apostle became incar-
ty. First, the Father sent forth the Beloved of the Lights; from
nate in great religious leaders, such as the Buddha, Zoroaster,
him came the Great Builder; he in turn produced the Living
Jesus the Messiah, and Mani. When Mani assumed the title
Spirit. This Living Spirit (also termed the Father of Life) sent
of apostle of Jesus Christ, he actually considered himself an
his Call from the lowest boundary of the world of light to
apostle of Jesus the Splendor and not of the historical Jesus.
the First Man lying in the depths. First Man aroused from
The figure of Jesus the Messiah was, in fact, well known in
his unconscious state and responded by an Answer. Then the
Manichaeism, but in comparison to the other apostles, he
Living Spirit, together with its five sons and the Mother of
did not have any unique significance (as in mainstream
Life, descended to the First Man and led him up to the world
Christendom). He also was an apostle of the Light-Nous,
of light. To rescue the light still captured through the com-
and thus of Jesus the Splendor.
pound of the divine Soul with evil matter, the Living Spirit
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANICHAEISM: MANICHAEISM AND CHRISTIANITY
5667
constructed, with the help of its sons, ten heavens and eight
Adam and Eve. Hence man was fabricated by the demons,
earths.
but after the image of the Third Messenger (and so ultimate-
ly after the image of God), which the demons had seen on
It is especially noteworthy that, according to the
high. Man was thus rooted in two worlds, but at first he was
Manichaean cosmogonic myth, this act of creation is per-
unconscious of his high descent. However, Jesus the Lumi-
formed by a light god, not by an evil demiurge. Thus, in
nous descended to bring him the saving knowledge; this rev-
Manichaeism, unlike most other Gnostic systems, the struc-
elation by Jesus to Adam is the archetype of all future human
ture of the universe is divinely devised. In order to create the
redemption. Gradually this liberation will be achieved. In
cosmos, however, use had to be made of material of a mixed
order to bring about the redemption of the light, Jesus
substance (light and darkness). The sun and the moon are
evoked the Light-Mind, or Light-Nous (Intelligence). This
considered to be vessels of pure light, being made from the
Nous in turn summoned forth the Apostle of Light, who be-
particles of light completely unaffected by darkness. The
came incarnate in the world’s great religious leaders.
planets and stars, however, are evil rulers because they are
created from material contaminated with darkness.
The final stage of history will be introduced by the
With the world so constructed—as a well-ordered pris-
Great War between the forces of good and evil. When the
on for the forces of darkness and also as a place where the
church of the righteous ones triumphs, all the souls will be
divine Soul has been captured—the process of salvation
judged, and those of the chosen will rise to heaven. After that
could begin. To this end a third evocation of deities oc-
the world will be destroyed and purified by a fire lasting
curred. The Father of Greatness called forth the Third Mes-
1,468 years. All or most of the light particles will be saved;
senger or Ambassador, who was charged to extract and purify
evil matter, in all its manifestations and with its victims (the
the light still retained by the powers of darkness and con-
damned), will be forever imprisoned in a globe (bôlos, glo-
tained in their bodies. By taking advantage of the innate lust
bus). Then the separation of light and darkness will be ac-
of the male and female archons chained in the heavens, this
complished for all eternity.
Tertius Legatus and his female doublet, the Virgin of Light
This is an eclectic account of the myth. However com-
(also represented as the Twelve Maidens, each corresponding
plex its ramifications became in the course of many centuries,
to a sign of the zodiac), made them relinquish the light they
its essentials remained the same. It is Mani’s doctrine that
had devoured. It was concentrated in particular in their
there are two principles and three “moments”: the time be-
semen and in their wombs. The sins of the male archons fell
fore the commingling and the struggle, when the two king-
upon the earth when they saw the beautiful Maiden(s). Out
doms of light and darkness were opposed; the time of the
of that part of their semen that had dropped into water a
commingling, the present world’s existence; and future time,
monster arose, but this fearful beast was subjugated by the
in which the two kingdoms will again be (and now defini-
Adamas of Light. From the semen that had fallen on the dry
tively) separated. In essence this doctrine is typically Gnostic:
ground, five trees sprang up, and from them all other forms
the Nous (the heavenly revelation) rescues the Psyche (the
of plant life originated.
divine spark of light in man) from Hyle (evil matter).
When the female archons, pregnant by their own evil
nature, saw the naked form of the Third Messenger, they
SPREAD OF MANICHAEISM. In the fourth century Manichae-
were also agitated, and their fetuses fell down upon the earth.
ism made great strides in Egypt and North Africa. In 373
These abortions not only survived their premature births but
Augustine joined the sect in Carthage, and he remained an
also devoured the fruits of the trees that had grown out of
ardent follower of Manichaeism for more than ten years.
the semen of the male archons. Driven by sexual lust, they
Later on, during his career as a Catholic presbyter and bish-
united with each other and gave birth to the innumerable
op, he opposed his former coreligionists in a great number
species of animals now known. The light that was not saved
of writings. Nevertheless it is still debated whether the most
was thus transferred to the earth, where it is still scattered and
influential father of the Western church was also positively
bound in plants and, to a lesser degree, in the bodies of
influenced by Manichaeism. Many of Mani’s adherents be-
animals.
came refugees with the onslaught of the vandals in the course
of the fifth century CE. Hence in Rome, Pope Leo the Great
The next episodes of the Manichaean myth may be
(r. 440–461) actively sought out Manichaean refugees in
summarized, still with a certain emphasis on Christian paral-
order to suppress them. In 527 CE there were lawsuits against
lels, as succinctly as possible. In order to continue the libera-
them in Constantinople. However, Manichaeism survived in
tion of the light, the Third Messenger called forth the Col-
North Africa until at least the eighth century CE.
umn of Glory (who is also referred to as the New or Perfect
Man; cf. Eph. 4:12–13) and set in motion the work of “the
In the East, on the other hand, especially in Chinese
ships of light” (i.e., the sun and moon) in order to transport
Turkestan, there is evidence that Manichaeans were still ac-
the light to the New Paradise that had been built by the
tive in the thirteenth century. A Manichaean temple built in
Great Builder. This process frightened the powers of dark-
the fourteenth century is still standing on Hua-piao Hill not
ness, and in a desperate attempt to preserve some of the cap-
far from the modern city of Quanzhou on the South China
tive particles of light, they created the first human couple,
Coast.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5668
MANICHAEISM: MANICHAEISM IN CENTRAL ASIA AND CHINA
Statements by Catholic Christian writers in the Middle
thian language. He was accompanied by translators, which
Ages suggest that Manichaeism persisted in the West. The
explains why Manichaean texts in Parthian often show traces
Paulicians, the Bogomils, and the Cathari, as well as those
of direct translation from Mani’s original Syriac. Mar Ammo
who followed Priscillian were all charged with being
was also honored in later Manichaean tradition as the first
Manichaeans. In fact, all these authorities were using
missionary to cross the River Oxus into Khorasan.
Manichaean as a synonym for dualist, and any teaching that
Once established in the territories of the former Kushan
manifested a tendency toward dualism was accordingly called
Empire, Manichaeism came into competition and synthesis
Manichaean. The teaching of Priscillian (c. 370 CE) is by no
with Buddhism, and Manichaean texts in Parthian in partic-
means easy to define, but it is doubtful that the epithet
ular acquired a large number of Buddhist terms and con-
Manichaean is applicable. The Paulicians, first noted in Ar-
cepts, such as vairocana, parinirva¯n:a and sam:sa¯ra. In addi-
menia in the seventh century CE, seem to have been straight-
tion, Mani came to be worshiped as the Buddha of Light,
forward Gnostics; they had a direct influence on the Bo-
but the Feast of the Bema, which commemorates Mani’s
gomils, who emerged in Bulgaria in the tenth century. In the
death, remained a unique and important ceremony for the
eleventh century the Cathari began to achieve notoriety in
sect. At some point, Middle Persian-speaking Manichaeans
Italy, Germany, and France—being commonly called Albi-
also migrated into Central Asia, and the city of Merv proba-
gensians in France—but it has yet to be proved that there
bly became a merging point for both the Parthian-speaking
was an evident historical connection between any of these
and Middle Persian-speaking branches of the sect. As
and the ancient Manichaeans.
Manichaean missionaries moved eastward along the Silk
Road, many of their converts would have been Sogdians or
SEE ALSO Cathari.
Sogdian-speakers, and their religious texts were translated
into Sogdian, and also into Bactrian and Tocharian. Along
BIBLIOGRAPHY
the Silk Road, Manichaean missionaries probably performed
Koenen, Ludwig, and Cornelia Römer. Der Kölner Mani-Kodex.
a variety of roles, including those of musicians, scribes, and
Opladen, Germany, 1988.
information gatherers (especially on prices of goods and ex-
Leo I, Pope. Sermons and Letters against the Manichaeans. Edited
change rates). Manichaeism was unique among religions in
by Hendrik Gerhard and Johannes van Oort. Turnhout, Bel-
Central Asia in that it maintained three principal languages
gium, 2000.
(Middle Persian, Parthian, and Sogdian) for its scripture.
Lieu, Samuel N. C. Manichaeism in the Later Roman Empire and
There are some examples of texts (such as Mani’s Evangeli-
Medieval China. Tübingen, Germany, 1992.
um, of which only a few leaves have survived) that are diglot-
Oort, Johannes van. Mani, Manichaeism, and Augustine. Tbilisi,
tal (Middle Persian and Sogdian).
Republic of Georgia, 2001.
At the end of the seventh century CE, an important
Oort, Johannes van, Otto Wermelinger, and Gregor Wurst, eds.
schism broke out between the followers of Mihr (the Mihrij-
Augustine and Manichaeism in the Latin West. Leiden and
ja) and those of Miqlas (the Miqlasijja) in Mesopotamia over
Boston, 2001.
how strictly certain rules governing daily living should be fol-
Polotsky, Hans Jacob. Abriss des manichäischen Systems. Stuttgart,
lowed. This dispute was continued by Manichaean commu-
1935. Reprinted in Polotsky, Collected Papers, pp. 699–714.
nities in Central Asia, which generally followed the stricter
Jerusalem, 1971.
Miqlasijja branch. The Sogdian Manichaeans also paid con-
Rudolph, Kurt. Gnosis: The Nature and History of an Ancient Reli-
siderable attention to the hierarchical distinction between
gion. Edinburgh, 1983.
the elect who were committed to a life of ascetical living and
JOHANNES VAN OORT (2005)
the hearers who were members of the second rank and who
were more involved with commercial activities along the Silk
Road. The elect members who were mainly priests had to
rely on the hearers for their sustenance and in return they
MANICHAEISM: MANICHAEISM IN CENTRAL
absolved the hearers from their sins. The religion became
ASIA AND CHINA
synonymous with the dynd’r or dyn’br (Sogdian for “elect”),
The diffusion of Manichaeism in Central Asia is document-
and when the Chinese Buddhist pilgrim Xuanzang traversed
ed only in Manichaean historical sources found in Chotcho
Bactria and Tocharistan circa 630 CE, he noted that the reli-
near Turfan by German explorers at the beginning of the
gion of the Tinaba was a heresy among the Persians. Recent
twentieth century. These were recovered in fragmentary con-
archaeological discoveries suggest that Manichaeism was al-
dition, but they clearly once belonged to handsome codices
ready established in the Turfan area prior to the conversion
produced in the Uighur kingdom in the tenth and eleventh
of the Uighur Khaghan in 762 CE.
centuries CE, when Manichaeism was the dominant state reli-
gion. From these historical texts we learn that the religion
was under the leadership of Mar Ammo, one of the best
known of Mani’s disciples, who was chosen for the evangel-
THE EARLY HISTORY OF MANICHAEISM IN CHINA. Little
ization of Eastern Iran because of his knowledge of the Par-
was known of the precise history of Manichaeism in China
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANICHAEISM: MANICHAEISM IN CENTRAL ASIA AND CHINA
5669
until the discovery of genuine Manichaean texts in Chinese
Central Asia. Some canonical Manichaean texts (non-extant)
from the Cave of a Thousand Buddhas in Dunhuang in the
were listed among the Nestorian Christian texts translated
first decade of the twentieth century. These came as a sur-
by the famous Nestorian missionary Jing-jing, which may ex-
prise to Sinologists who believed that traditional China was
plain why the sacred writings of the Nestorians and
highly impervious to foreign religious influences other than
Manichaeans in Chinese shared some common theological
those of Buddhism and Islam. No account of the gradual dif-
vocabulary. Beyond that, there was very little in common be-
fusion of the religion from Eastern Iran to China via the Silk
tween the two sects, except that the Chinese authorities con-
Road had come down to us from a Manichaean source. Chi-
sidered both to be of Persian origin until the Nestorians peti-
nese sources mention the sending of Mozak (a Manichaean
tioned successfully in 745 to have the epithet “Persian”
priest of a high grade) by Tes, the King of Cazanistan and
replaced by “Roman” in the title of their religion.
Tocharistan, to the Tang court in 719 CE. Mozak was report-
MANICHAEISM AS THE OFFICIAL RELIGION OF THE UIGHUR
edly well-received by the court because of his skills in astrolo-
KINGDOM. A major landmark in the history of Manichaeism
gy. Moreover, the Manichaeans in China preserved the tradi-
in China was the conversion of Moyu (Bogu) Khan of the
tion that the spread of the religion in the Middle Kingdom
Uighur Turks to the religion in 762. Since 755, Tang China
was brought about by the earlier arrival of Mozak during the
had been fatally weakened by the so-called An Lushan rebel-
reign of Emperor Gaozong of the Tang dynasty. Mozak’s
lion; the Uighurs became the only effective fighting force in
pupil, Mihr-O
¯ hrmazd (Mi-we-mo-ssu), who held the rank
the service of the Tang government, and their troops garri-
of aftadan (fu-to-tan, or episcopus), later also came to China
soned the sensitive frontier between China and Tibet. The
and presented himself to the royal court, where he was grant-
conversion that was proclaimed on a trilingual (Old Turkish
ed an audience by the Empress Wu. According to later Bud-
in runic script, Sogdian, and Chinese) inscription found at
dhist sources in Chinese, Mihr-O
¯ hrmazd presented to the
Karabalghasun at the end of the nineteenth century proudly
court a Manichaean work entitled the Su¯tra of the Two prin-
announces the adoption of strict prohibitions, such as vege-
ciples, which was to become the most popular Manichaean
tarianism and the abstention from alcohol. Under the pa-
scripture in China.
tronage of the Uighurs, Manichaean temples were permitted
to be established in both the capitals of China (Chang’an and
The religion was clearly popular among the Sogdian
Luoyang), as well as four other major cities in North and
(i.e., East Iranian) merchants and there were attempts to win
Central China. The sudden collapse of the Uighur Empire
Chinese converts. In 731 CE a Manichaean priest was asked
in 840 led to the closure of most of the temples, and after
to provide a summary of the main tenets of the religion. It
the proscription against Buddhism and other foreign reli-
is interesting to note that the version of the summary (the
gions in 843, Manichaean priests were publicly humiliated
Compendium of the Teachings of Mani the Buddha of Light)
and executed. The remnants of the Uighur Turks were reset-
that was found among the Dunhuang documents already
tled in the region round Chotcho.
shows clear attempts to depict Manichaeism as a form of
Buddhism; Mani was seen as an avatar (reincarnation or re-
Manichaeism continued to flourish and followers were
manifestation) of Laozi, the traditional founder of Daoism
rewarded with productive agricultural lands, which, despite
in China. Many Chinese believed that Laozi had not died
the religion’s rules against intoxication, were used for the cul-
but had gone to the west, where he reappeared as the Bud-
tivation of wine grapes. The brief period of foreign patronage
dha. This legend was used by the Manichaeans as a passport
probably only lasted a century, but it was the period in which
to the multireligious scene of Tang China. The legend was
most of the Manichaean texts that were recovered by the
also welcomed by syncretistic Daoists who were keen to ab-
German Turfan expeditions were produced by highly profes-
sorb the new religion into the mainstream of Chinese reli-
sional scribes and artists.
gions through this putative connection with the founder of
MANICHAEISM AS A SECRET RELIGION IN CHINA. The reli-
Daoism. The response of the Tang government to the Com-
gion reemerged during the Five Dynasties period (907–960)
pendium, however, was the prompt passage of a law in 731
as a popular secret religion in Central and, in particular,
that restricted the dissemination of the religion among for-
South China. The earlier use of the myth of the Buddha
eigners in China and banned its spread among the indige-
Mani as an avatar of Laozi enabled the Manichaeans to pass
nous Chinese. By then a substantial number of Manichaean
themselves off as Buddhists or as Daoists. The religion was
texts had already been translated into Chinese from Parthian
particularly popular south of the Yangtze, especially in and
and Sogdian; one of the longest Manichaean texts in Chi-
around the cosmopolitan port city of Quanzhou (Zaitun in
nese, a version of the Sermon of the Light-Nous (a popular
Western medieval sources). The followers of the religion
Manichaean text in Central Asia) contains a character that
were sufficiently well connected for some of their scriptures
was forbidden after the reign of Empress Wu.
to be accepted into the Daoist canon in 1019 (since then re-
moved).
In addition, the third of the three Chinese texts from
Dunhuang, the Hymnscroll, contains hymns that are both
In 1120 a major rebellion took place under the leader-
transliterated and translated from Parthian, indicating an
ship of Fang La, the owner of a lacquer grove, in protest
early period of contact with Manichaean communities in
against a special impost on luxury goods. It was widely be-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5670
MA¯N:IKKAVA¯CAKAR
lieved by the authorities that many of the rebels were mem-
daily as a Buddhist temple in which Mani is worshiped as
bers of secret religious sects (castigated by authorities as “veg-
a local Buddhist deity with special powers.
etarian demon worshipers”) and that their meeting places
SEE ALSO Chinese Religion, overview article; Mani.
were loci of political protest. This led to widespread crack-
downs on unauthorized religious assemblies and the confis-
BIBLIOGRAPHY
cation of noncanonical scriptures. A list of the latter was
Primary Sources
given in a memorial of 1120, which shows that much of the
Of the three genuine Chinese Manichaean texts recovered in
typical Manichaean terminology found in texts translated
Dunhuang, the longest is a version of the Sermon of the Light-
from Central Asian languages during the Tang period was
Nous, which is well represented in Parthian, Sogdian, and
still in use by members of the sect in South China. An ex-
Old Turkish. The best edition, translation, and study re-
change of letters between a Daoist abbot of a former
mains Edouard Chavannes and Paul Pelliot, Un traité
Manichaean temple and a Confucian scholar, composed in
manichéen retrouvé en Chine I (Paris, 1912; reprinted from
Journal Asiatique [1911]: 499–617). The second longest, the
1204, shows that the strict commandments of the sect (on
Hymnscroll, was translated by Tsui Chi as “Mo-ni chiao hsia-
vegetarianism and sexual abstinence, as well as a requirement
pu tsan, the Lower (Second?) Section of the Manichaean
to pray seven times a day) still had admirers in Central
Hymns,” Bulletin of the School of Oriental and African Studies
China, though there were few devotees.
11 (1943): 174–219. The third, known commonly as the
Compendium, was partially translated by Gustav Haloun and
MANICHAEISM IN SOUTH CHINA UNDER THE MONGOLS.
W. B. Henning as “The Compendium of the Doctrines and
The Mongol conquest of South China in 1280 brought a
Styles of the Teaching of Mani, the Buddha of Light,” Asia
century of freedom of persecution for the Manichaeans in
Major n.s. 3 (1952): 184–212. This text was more complete-
that region. It is highly probable that the secretive “Chris-
ly translated by Nahal Tajadod, Mani, le Bouddha de Lu-
tians” whom Marco Polo and his uncle Maffeo encountered
mière: Catéchisme manichéen chinois (Paris, 1990). All three
in Fuzhou were in fact Manichaeans. Nestorianism also re-
texts were translated into German by Helwig Schmidt-
turned to China; many of the Mongol administrators and
Glintzer, Chinesische Manichaica: Mit textkritischen An-
military commanders were Turkic-speaking Nestorians.
merkungen und einem Glossar (Wiesbaden, 1987).
Bishop Mar Solomon (d. 1313) is given the title “Bishop of
A small number of Manichaean fragments in Chinese were also
the Manichaeans and Nestorians of the various circuits of
found in Turfan. On these see Th. Thilo, “Einige
Jiangnan” on a bilingual Turko-Syriac (i.e., Turkish written
Bemerkungen zu zwei chinesisch-manichäischen Textfrag-
menten der Berliner Turfan-Sammlung,” in Horst Klengel
in Nestorian Syriac script with Syriac loanwords) and Chi-
and Werner Sundermann, eds., Ägypten, Vorderasien, Turfan:
nese inscription discovered during the Sino-Japanese War
Probleme der Edition und Bearbeitung altorientalischer Hand-
(1937–1945) at Quanzhou. It was under the Mongols that
schriften (Berlin, 1991), pp. 161–170.
the Manichaeans took over a Buddhist temple on Huabiao
Secondary Sources
Hill in Jinjiang near Quanzhou and refurbished it as a
The second and third parts of the monograph by Edouard Cha-
Manichaean temple with a statue of Mani as the Buddha of
vannes and Paul Pelliot, Un traité manichéen retrouvé en
Light. This statue, which was recovered from a former
Chine II (Paris, 1913; reprinted from Journal Asiatique
Manichaean temple in North China, shows many similar
[1913]: 99–199 and 261–394), remain a mine of high quali-
features, especially in the design of its garments, with the fa-
ty information. Samuel N. C. Lieu, Manichaeism in the Later
mous portrait of a Manichaean leader as depicted on a wall
Roman Empire and Medieval China (Tübingen, Germany,
painting from Chotcho that was destroyed in World War II.
1992), pp. 219–304, gives a general study. A useful study on
Manichaeism among Sogdian merchants is Étienne de la
The Nestorian community in South China, judging
Vaissière, Histoire des marchands sogdiens (Paris, 2002). Peter
from the abundant remains of their funerary monuments in
Bryder, The Chinese Transformation of Manichaeism: A Study
syncretistic Buddhist and Christian art forms and inscrip-
of Chinese Manichaean Terminology (Löberöd, Sweden,
1985), is a seminal work, and the same author’s “. . .Where
tions in half a dozen languages (including Chinese and
the Faint Traces of Manichaeism Disappear,” Altorientalische
Turko-Syriac), was clearly reintroduced from Central Asia by
Forschungen 15, no. 1 (1988): 201–208, traces the history of
Mongols to serve as administrators. Their presence in Quan-
the sect in South China. More specialized aspects of the his-
zhou and their high social status probably enabled the
tory of the sect in China are dealt with by Samuel N. C. Lieu
Manichaeans to claim protection as a privileged foreign reli-
in Manichaeism in Central Asia and China (Leiden, Nether-
gion. However, as soon as the Mongols were expelled in
lands, 1998). For bibliographic information, see Gunner B.
1368, Manichaeism found itself once more under persecu-
Mikkelsen, Bibliographica Manichaica: A Comprehensive Bib-
tion with the accession of a more inward-looking Ming
liography of Manichaeism through 1996 (Turnhout, 1997),
dynasty. Nevertheless, as late as the fifteenth century, the fol-
especially pp. 281–301.
lowers of the sect would still count Jesus and the “primal
SAMUEL N. C. LIEU (2005)
man” among the religion’s chief deities. The religion proba-
bly finally died out in the first decades of the twentieth cen-
tury in South China. The temple on Huabiao Hill, which
MA¯N:IKKAVA¯CAKAR (ninth century CE), Tamil
local worshipers call a cao’an (thatched nunnery), is still used
poet-saint devoted to the god S´iva. Ma¯n:ikkava¯cakar (“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
MANISM
5671
whose speech is like rubies”) is generally acknowledged to
the far more popular Tiruva¯cakam, it comprises the eighth
have been the greatest poet of Tamil S´aivism. For at least the
section of the twelve-part Tirumurai, the canonical poetry
past thousand years he has also enjoyed the status of a saint
of Tamil S´aivism.
in South Indian temples consecrated to S´iva, where one fre-
In addition to the deep reverence many Tamils have for
quently sees his image and hears his hymns sung by profes-
the Tiruva¯cakam, the cult of the saint is still prominent at
sional reciters (o¯tuva¯rs) as part of the regular temple ritual.
several locations in modern Tamil Nadu. Especially note-
Ma¯n:ikkava¯cakar probably flourished about the middle
worthy is the S´r¯ı A¯tmana¯tacuva¯mi temple in Avadayarkoyil,
of the ninth century. He was born in the brahman settlement
marking the site of Ma¯n:ikkava¯cakar’s initiation. Here the
at Tiruva¯tavu¯r, a village near Madurai. According to the
saint is ritually identified with the god, for only the saint’s
Tiruva¯tavu¯rar Pura¯n:am, a fifteenth-century hagiography, he
image, decorated to look like various forms of S´iva, is carried
was a precocious child and at an early age entered the service
in procession at festivals. Also, both major annual festivals
of the Pandya king at Madurai; there he soon became prime
of this temple conclude with a dramatic ritual reenactment
minister. His high position notwithstanding, Ma¯n:ikkava¯-
of Ma¯n:ikkava¯cakar’s initiation by S´iva.
cakar harbored religious longings that remained unfulfilled
until, while on a trip to Perunturai (modern-day Avada-
SEE ALSO S´aivism, articles on Na¯yana¯rs, S´aiva Siddha¯nta;
¯
¯
yarkoyil in Pudukkottai District), he unexpectedly met and
Tamil Religions.
was initiated by a guru who was none other than S´iva him-
self. This abrupt change led to a series of bizarre and amusing
BIBLIOGRAPHY
incidents revolving around the interactions of Ma¯n:ik-
Besides numerous Tamil editions of the Tiruva¯cakam, there have
kava¯cakar kar, the Pandya king, and S´iva in various guises—
been several translations of the text into English and Ger-
all counted among S´iva’s “sacred sports” as narrated in the
man. The first English translation was that of G. U. Pope,
Tiruvil:aiya¯t:al Pura¯n:am, the sacred history of the great
The Tiruvaçagam or “Sacred Utterances” of the Tamil Poet,
M¯ına¯ks:¯ı-Sundare´svara temple in Madurai.
Saint and Sage Manikkavaçakar (1900; reprint, Madras,
1970). While Pope’s translation is in a late Victorian style of
After gaining release from the king’s service, Ma¯n:ik-
English poetry that is now outdated, his work contains the
kava¯cakar is reputed to have visited several shrines of S´iva in
Tamil text and a lengthy introductory “appendix” that is still
the Tamil country, composing hymns as he went. He even-
useful. A translation into more modern English by a Tamil
tually settled in Chidambaram, site of the Nat:ara¯ja temple.
devotee of S´iva is Pathway to God through Tamil Literature,
Here he composed more poems, defeated Buddhists from
vol. 1, Through the Thiruvaachakam, translated and edited by
Lanka in a debate, and finally, according to the hagiography,
G. Vanmikanathan (New Delhi, 1971). The translator’s
100-page introduction interprets the Tiruva¯cakam as a
disappeared into the inner sanctum of the temple, having
“handbook of mystical theology.” A recent study that dis-
merged with the god.
cusses Ma¯n:ikkava¯cakar and the religio-historical context of
Two works are ascribed to Ma¯n:ikkava¯cakar. His pre-
his major work is my own Hymns to the Dancing S´iva: A
mier poem is the Tiruva¯cakam (Sacred speech), a collection
Study of Ma¯n:ikkava¯cakar’s Tiruva¯cakam (Columbia, Mo.,
of fifty-one hymns addressed to S´iva. The Tiruva¯cakam dis-
1982).
plays a rich variety of poetic forms skillfully utilized. Some
New Sources
of the poems are based on women’s folk songs that accompa-
Sivapriya. True History and Time of Manikkavasaghar from His
ny certain domestic activities or village games. In these in-
Work. Delhi, 1996.
stances, form and theology coincide, for in the Tiruva¯cakam
GLENN E. YOCUM (1987)
Ma¯n:ikkava¯cakar typically casts himself as a female who is in
Revised Bibliography
love with S´iva. The hymns of the Tiruva¯cakam have long
been venerated by Tamil speakers not just for their musicali-
ty but also for their paradigmatic expression of devotion.
These hymns frequently give voice to the intense emotions
MANISM (from Lat. manes, “departed spirit, ghost”) was
of longing for, separation from, and union with the deity.
a theory of the origin of religion briefly advocated in the late
They celebrate a god who overwhelms his devotee, resulting
nineteenth century by the popular British philosopher Her-
in an experience of melting and surrender. Viewed historical-
bert Spencer (1820–1903) and by one of his disciples, the
ly, the Tiruva¯cakam forms a bridge between early Tamil de-
Canadian-born Grant Allen (1848–1899). It bears no rela-
votional poetry with its inheritance of forms and images
tion to, and should not be confused with, theories based on
drawn from the Can˙kam period, and the later systematic
the concept of mana.
treatises of the Tamil S´aiva Siddha¯nta school of philosophy.
That the spirits of the dead occupy an important place
Ma¯n:ikkava¯cakar’s other work, the Tirukko¯vaiya¯r, is a
in the history of religion is verifiable simply by observation.
poem of four hundred quatrains modeled on Can˙kam akam
All primal and many later cultures have regarded the dead—
(“inner,” i.e., love) poetry. Ostensibly an erotic poem, the
and particularly the newly dead—as continuing to be active
Tirukko¯vaiya¯r has traditionally been interpreted as an allego-
and concerned members of their respective families. Having
ry on the relationship between S´iva and the soul. Along with
passed beyond the limitations of earthly life, they are in pos-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5672
MANISM
session of power greater than that of mortals. This power
In 1862 Spencer published the first volume of his mas-
may be turned to the advantage of the living if the memory
sive composite work of “sociology,” appropriately called First
of the dead is respected and offerings continue to be made
Principles (these principles were, however, greatly revised in
at the graveside or elsewhere. The unburied or uncremated
subsequent editions). There he stated:
dead, who have not been sent into the afterlife with the prop-
er rituals, or those neglected by their families, are, on the
As all ancient records and traditions prove, the earliest
rulers are regarded as divine personages. The maxims
other hand, liable to be dangerous. Always, however, they are
and commands they uttered during their lives are held
believed to occupy a relatively lowly position in the supernat-
sacred after their deaths, and are enforced by their di-
ural hierarchy. They have power, but their power is limited
vinely-descended successors; who in their turn are pro-
as a rule to the circles within which they moved while still
moted to the pantheon of the race, there to be wor-
alive. Naturally, those who possessed greater power and in-
shipped and propitiated along with their predecessors;
fluence during their lifetimes (chieftains and kings, for in-
the most ancient of whom is the supreme god, and the
stance) were held to wield greater, though still limited, power
rest subordinate gods. (Spencer, First Principles, Lon-
after death.
don, 1862, pp. 158–159)
The first attempt to link belief in the power of departed
This was, in essence, Spencer’s theory of what subsequently
spirits with the world of religion was made in the early third
came to be called “manism,” also known as the “ghost theo-
century BCE, by the Greek writer Euhemerus (c. 340–260
ry” of the origin of religion.
BCE), in his Hiera anagraph¯e (Sacred history). Euhemerus
Following the publication in 1876 of the first volume
claimed that all the gods had been prominent men and
of Spencer’s Principles of Sociology, in which the theory was
women of their own day, revered when alive and worshiped
again stated, E. B. Tylor made perhaps his only entry into
after death. In fact, of course, examples abound in societies
the field of public controversy. He reviewed Spencer’s book
past and present of human beings accorded divine honors
in the journal Mind (2, no. 6, April 1877, pp. 141–156);
after death, and similar theories have often been put forward
Spencer replied in the same journal (pp. 415–419), with a
to account for the otherwise obscure origins of several deities.
further rejoinder by Tylor (pp. 419–423), by Spencer again
Snorri Sturluson in his Prose Edda, for example, traced the
(pp. 423–429), and a final short contribution by Tylor
ancestry of Þórr (Thor) and Óðinn (Odin) back to the heroes
(p. 429). Tylor’s contention was that “Mr. Spencer seems to
of the Trojan War. This type of explanation is generally
stretch the principle of deities being actual ancestors deified
called “euhemerism,” after its first advocate.
somewhat far,” that his contentions often could not be test-
But euhemerism seeks not to account for the origins of
ed, and that when they could, his cases “hardly look encour-
religion as such but only for the worship of particular deities.
aging.” His theory, Tylor concluded, was “in conflict not
The theory is certainly sound, if kept within appropriate lim-
merely with the speculations of mythologists, but with the
its, since the deification process is well attested historically.
canons of sober historical criticism.” Spencer, who did not
Manism, on the other hand, sought to explain—or to explain
like to be criticized and seldom ventured into public contro-
away—the whole of religion on this one principle.
versy, nevertheless penned a reply, suggesting that Tylor ac-
tually was in agreement with him “in regarding the ghost-
Herbert Spencer’s essay “Manners and Fashion” was
theory as primary and other forms of superstitions as derived
first published in the Westminster Review in April 1854, thus
. . . [although] it appears that he does not hold this view
antedating E. B. Tylor’s Primitive Culture (London, 1871)
in the unqualified form given to it by me.” Tylor answered,
by seventeen years. In it, Spencer claimed to have established
virtually accusing Spencer of plagiarism on some points, but
a close relation between “Law, Religion, and Manners,” in
stating that although Spencer had the right to hold his “ghost
the sense that those who presided over these three areas of
theory” (which closely resembled the theory put forth by Eu-
human activity (“Deity, Chief, and Master of the Ceremo-
hemerus), “I look on this theory as only partly true, and ven-
nies”) were identical. Reflecting further on the role of chiefs
ture to consider Mr. Spencer’s attempt to carry it through
and medicine men in primitive belief, Spencer came to the
unreservedly as one of the least satisfactory parts of his sys-
conclusion that “the aboriginal god is the dead chief: the
tem.”
chief not dead in our sense, but gone away, carrying with
him food and weapons to some rumoured region of plenty,
The trouble was that it was so hard to envisage any pro-
some promised land, whither he had long intended to lead
cess by which ghosts could become the other inhabitants of
his followers, and whence he will presently return to fetch
the spiritual world. Andrew Lang sketched the broad outlines
them. This hypothesis, once entertained, is seen to harmo-
of this hypothetical process: “The conception of ghosts of the
nize with all primitive ideas and practices” (Spencer, Essays,
dead is more or less consciously extended, so that spirits who
vol. 3, London, 1891, p. 7). Thus humankind’s earliest deity
never were incarnate as men become credible beings. They
had been a deified “big man,” a deceased chief, whose power
may inform inanimate objects, trees, rivers, fire, clouds,
had been sufficiently great to have become a tradition and
earth, sky, the great natural departments, and thence poly-
whose power was believed still to be operative from the other
theism results” (Cock Lane and Common Sense, London,
side of the gulf between life and death.
1894, p. 339). This Lang did not accept. He was moving
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANITOU
5673
steadily in the direction of his theory of the existence of “high
and their earthly representatives, namely kings” (p. 7). But
gods” and was disposed to question not only Spencer’s
this connection was at best oblique.
“ghost theory” but also Tylor’s theory of animism (which re-
Summing up, we may say that what binds together Eu-
sembled Spencer’s theory on certain points) as being inade-
hemerus and Herbert Spencer (for manism might well also
quate explanations of the origin of the concept of deity. Lang
be called neo-euhemerism) marks a genuinely important as-
appears actually to have believed in ghosts—which neither
pect of the history of religion. It cannot, however, be serious-
Spencer nor Tylor did—and was a keen psychical researcher
ly put forward as the origin of religion per se without very
(or at least a theorist about the researches of others). He was
serious distortion. This was true even in the high period of
unable to discern any connection between ghosts and the
evolutionary theory; today, Spencer’s manism remains no
higher gods, though “a few genuine wraiths, or ghosts . . .
more than a historical curiosity.
would be enough to start the animistic hypothesis, or to con-
firm it notably, if it was already started” (ibid., p. 346).
SEE ALSO Ancestors; Preanimism; Spencer, Herbert.
Although Herbert Spencer was enormously widely read
in the late nineteenth and early twentieth centuries, his pop-
BIBLIOGRAPHY
ularity was due to the completeness of his system of “synthet-
The fullest expression of Herbert Spencer’s theory is in his Princi-
ic philosophy” rather than to his theory of manism, which
ples of Sociology, vol. 1 (London, 1876), pp. 304–440. For a
won very few adherents. But in 1897 Grant Allen produced
good short account of Spencer’s system of thought, see J. W.
his book The Evolution of the Idea of God (abr. ed., London,
Burrow’s Evolution and Society: A Study in Victorian Social
Theory (Cambridge, 1970), pp. 179–227. On Grant Allen,
1903; reprint, London, 1931), which accepted the manism
see Edward Clodd’s Grant Allen: A Memoir (London, 1900),
theory with very few modifications. Allen maintained that
pp. 142–147, and Allen’s own The Evolution of the Idea of
“in its simplest surviving savage type, religion consists whole-
God, new ed. (London, 1931). See also Henri Pinard de la
ly and solely in certain acts of deference paid by the living
Boullaye’s L’étude comparée des religions, 3d ed., vol. 1, Son
to the persons of the dead” (1931 ed., p. 18). But religion
histoire dans le monde occidental (Paris, 1919), pp. 381–382.
is not mythology; indeed, Allen, following Spencer, insisted
Reference may also be made to the series of articles “Ances-
that mythology, cosmogony, ontology, and ethics were all
tor-Worship and Cult of the Dead,” by William Crooke and
“extraneous developments,” which sprang from different
others, in the Encyclopaedia of Religion and Ethics, edited by
roots and had “nothing necessarily in common with religion
James Hastings, vol. 1 (Edinburgh, 1908), pp. 425–467; in
proper” (ibid., p. 25). Religion, then, had developed from
discussing Spencer’s theory, Crooke comments, “Needless to
corpse worship to ghost worship and then to shade worship.
say, these views have not met with general acceptance”
(p. 427).
All else had developed later and need not be considered as
an essential part of religion.
ERIC J. SHARPE (1987)
Writing to Allen in 1892, James G. Frazer had stated
his agreement with the manism thesis: “so far as I believe an-
cestor-worship, or the fear of ghosts, to have been on the
MANITOU is the Algonquian name for a powerful and
whole the most important factor in the evolution of religious
dangerous entity, especially one who appears in a nonhuman
belief” (quoted in Edward Clodd, Grant Allen: A Memoir,
form and who controls a vital human resource, such as a
London, 1900, p. 145). Others at the time certainly con-
food, medicine, pathway, or premonition. Although the
curred, wholly or in part, though they preferred the more
numbers and types of manitous are believed to be indefinite
comprehensive term animism to describe the same set of phe-
and manifold, some common examples include animals,
nomena and recognized that the theory of manism could ac-
lakes, rapids, cliffs, winds, thunders, inspirations, visions,
commodate other spirit phenomena only with the greatest
and dreams. Best translated as “spirit,” manitou also refers to
difficulty.
an individual’s seat of personhood and agency. While the
Manism in the form proposed by Spencer and Allen was
term originates specifically from the Algoquian-speaking
too narrow to account for the genesis of more than a certain
tribes of the Great Lakes and Saint Lawrence River valley,
selection of religious phenomena. It therefore appealed to
the concept is ubiquitous among all indigenous peoples of
very few scholars. Exceptions included, however, Julius Lip-
the Great Lakes and Eastern Woodlands. Known by other
pert (1839–1909) of Berlin, who applied it to the biblical
names, including oki, pilotois, and powwow in the various
material in Der Seelenkult in seinen Beziehungen zur althe-
languages of this vast region, manitou is the more prominent
bräischen Religion (Berlin, 1881) and other works produced
term among indigenous peoples and scholars alike.
during the 1880s. It might also be argued that the manism
The concept of manitou reflects an anthropomorphic
theory exercised a certain indirect influence on the Myth and
outlook shared by the indigenous peoples of the Great Lakes
Ritual school. In his book Kingship (London, 1927), Arthur
and Eastern Woodlands, according to which all living things
M. Hocart (1883–1939) stated categorically that “the earliest
possess the same fundamental human characteristics. Rather
known religion is a belief in the divinity of kings . . . in the
than drawing sharp ontological distinctions between differ-
earliest records known, man appears to us worshiping gods
ent classes of beings, such as humans, gods, plants, and ani-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5674
MANITOU
mals, indigenous peoples of the region endow every living
As they view all spirits within the same ontological
thing with the same type of tangible life force, or spirit, with
frame of reference, indigenous peoples apply ordinary social
the conjoined sense of personhood and power. According to
protocols of exchange and reciprocity to guide and interpret
this perspective, all beings possess similar (human) needs,
their interactions with manitous. According to the ethics of
emotions, motivations, and behaviors.
reciprocal gift exchange, in lieu of an even trade, material
goods are exchanged for political capital—that is, in ex-
Conversely, the physical appearance of any particular
change for honor and respect. Consequently, these societies
living thing is understood as a nonessential, sometimes im-
are led traditionally by the accomplished hunters, fishermen,
permanent, feature of the person. This idea is evident in the
healers, and orators of their communities, that is, those who
indigenous oral traditions of the Great Lakes and Eastern
amass honor in return for the food, medicine, wisdom, and
Woodlands, where metamorphosis is a recurring theme.
other precious commodities that they provide.
Some narratives, for instance, describe the circumstances in
which certain ancestors transmogrified into the cliffs, lakes,
Likewise, indigenous peoples pay homage to the nonhu-
hills, and other prominent physical features of the environ-
man forces to which they attribute their fortunes and misfor-
ment. Other stories relate occasions in which animals have
tunes. Thus, in fishing, hunting, healing, traveling, and all
transmogrified into human forms.
other important enterprises that are subject to fortuitous cir-
cumstances, indigenous peoples seek the aid or forbearance
It is traditionally believed that while a person dreams the
of associated spirits by presenting prayer, song, tobacco, or
spirit wanders from the body and that at death it departs for
other ceremonial offerings. By placing tobacco in a lake at
the land of the dead or moves into a newborn’s body. Thus
the outset of a fishing expedition, for instance, the fisherman
it is the spirit that ultimately defines the person. Conse-
intends to compel the lake manitou to reciprocate by releas-
quently, it is difficult and misleading in this context to speak
ing its bounty.
of different classifications of manitous based on appearances,
In many of these traditions, an individual seeks his or
since these qualitative differences belie a common essential
her own personal spirit helper by performing a vision quest,
character that indigenous peoples confer to all living things.
often at the time of adolescence. Upon envisioning an eagle,
But precisely what things, according to this perspective,
bear, thunder, or some other manitou while fasting in isola-
are living? Given the variability that they associate with life-
tion, the quester finds a charm that represents the manitou,
forms, it is perhaps not surprising that the indigenous peo-
such as a feather, claw, bone, shell, or stone, which he or she
ples of the Great Lakes and Northeast Woodlands detect and
thenceforth carries in a medicine bundle.
classify sprits according to quantitative rather than qualita-
The anthropomorphic outlook embraced by the indige-
tive measures. While all living things are persons, according
nous peoples of the Great Lakes and Eastern Woodlands,
to this perspective, a living presence itself is indicated by
which underscores the mutability of life forms, reflects a reli-
agency—that is, by a movement, force, or power of any kind.
gious orientation that is ultimately grounded in a method,
Hence, all powers are persons.
rather than an orthodoxy, for deciphering spirits. Although
While there are an indefinite number of living entities,
the characteristics of specific manitous are certainly conveyed
it is the powerful, the especially spirited who command the
by the many narrative traditions of the region, it is important
attention of others. Likewise, while there are an indefinite
to recognize that a people’s oral tradition is in constant flux
number of nonhuman forces that might occupy any given
due to their ongoing encounters with the actual objects of
locality in the form of such things as plants, animals, winds,
experience that they consider manitous. In other words,
and rocks, it is the powerful among spirits—the particularly
while stories describe the anthropomorphic characteristics of
awesome, beautiful, or striking objects of experience—that
a particular plant, animal, or landscape feature, these charac-
indigenous peoples typically refer to as manitous. This may
teristics are shaped by the practical economic relationships
include wolves, bears, eagles, thunders, rapids, dreams, inspi-
that indigenous peoples have with them. As a people’s rela-
rations, and other impressive nonhuman entities. Like pow-
tionships to various manitous shift over time, so do the corre-
erful human beings, these entities are honored and respected
sponding myths and stories.
because their impressiveness is an ominous indicator of their
SEE ALSO North American Indians, articles on Indians of
ability to dispense fortune or misfortune. Prayer, song, to-
the Northeast Woodlands, Indians of the Plains.
bacco, or other gifts of gratitude are humbly offered to them
in hope of arousing their favor and calming their temper.
BIBLIOGRAPHY
Likewise, many of these indigenous communities re-
Boatman, John. My Elders Taught Me: Aspects of Western Great
ceived their first European visitors, along with their guns,
Lakes American Indian Philosophy. Lanham, Md., 1992.
brass kettles, and other strange and impressive wares, as man-
Hallowell, A. Irving. Ojibwa Ontology and World View. Chicago,
itous. Thus, rather than honoring a manitou according to a
1960.
rigid taxonomy of living things, indigenous peoples honor
Hilger, M. Inez. Chippewa Child Life and Its Cultural Background.
any given manitou in direct correlation to the spiritual capac-
St. Paul, Minn., 1951.
ity that they perceive in it, him, or her.
Johnston, Basil. Ojibwa Ceremonies. Lincoln, Nebr., 1982.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAÑJUS´R¯I
5675
Johnston, Basil. The Manitous: The Spiritual World of the Ojibwa.
attaining buddhahood. He dwells continually in a meditative
New York, 1995.
trance known as “heroic valor” (su¯ram:gamasama¯dhi), and is
Spindler, George, and Louise Spindler. Dreamers with Power: The
thus able to manifest himself at will throughout the universe,
Menominee. Prospect Heights, Ill., 1984.
including Mount Wutai, in order to aid all beings. Wutai
Vecsey, Christopher. Traditional Ojibwa Religion and Its Histori-
Shan was identified as Mañju´sr¯ı’s principal seat of manifesta-
cal Changes. Philadelphia, 1983.
tion through two means: time and again notable persons had
J
visions of the bodhisattva there; and these visions received
AMES B. JEFFRIES (2005)
scriptural legitimation in the form of prophecies in a series
of texts. The most significant of these texts is the Avatam:saka
Su¯tra (Flower garland scripture), in which S´a¯kyamuni de-
MAÑJUS´R¯I, an important figure in the Maha¯ya¯na Bud-
clared that in a future age Mañju´sr¯ı would dwell on a five-
dhist pantheon, is a bodhisattva, one of a number of celestial
peaked mountain in northern China. According to pilgrims’
heroes whose compassion has led them to postpone the bliss
accounts of these visions, the bodhisattva manifests himself
of final enlightenment until all other beings are freed of suf-
on the mountain in several forms, most typically as a sphere
fering. Especially associated with wisdom, Mañju´sr¯ı is a key
of glowing light, as a five-colored cloud, as a lion-riding
figure in numerous Maha¯ya¯na scriptures, and he has been the
youth, or as an old man. Further mountain sites in the Hi-
focus of significant cultic activity throughout Maha¯ya¯na
malayas and central Asia, including Mount Go´sr:n˙ga in Kho-
Buddhist countries. His name means “gentle glory.” Many
tan, were identified as sacred to the bodhisattva, but, unlike
of his alternate names and epithets refer to his relation to
Mount Wutai, they never gained international recognition
speech (Va¯g¯ı´svara, “lord of speech”) and to his youth
and acceptance. As a further element in the mountain theme,
(Kuma¯rabhu¯ta, “in the form of a youth” or “having become
Mañju´sr¯ı popularly plays a role in the founding tales of
the crown prince”). Because he is destined soon to become
Nepal: with his sword, he cut an opening in the mountains
a Buddha, Mañju´sr¯ı is often called “prince of the teachings”;
to drain a great lake, thus creating the Kathmandu
for his role as master of the wisdom teachings
Valley.
(prajña¯pa¯ramita¯) he is frequently described as “progenitor of
Mañju´sr¯ı has been especially venerated in the Chan and
the Buddhas.”
Zen traditions of East Asia for his uncompromising quest for
Mañju´sr¯ı’s role in Maha¯ya¯na scriptures is often that of
insight. He is also linked closely to the teachings of the Tan-
interlocutor; as a senior bodhisattva at teaching assemblies,
tric schools, both as lord of profound knowledge and as a po-
he frequently questions S´a¯kyamuni Buddha and requests
tent protector and guide of those on this path. While
teachings of him. Although he is not highlighted in the early
Mañju´sr¯ı’s special role within the Buddhist pantheon is to
Maha¯ya¯na texts on the perfection of insight, Mañju´sr¯ı came
protect and uphold the wisdom teachings and to inspire stu-
to be known for his profound wisdom, and is associated with
dents of these teachings, a wide range of scriptures, ritual
this textual tradition as its patron lord. The most common
texts, and popular traditions makes clear the multifaceted na-
artistic representations and literary descriptions of Mañju´sr¯ı
ture of his cult, which was extended far beyond Buddhist
(including scriptures, ritual texts, and meditation manuals)
scholastic circles.
depict him as a golden-complexioned sixteen-year-old prince
wearing a five-peaked crown. In his right hand he wields the
SEE ALSO Mountains.
sword of discriminating insight, which cuts through all igno-
rance and illusion, penetrating to the truth. In his left hand
BIBLIOGRAPHY
The standard cross-cultural monograph on Mañju´sr¯ı, containing
he grasps a book, the Prajña¯pa¯ramita¯ Su¯tra (Scripture on the
much information organized in a systematic way, is Étienne
perfection of insight), whose teachings he has mastered and
Lamotte’s “Mañju´sr¯ı” (in French), T Doung pao 48 (1960):
upholds. He sits upon a lion, which represents the roar of
1–96. Intensive analysis of a group of East Asian paintings
sovereign truth.
of Mañju´sr¯ı, emphasizing religious dimensions and includ-
Mañju´sr¯ı has been the focus of significant cultic activi-
ing a chapter on the Wu-tEai Shan cult in T’ang China, may
be found in my Studies on the Mysteries of Mañju´sr¯ı, Society
ty. Perhaps the most extraordinary site for this has been a
for the Study of Chinese Religions Monograph No. 2 (Boul-
mountain complex in northern China named Wutai Shan,
der, 1983). The translation of an important Tantric text in
Five Terrace Mountain, where—until the mid-twentieth
praise of Mañju´sr¯ı, the Mañju´sr¯ı-na¯ma-san˙g¯ıti Su¯tra, has
century—pilgrims from all over Asia have traveled in quests
been made by Alex Wayman, Chanting the Names of
for visions of the bodhisattva. Beginning as a local mountain
Mañju´sr¯ı (Boston, 1985).
cult, the numinous precincts of this region eventually were
New Sources
identified as the special earthly domain of Mañju´sr¯ı, and by
Lopez, Donald S. Religions of India in Practice. Princeton, 1995.
the mid-eighth century it had become a thriving internation-
Lopez, Donald S. Religions of China in Practice. Princeton, 1996.
al Buddhist center, with seventy-two notable monasteries
Wallis, G. Mediating the Power of Buddhas: Ritual in the Manjusri-
and temples, as well as numerous retreat huts.
mulakalpa. Albany, N.Y., 2002.
Mañju´sr¯ı traditionally is believed to be a celestial bodhi-
RAOUL BIRNBAUM (1987)
sattva of the tenth stage (bhu¯mi), the highest level prior to
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
5676
MANNHARDT, WILHELM
MANNHARDT, WILHELM (1831–1880), pioneer
Perhaps intimidated by the thoroughness of Mann-
of scientific folklore in Germany. He was born on March 26,
hardt’s methods, scholars for many years tended to accept his
1831, in Schleswig, the son of a Mennonite pastor; five years
results virtually unaltered. His work provided most of the
later the family moved to Danzig. Mannhardt was always in
European material for James G. Frazer’s The Golden Bough,
very poor health, having been afflicted with curvature of the
and in general was used more by scholars of comparative reli-
spine at about the age of seven. Unsuited to active life, he
gion than by folklorists. And certainly his studies marked an
read assiduously and showed an early interest in both Ger-
epoch in comparative study. In recent years scholars have
manic mythology and folklore. The shape of his early think-
begun to examine Mannhardt’s material afresh. The empha-
ing was established by 1848, when he read Jakob Grimm’s
sis is in process of shifting from beliefs in “spirits of the corn”
Deutsche Mythologie (Göttingen, 1835). While still at school
to the function of harvest rituals in preindustrial, agrarian so-
he began his inquiries into the oral traditions of northern
cieties, but the irreplaceable material that Mannhardt collect-
Germany, and was on one occasion suspected by one of his
ed remains a lasting memorial to his pioneering effort.
informants of being one of the dwarfs about which he was
asking—he was at the time only one and a half meters tall.
BIBLIOGRAPHY
Schmidt, Arno. Wilhelm Mannhardts Lebenswerk. Danzig, 1932.
Mannhardt studied German language and literature at
Sydow, C. W. von. Selected Papers on Folklore. Copenhagen, 1948.
the universities of Tübingen and Berlin, receiving his doctor-
See the papers on pages 89–105 and 146–165.
ate at Tübingen in 1854 and his habilitation at Berlin three
Weber-Kellermann, Ingeborg. Erntebrauch in der ländlichen Ar-
years later. In 1855 he assumed the editorship of the
beitswelt des 19. Jahrhunderts auf Grund der Mannhardtbe-
Zeitschrift für deutsche Mythologie und Sittenkunde, a journal
fragung in Deutschland von 1865. Marburg, 1965. Includes
which survived only four years. In autumn 1855 he came
a biographical sketch on pages 9–24.
into contact with the brothers Grimm, whose work he ad-
New Sources
mired greatly, and in 1858 he published his first book, Ger-
Tybjerg, Tove. “Wilhelm Mannhardt: A Pioneer in the Study of
manische Mythen, extending his inquiries to cover not only
Rituals.” In The Problem of Ritual, edited by Tore Alhbäck,
European but also Indian material. He was perhaps the first
pp. 27–37. Stockholm, 1993.
scholar to compare the Germanic Ρórr (Thor) with the Vedic
ERIC J. SHARPE (1987)
Indra as two deities associated with thunder. In the early
Revised Bibliography
1860s Mannhardt was forced by ill health to return to Dan-
zig; there he obtained a librarian’s post, which he held until
1873.
MANSI RELIGION SEE KHANTY AND MANSI
It was in Danzig that Mannhardt began the research
RELIGION
work for which he was to become famous. He planned a
comprehensive work to be called Monumenta mythica Ger-
maniae, to be based not only on written sources but on first-
hand information from the rural community (which was,
MANTRA is, most concisely, a sacred utterance, incanta-
however, even then beginning to change under the impact
tion, or invocation repeated aloud or in meditation in order
of scientific farming). The great work was never completed,
to bring about a prescribed effect, such as the calming of the
mind or a vision of a deity. The mantra may be with or with-
but in its preparation Mannhardt circulated a questionnaire,
out conventional meaning, but it contains esoteric or mysti-
and in so doing created a technique. The original question-
cal potentialities.
naire contained twenty-five questions (later expanded to
thirty-five) concerning popular beliefs and practices connect-
The word mantra is derived from the Sanskrit verbal
ed with the harvest (Erntesitten). His methodology was in
root man, “to think,” and the suffix -tra, indicating instru-
general that of the emerging sciences of geology and archae-
mentality. Thus the word indicates, literally, a means or in-
ology, and was aimed at uncovering lower “layers” of belief,
strument of thought. More practically, a mantra is an effica-
which might finally contribute to a “mythology of Demeter.”
cious sound or utterance. Its translation can be difficult, and
Mannhardt also traveled widely in search of material in
is often inexact. In the earliest Indian text, the R:gveda, it
northern Europe, and interviewed prisoners of war in and
often had the sense of “invocation,” while in later literature
near Danzig. After writing two preliminary studies, Roggen-
it is closer to “incantation,” “word(s) of power,” “(magic)
wolf und Roggenhund (1865) and Die Korndämonen (1867),
formula,” “sacred hymn,” “name of God,” or sometimes sim-
he published in 1875 and 1876 the work for which he is
ply “thought.” Because by the twenty-first century the word
chiefly known today, the two volumes of Wald- und Feld-
has entered common English, it is best to leave it untranslat-
kulte. But his health was unequal to the sustained effort
ed and allow context to determine its meaning.
which his program required, and on Christmas Day 1880,
Mantras were originally, and commonly, used in reli-
at the age of forty-nine, he died, leaving behind a vast collec-
gions that originated in South Asia, particularly in Hinduism
tion of material that has been little used.
and its Vedic predecessors, as well as in Buddhism. Jainism
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MANTRA
5677
and Sikhism, two other major South Asian religions, also em-
utterance (upa¯m:´su), particularly of Vedic verses in ritual con-
ploy mantras prolifically, but unlike Buddhism and Hindu-
texts, was superior to the audible one, and that the best of
ism, Jainism and Sikhism did not contribute much to theo-
all was the silent (tus:n:¯ım) or mental (ma¯nasa) utterance. One
rizing mantra.
such text, the S´atapatha Bra¯hman:a (5.4.4.13), states that un-
defined or unmanifest (anirukta) speech represents the innu-
Mantras can range from an entire verse with a conven-
merable, the unlimited. This notion of the inseparability of
tional meaning to single syllables in which the meaning is es-
speech and thought was to have a great impact on future ide-
oteric, multileveled, and all but secret except to the initiated.
ologies of mantra.
A common element of mantras is that they are in Sanskrit
(though arguments have been made that single-syllable man-
Mantra achieved its highest development in Hindu and
tras participate in a linguistic encoding beyond any conven-
Buddhist Tantras, beginning in about the sixth century CE,
tional syntactically oriented language). As the word literally
though many non-Tantric Hindu theologians realized its im-
indicates, mantras are useful sounds or collocations of
portance as well. Tantric teaching on mantra revolved
sounds. They are useful, powerful, or efficacious for several
around the concept of va¯c, both the deity and concept of
reasons: first, because the sounds themselves are said to bear
speech, as well as the female energy principle. It is regarded
their meaning; second, because they are used in ritual, in
as the force that animates the male principle, S´iva. The dy-
which the action lies within the sphere of liminality, which
namics of va¯c embody the threefold process of creation, man-
renders both words and actions unconventional and there-
ifestation, and resorption, a topic that receives considerable
fore (in a manner of thinking) more direct and effective; and
attention in the Tantras. The doctrine of speech, then, is
third, because they are said to be transformative to the speak-
essentially the “science of mantra” (mantravidya¯, mantra-
er in ways that ordinary language is not. Among the ritual
´sa¯stra).
settings in which they are used, mantras function as vehicles
The following mantras deserve mention:
to meditation; as verbal accompaniments to offerings to a
deity, which are thought to bring about the results of particu-
• The syllable om: is regarded as the supreme mantra, con-
lar desires; and as linguistic or sonic embodiments of deities
taining within its sounds a-u-m the entire articulatory
or other structures.
apparatus, and thus the sum total of all sounds and man-
tras. This mantra is said to have flashed forth in the
According to the orthodox Hindu theology of the
heart of Brahma¯, the creator, while he was in deep medi-
Pu¯rvam¯ıma¯m:sa¯, the Vedas are uncreated, they are not the
tation, and to have unfolded in the form of Ga¯yatr¯ı, the
products of human endeavor (apaurus:eya). This elevates the
mother of the Vedas.
words of the Vedas to the status of mantra, as their meaning
is no longer simply conventional, representative, or marked
• The Ga¯yatr¯ı Mantra is widely hailed as the most charac-
by syntactic context. They are thus eternal, the products of
teristic Vedic mantra—(Om: bhu¯r bhuvah: svah:) Tat-
the extraordinary vision of Vedic seers (r:s:i, kavi), their pho-
savitur varen:yam: bhargo devasya dh¯ımahi; Dhiyo yo
netic embodiment equivalent with their meaning and mate-
nah: pracodaya¯’t: “(Om. Earth! Mid-region! Celestium!)
riality. Thus the Vedic hymns (su¯kta, “well-spoken”) are re-
Let us meditate on that excellent radiance of the god
garded as collections of mantras, expressing the true nature
Savitr:; may he impel our visions” (R:gveda 3.62.10).
and structure of the cosmos. This ideology is the main reason
This is to be recited a certain number of times (usually
why, in the later Vedic traditions, it became unimportant for
108) two or three times per day by all brahmans initiated
those who studied the Vedas to know the meaning of the
into the rites of the “twice-born.” It served as a model
verses; it was sufficient to memorize the texts—precisely,
for a substantial number of other ga¯yatr¯ıs dedicated to
with fastidious attention to pronunciation and accent. A by-
different deities. (Ga¯yatr¯ı is the name of the metrical
product of this was the rise of the discipline of linguistics in
pattern consisting of three times eight syllables, with the
India after about the sixth century
major division after the first two strophes.)
BCE, particularly in a series
of texts called pra¯ti´sa¯khyas dedicated to analysis of the pro-
• Agne vratapate vratam: caris:ya¯mi (Va¯jasaney¯ı-Sam:hita¯ of
nunciation of the words in each textual branch (´sa¯kha¯) of the
the S´ukla [White] Yajurveda 1.5): “O Agni Lord of
Veda.
Vows, I will observe my vow.” This mantra has been
prescribed for nearly three millennia for a person or
Several centuries earlier than these treatises on phonet-
married couple about to undertake a vow of abstinence
ics, however, in the late second millennium BCE, the texts on
or penance. Agni is both the sacred fire and the deity
ritual use of the Sa¯maveda showed an array of meaningless
of that fire who transmits oblations to the other deities.
sounds, or, more accurately, sounds whose meaning was
Thus, this mantra is recited while invoking the deity
nothing but their sound. These undecipherable sounds, such
Agni in the form of fire as witness to the vow.
as bham and bha¯, were called stobhas, and they were recited
within and surrounding more conventional Samavedic verse
• Om: namah: ´siva¯ya: “Om, obeisance to S´iva.” This is the
mantras. Slightly later, in the middle Vedic period, the cen-
famous “five-syllable mantra” (the om: is an addition) to
turies around the turn of the first millennium BCE, the theo-
the great Hindu deity S´iva. Large numbers of religious
logians of the bra¯hman:a texts considered that the whispered
mendicants and lay people alike mutter this mantra
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5678
MANU
hundreds or even thousands of times daily. As with most
SEE ALSO Buddhism, Schools of, article on Tantric Ritual
mantras that mention the name of a deity directly or
Schools of Buddhism; Buddhist Books and Texts, article on
obliquely, it is believed that the number of times it is
Canon and Canonization; Hindu Tantric Literature; Om:;
repeated is important in “attaining perfection” (siddhi)
Tantrism.
in the mantra. This means that after extensive “practice”
of a mantra, the aspirant gains the ability to invoke the
BIBLIOGRAPHY
deity at will or even identify him or herself with that
Alper, Harvey, ed. Mantra. Albany, N.Y., 1989. This important
deity. This could mean either merging with the deity or
book contains ten chapters and an excellent conclusion by
becoming the deity.
leading scholars on the subject of mantra in different branch-
es of Indic religion and philosophy.
• The well-known Hare Krishna mantra—Hare kr:s:n:a
Gonda, Jan. “The Indian Mantra.” Oriens 16 (1963): 244–297.
hare kr:s:n:a kr:s:n:a kr:s:n:a hare hare; hare ra¯ma hare ra¯ma
Reprinted in Gonda’s Selected Studies, vol. 4, History of An-
ra¯ma ra¯ma hare hare: “O Hare, O Kr:s:n:a, etc.; O Hara,
cient Indian Religion, pp. 248–301. Leiden, 1975. This arti-
O Ra¯ma, etc.” This example of a mantra that contains
cle presents the clearest and most detailed picture of mantra
only divine names was memorialized by Bengali mystic
in Vedic, and discusses the development of mantra in medi-
S´r¯ı Caitanya (1486–1533).
eval India.
• Om: namo bhagavate va¯sudeva¯ya: “Om, obeisance to
Padoux, André. Mantras et diagrammes rituels dans l’Hindouisme.
the illustrious Va¯sudeva (Kr:s:n:a).” This mantra is one of
Paris, 1986. This collection of articles by leading scholars ex-
the most commonly recited by Vais:n:avas, followers of
plicates the relationship between mantras and cosmograms
the different sects dedicated to the worship of Vis:n:u or
(man:d:alas and yantras) in Indian religion, architecture, and
Kr:s:n:a.
medicine.
• Om: aim: hr¯ım kl¯ım: cha¯mun:d:a¯yai vicche: “Om Aim:
Padoux, André. Va¯c: The Concept of the Word in Selected Hindu
Tantras. Translated by Jacques Gontier. Albany, N.Y., 1990.
Hr¯ım Kl¯ım:, to the goddess Cha¯mun:d:a¯, Vicche.” This
This is the definitive book on the theology and construction
string of monosyllabic or “seed” (b¯ıja) mantras, with
of mantras in Hindu Tantra, especially as it is found in the
one of the names of the goddess appended, followed by
S´aiva texts of Kashmir.
the peculiar bisyllabic seed mantra vicche, is one of the
Studholme, Alexander. The Origins of Om Manipadme Hum: A
most commonly used mantras in offerings to various
Study of the Karan:d:avyu¯ha Su¯tra. Albany, N.Y., 2002. This
forms of the goddess. B¯ıja mantras are regarded as the
is a deep study of the religious context of this Buddhist man-
phonic representations of different deities, though many
tra and the little-known su¯tra text in which it is first cele-
of them, such as hr¯ım and kl¯ım:, are used for several dif-
brated.
ferent deities.
FREDERICK M. SMITH (2005)
• Om: man:i padme hu¯m:: “Om (O heart of Avalokite´s-
vara), in the lotus made of jewels.” This is the most pop-
ular mantra in Tibetan Buddhism. Its recitation is said
to lead to rebirth in worlds contained within the hair
MANU. There is no general agreement on the origin and
pores of Avalokite´svara’s body.
etymology of the Sanskrit name Manu. It obviously is related
to the verbal root man-, “think,” and to various words mean-
• Sauh:. This b¯ıja mantra has received a great deal of at-
ing “human being, man,” including manus:a, manus:ya, and
tention and analysis in esoteric S´aiva Tantras, where its
so on.
phonic components are broken down and assigned ex-
treme cosmic importance. Sauh: is considered the “heart
As early as the R:gveda (c. 1200 BCE), expressions such
b¯ıja,” holding within it the entire cosmos. The great
as “Father Manu [or Manus:]” seem to indicate that Manu
S´aiva philosopher Abhinavagupta (c. 975–1025), in his
was already conceived at that time as the progenitor of the
massive Tantra¯loka (4.186–189), breaks this mantra
human race. As such, he has often been compared with Man-
into three parts, s-au-h:: s equals being (sat); au is the
nus, the “origo gentis” in Tacitus’s Germania (2.3). Manu
three energies of precognitive impulse, cognition, and
most definitely is characterized as the father of mankind in
action; and h: (visarga) is emission, that which is project-
a well-known story from the S´atapatha Bra¯hman:a (1.8.1),
ed outward by the supreme consciousness.
dating to around 900 BCE. Following the advice of a fish,
These are by no means the only mantras that deserve discus-
Manu builds a ship and, with the fish’s help, survives the
sion; dozens of others are accorded equal or greater status by
great flood alone among men. After the water recedes, he
different sectarian traditions in South Asia and beyond (e.g.,
worships and performs penance. As a result, a woman, Id:a¯
the Heart Su¯tra is treated as a mantra by millions of Bud-
(also Il:a¯ or Ila¯), is produced, by whom “he begets this off-
dhists across East Asia, who recite it constantly because of
spring of Manu.”
its supposed esoteric effects). Thus, mantras are, and always
Manu was not only the first man but also the first king.
have been, an integral and integrative part of Indian and pan-
All royal lineages, in some way or other, descend from him.
Asian religions, as religion across Asia has been intimately in-
His principal son, Iks:va¯ku, reigned at Ayodhya¯. One of
fluenced by the use and ideology of mantra in South Asia.
Iks:va¯ku’s sons, Vikuks:i, carried on the Aiks:va¯ku dynasty,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAORI RELIGION [FIRST EDITION]
5679
also known as the solar race, at Ayodhya¯, whereas his other
was one of the last places in the world to be settled. Its native
son, Nimi, established the dynasty of Videha. Manu’s second
inhabitants, a Polynesian people who call themselves Maori,
son, Na¯bha¯nedis:t:ha, founded the kingdom of Vai´sa¯li; his
reached New Zealand not much more than six hundred years
third son, S´arya¯ti, the kingdom of A¯nanta; and his fourth
before the Dutch explorer Abel Tasman became the first Eu-
son, Na¯bha¯ga, the dynasty of the Rath¯ıtaras. Manu’s
ropean to lay eyes on the country, in 1642. No other Europe-
“daughter,” Id:a¯, also had a son, Puru¯ravas, who became the
an arrived until James Cook’s visit in 1769, which inaugurat-
founder of the Aila, or lunar race, at Pratis:t:ha¯na. Puru¯ravas’s
ed regular and steadily increasing outside contact. At that
romance with the apsara Urva´s¯ı became one of the most
time, the Maori numbered about one hundred thousand, the
popular stories in Sanskrit literature.
great majority of them residing on North Island.
Certain texts refer to Manu as being the first to have
GODS AND THEIR INFLUENCE. In common with other Poly-
kindled the sacrificial fire. According to the S´atapatha
nesians, the Maori conceived of reality as divided into two
Bra¯hman:a (1.5.1.7), “Manu, indeed, worshiped with sacri-
realms: the world of physical existence (te ao marama, “the
fices in the beginning; imitating that, this offspring of his
world of light”) and the world of supernatural beings (com-
performs sacrifices.” More particularly, Manu’s name is con-
prising both rangi, “the heavens,” and po, “the underworld”).
nected with the origin of the S´ra¯ddha, the ritual for the dead
Communication between the two realms was frequent.
(A¯pastamba Dharmasu¯tra 2.7.16.1).
Birth, for example, was regarded as the passage of a human
In addition, Manu is considered to have been the origi-
spirit from the spiritual realm into this one, and death
nator of social and moral order. Many texts quote maxims
marked the return of the spirit to its point of origin.
relating to various aspects of dharma, and attribute them to
Gods or spirits, termed atuas, were frequent visitors to
Manu. In this connection he also became the r:s:i who re-
the physical world, where they were extremely active. Indeed,
vealed the most authoritative of the Dharma´sa¯stras.
any event for which no physical cause was immediately ap-
In later literature Manu—or rather a succession of
parent was attributed to the gods. This included winds,
Manus—can be seen to play a role in the Hindu cyclical view
thunder and lightning, the growth of plants, physical or
of time. Each kalpa, or “day,” of Brahma¯, corresponding to
mental illness, menstruation, involuntary twitches in the
one thousand caturyugas or maha¯yugas, is divided into four-
muscles, the fear that gripped a normally brave warrior be-
teen manvantaras, “periods of Manu.” In the most sophisti-
fore battle, the skill of an artist, even—after the arrival of Eu-
cated system a manvantara consists of seventy-one caturyu-
ropeans—the operation of windmills. As the naturalist Er-
gas, or 306,720,000 human years. The manvantaras are
nest Dieffenbach summarized the Maori view, “atuas are the
separated by fifteen transitional periods (Skt., sam:dhis) of
secret powers of the universe” (Dieffenbach, 1843, vol. 2,
four-tenths of a caturyuga. Each manvantara is presided over
p. 118).
by a different Manu. In the present S´vatava¯ra¯hakalpa, six
Another critical concept in traditional Maori religion is
manvantaras have by now elapsed (presided over by
tapu (a term widespread in the Pacific, often rendered in En-
Sva¯yambhuva, Sva¯rocis:a, Auttami, Ta¯masa, Raivata, and
glish as “taboo”). Numerous definitions of the Maori tapu
Ca¯ks:us:a, respectively). The present, seventh Manu is Manu
have been advanced, some identifying it as a set of rules re-
Vaivasvata, who will be succeeded by Sa¯varn:i, Daks:asa¯varn:i,
garding proper and forbidden conduct, others as a condition
Brahmasa¯varn:i, Dharmasa¯varn:i, Rudrasa¯varn:i, Raucya or
diverse enough to cover both the “sacred” and the “pollut-
Devasa¯varn:i, and Bhautya or Indrasa¯varn:i.
ed.” Perhaps the most useful view is that of the nineteenth-
S
century magistrate and physician Edward Shortland, who
EE ALSO S
´a¯stra Literature.
defined tapu simply as the state of being under the influence
B
of some atua. Because the influencing atua might be of any
IBLIOGRAPHY
Many Sanskrit passages dealing with Manu have been collected
nature, from a protecting and strengthening god to an un-
and translated in John Muir’s Original Sanskrit Texts, vol. 1
welcome, disease-dealing demon, the condition of a tapu per-
(1872; reprint, Amsterdam, 1967). See also Georg Bühler’s
son or thing could be anything from sacred to uncommonly
introduction to The Laws of Manu (1886), “Sacred Books of
powerful or brave; from dangerous to sick, deranged, or
the East,” vol. 25 (reprint, Delhi, 1964).
dead.
New Sources
In the last analysis, Maori religion was concerned with
The Laws of Manu. Introduction and notes translated by Wendy
the exercise of human control over the movements and activ-
Doniger with Brian K. Smith. London; New York, 1991.
ities of atuas in the physical world. It attempted to direct the
LUDO ROCHER (1987)
influence of the gods into areas where their influence was
Revised Bibliography
deemed beneficial and to expel it where it was not, or where
it was no longer desired.
Establishing tapu. Directing the influence of the gods
MAORI RELIGION [FIRST EDITION]. New
was primarily pursued by means of ritual. One common way
Zealand is the southernmost island group in Polynesia and
of instilling tapu (that is, inviting the gods to extend 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
5680
MAORI RELIGION [FIRST EDITION]
influence over someone or something) was through ritual in-
and stimulate the growth of the crop. Similar reasoning un-
cantations called karakia. Many of these are long and diffi-
derpinned the notion that certain rocks or trees, which virile
cult to translate, but one brief and simple example is a
gods were thought to frequent, had the power to impregnate
karakia recorded by the nineteenth-century missionary Rich-
barren women who embraced them. Another rite designed
ard Taylor, which might be chanted for a war party setting
to enlist the aid of a deceased ancestor in easing a difficult
out on a campaign:
childbirth called for music to be played on a flute made from
one of his bones.
E te rangi, ho mai he riri! E te atua, ho mai he riri!
O heaven, give us fury! O god, give us fury!
Dispelling tapu. Tapu was by no means an invariably
desirable state. Disease, as already noted, was thought to be
Maori gods did not look into the hearts of their devotees; im-
the work of certain gods or demons noted for their mali-
peccable delivery was sufficient for a karakia to work its
ciousness. Atua kahu, for example, were a special class of su-
power. One man, in fact, was within the bounds of ortho-
pernatural beings that originated in human stillbirths. Nasty
doxy when he had the incantation necessary for planting
by nature, to be tapu from their influence was to succumb
sweet potatoes and other crops recited by a talking bird.
to illness, anxiety, or confusion. Well-known mischief work-
Another means of attracting atuas and disposing them
ers in the Rotorua area were Te Makawe, an atua who caused
to lend their influence to human affairs was to give them
people to be scalded by geysers or hot pools, and the atua
gifts. Many Maori rituals included the preparation of several
Tatariki, who rejoiced in swelling people’s toes and
ovens; the food cooked in one of them was reserved for the
ankles.
gods. When an important new canoe was launched, the heart
Even the tapu so necessary for the achievement of de-
of a human sacrifice might be offered to the gods for protec-
sired ends had its drawbacks. A fine house or canoe was tapu
tion of the craft.
while under construction, because atuas animated the cre-
The influence of atuas was considered to be highly con-
ative work of the craftsmen. That same tapu, however, pre-
tagious, readily spreading from things that were tapu to
cluded ordinary use of the house, or canoe, once completed.
things that were not. One common pathway was physical
Likewise, the craftsmen themselves were tapu during con-
contact. Death was highly tapu, and anything that came in
struction, as were priests performing rituals or warriors on
contact with a corpse—the tree on which it was exposed dur-
campaign. Being in a state of tapu, while essential for the suc-
ing decomposition, the people who scraped the bones a year
cessful accomplishment of their goals, placed a number of re-
after death, the place where the bones were finally deposit-
strictions on one’s activities. Given the propensity of tapu to
ed—became tapu as well. The supreme conductor of tapu
spread, such persons exercised great caution regarding con-
was cooked food, which drew the atua influence from what-
tact with other persons or things; one of the more irksome
ever it contacted and transferred this influence to anything
constraints was that they might not use their hands while
it subsequently touched. One young woman, for example,
eating.
died within forty-eight hours of being informed that a sweet
The disadvantages associated with undesirable tapu—as
potato she was eating had grown on a spot where an impor-
also with desirable tapu, once its benefits had been realized—
tant chief was buried. The tapu of death, particularly stem-
meant that quite often it was important for persons and
ming from someone of such high rank, was more than she
things to be released from this state, to be rendered noa, free
could sustain.
from the influence of atuas. The Maori had a number of
Another avenue for the passage of tapu was resemblance.
means for terminating the tapu state. One was simply to
In the early 1840s, the artist George French Angas encoun-
leave the area. Many atuas were limited in their activities to
tered stiff resistance in the Lake Taupo region whenever he
a certain locale; thus one cure for disease was to take a long
wished to sketch tapu persons or things. The loss or contami-
trip and thereby escape the afflicting atua’s sphere of influ-
nation of tapu was thought to be detrimental, and the Maori
ence. The most common procedure, however, was to per-
reasoned that godly influence would pass from someone or
form a ritual of the type known as whakanoa (“to make
something to its representation, and thus to anything with
noa”). Most of these rituals involved the use of one of the
which the representation might come in contact. The Maori
following agents: water, the latrine, a female, or cooked food.
also feared that desecration would occur if sketches of tapu
Whakanoa rituals, designed to dispel tapu, were as im-
persons or objects were stored in the same portfolio—or were
portant in Maori religion as those used to instill it. The study
executed with the same pencil—as sketches of lowly or defil-
of whakanoa rituals is fascinating, largely because of the ini-
ing objects.
tial implausibility in Western eyes of some of the agents used
The principles of tapu contagion were used ritually to
(such as the latrine), and the challenge of working out the
introduce godly influence into places or situations where it
rationale peculiar to each one. Scholarly consensus has yet
was desired. One means of doing this was to put rudely
to be reached in this area; the following are some contempo-
carved stone images in sweet potato fields during the growing
rary theories under consideration.
season. These taumata atuas were resting-places that attract-
The property of cooked food as supreme conductor of
ed the gods, whose influence would then permeate the field
atua influence has already been mentioned; this apparently
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAORI RELIGION [FIRST EDITION]
5681
has to do with growth. In Maori eyes, growth was an unmis-
thing that had been tapu, by merit of that atua’s influence,
takable sign of atua activity. Hence a sweet potato field dur-
in a noa state.
ing the growing season was extremely tapu, and the head—as
The Maori viewed birth as the transit of a human spirit
the site of the most vigorous growth of hair—was the most
from the world of the gods to the physical world. That tran-
tapu part of the body. By exposure to fire or intense heat,
sit, of course, occurred via female genitalia. The female was
cooking destroys the capacity of food for growth. Thus a
also significant at death, when the spirit would leave this
proverb that may be applied to someone who has not yet ac-
world and return to the realm of the atuas. This point is ex-
complished much, but from whom great things are expected,
pressed mythologically in the story of the death of the culture
runs iti noa ana, he pito mata (“only a little morsel, but it has
hero Maui. He resolved to give humankind eternal life by
not been cooked”). It still has, that is, the capacity for
killing Hine-nui-te-po, the personification of death. Maui
growth. If, upon removing food from an earthen oven, a
intended to kill the huge woman by entering her vagina as
morsel was found that had not been cooked, it was suspected
she slept, passing through her body and emerging at the
that an atua was lurking in it. Cooking, then, was thought
mouth. But she awoke as Maui was entering her, clenched
to rout atua influence, leaving the food a veritable vacuum
her thighs, and crushed him to death. And it is the common
for tapu. Therefore, a cooked sweet potato or piece of fern
fate of all of us, claimed a Maori who recounted this story,
root might be passed ritually over the hands of someone who
to be drawn at death into the genitals of Hine-nui-te-po. As
had engaged in a tapu activity, such as tattooing or cutting
with human spirits, other atuas might enter and leave the
the hair of a chief. The atua influence would be drawn into
physical world by means of the female. This theory might
the food, leaving the hands noa, and the now-tapu food
account for the capacity of women to instill and to dispel
might then be thrown into a stream, deposited at the latrine,
tapu.
or eaten, often by a woman.
The remaining whakanoa agent to be discussed is the la-
Water was thought to remove atua influence by washing
trine. Built on the edge of a cliff or brow of a hill, the Maori
it away. Those who had handled a corpse or who had been
latrine was made with a low horizontal beam supported by
involved in the tapu activity of teaching or learning sacred
two upright, often carved, posts. The user placed his feet on
lore might return to the noa state by immersing themselves
the beam while squatting, preserving his balance by grasping
in water, preferably the flowing water of a stream.
hand grips planted in the ground in front of the beam. A per-
son could be ritually released from a tapu state by biting the
Women frequently played important roles in whakanoa
latrine’s horizontal beam. This might be done instead of, or
rituals. A war party might be released from tapu by a rite in
in addition to, immersion in water by students following a
which a woman would eat the ear of the first enemy they had
teaching session. Maori mythology provides a further exam-
killed. A newly constructed house could be rendered noa by
ple: the pedigree of humankind begins with the union of the
a ceremony in which a woman stepped over the threshold.
god Tane with Hine-hau-one, a female being who was
Women had to be careful of their movements because they
formed from the earth to be Tane’s mate. The formation,
might inadvertently dispel beneficial tapu. The arrival of a
vivification, and impregnation of Hine-hau-one were tapu
woman at the site could spoil the construction of a house or
procedures, at the conclusion of which she became noa by
canoe, drive cockles from a beach or birds from the forest,
biting a latrine beam.
blight sweet potatoes in a garden, even stop the black mud
that was used to dye flax from “growing.” These female pow-
The latrine beam marked a sharp line of separation: be-
ers were intensified during menstruation.
fore it was the village, humming with life; behind it was a
silent, shunned area where excrement fell and where people
Opinions vary as to the basis of the female’s capacity to
ventured only for murderous purposes, such as to learn
dispel tapu. Some scholars hold that women were repulsive
witchcraft. In Maori culture the latrine beam became a meta-
to the gods; thus at the approach of a female the gods would
phor for the notion of separation in general and, most specif-
withdraw, leaving a noa state behind them. Given this inter-
ically, for the separation between life and death. Since the
pretation, however, it is difficult to explain the fact that
dead belong to po, part of the realm of the atuas, the latrine
women were able to instill tapu ritually as well as to dispel
beam can further be understood to represent the threshold
it. Students might be rendered tapu prior to training in sa-
between the two realms of existence. From this perspective,
cred lore, for example, by eating a piece of food that had been
whakanoa rituals utilizing the latrine are susceptible to the
passed under the thigh of a woman.
same sort of interpretation suggested above for those involv-
ing women. Tapu persons or things were taken to a portal
Another view is that women could make tapu things noa
between the two worlds, where the godly influence was ritu-
because they were thought to attract atuas, not repel them.
ally repatriated to the spiritual realm.
According to this theory, the female—specifically her genita-
lia—represented a passageway between the two realms of ex-
Also in common with the female, the latrine sometimes
istence. When brought in proximity with a woman, an atua
constituted a point of entry into, or departure from, the
would be drawn into and through her, and thereby repatri-
physical world for atuas and their influence. For instance, at
ated to the spiritual realm. This would leave the person or
the beginning of the construction of an important house or
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5682
MAORI RELIGION [FURTHER CONSIDERATIONS]
canoe, a chip from the carving work would be placed at the
(Wellington, 1974) and Counterpoint in Maori Culture (Lon-
latrine. This can be interpreted as contributing to the tapu
don, 1983) by F. Allan Hanson and Louise Hanson.
quality of the project by imbuing the chip (and therefore, by
F. ALLAN HANSON (1987)
extension, the undertaking as a whole) with the influence of
the gods. The clearest example, however, is the consecration
of the Takitumu canoe. According to traditional history,
Takitumu was one of the canoes that brought the Maori an-
MAORI RELIGION [FURTHER CONSID-
cestors from their original homeland of Hawaiki to New
ERATIONS]. By the twelfth century the Maori people
Zealand. Before setting sail, Takitumu was rendered tapu so
who migrated from eastern Polynesian had fully adapted
as to be under the gods’ protection during the long voyage.
their habitations to the cooler climate of land and sea in the
This was accomplished by literally hauling the canoe up to
austral islands of Aotearoa. New Zealand scholars initially
a latrine. There, certain images that had been stored in a
believed the migrants arrived in one great fleet of canoes
burial cave were placed on board, and the gods themselves—
around 1350 CE, but subsequent research established that
particularly Kahukura, a rainbow god—were ritually invited
multiple canoe migrations began several centuries earlier and
to embark.
that occasional back-and-forth voyages between Aotearoa
and the ancestral island of Hawaiki had taken place.
MODERN MAORI RELIGION. Christianity was introduced to
New Zealand in 1814, when Samuel Marsden, chaplain of
The Maori remained undisturbed by contact with for-
the penal colony at New South Wales in Australia, preached
eigners until the late eighteenth century, when Europeans
a sermon at the Bay of Islands on Christmas Day. Conver-
named New Zealand and began to harvest seals, whales, and
sion proceeded rapidly after 1825, and by midcentury nearly
timber from the South and the North Islands. Missionaries
the entire North Island was covered by Anglican, Roman
from Australia arrived in December 1814, and on Christmas
Catholic, and Wesleyan missions. Today, the Maori belong
Day Samuel Marsden celebrated the first Christian service
to a variety of Christian denominations, the largest of which
in the islands, erecting a flagstaff and raising “‘the flag of old
are the Anglican, Roman Catholic, Methodist, and Mormon
England, the flag that has braved a thousand years’” (Rosen-
feld, 1999, p. 29). He was unaware that Maori tribes claimed
churches. Also important are two Christian sects unique to
unoccupied land by setting up a pole and kindling fires. The
New Zealand: Ringatu (“upraised hand”) was founded in the
ritual pole symbolizes the cosmic tree of Tane-mahuta, who
1860s by the Maori warrior and preacher Te Kooti; Ratana,
separated his father, the Sky, from his mother, the Earth, by
a larger sect, was established in the 1920s by the reformed
standing on his head and pushing them apart to form the
alcoholic and visionary Tahupotiki Wiremu Ratana. The Ra-
human realm.
tana church, which stresses faith healing, has been a major
force in Maori politics.
Sacred space is a fundamental feature of Maori religion.
A tribe’s land is marked by wahi tapu, “sacred places” named
for what happened there and commemorated in whakapapa,
BIBLIOGRAPHY
“oral genealogies.” Novelist Witi Ihimaera’s protagonist in
Among the many fascinating accounts of Maori life written by
The Matriarch (1986) calls walking the land with his grand-
early visitors to New Zealand, two are George French
mother “my custom,” a way of recalling the significant detail
Angas’s Savage Life and Scenes in Australia and New Zealand,
2d ed., 2 vols. (London, 1847), and Ernest Dieffenbach’s
of what he had been told as a child (p. 102).
Travels in New Zealand, 2 vols. (London, 1843). Two other
Before contact, conversion, and colonization, oral gene-
nineteenth-century works with considerable information on
alogies were redacted by schools of poets and recited during
religion are the missionary Richard Taylor’s Te Ika a Maui,
public gatherings on the marae, an open space near the house
or, New Zealand and Its Inhabitants (London, 1855) and the
of a chief. This ritual has persisted throughout two hundred
magistrate Edward Shortland’s Traditions and Superstitions of
years of dynamic interaction between Maori and European
the New Zealanders, 2d ed. (London, 1856). An important
settlers. Without the recitation of whakapapa, the indigenous
collection of exclusively Maori myths (despite its title) is
George Grey’s Polynesian Mythology (1855), edited by W. W.
people would have lost their identity. Whether the story of
Bird (New York, 1970). The anthropologist Elsdon Best has
the descent group is told by a grandparent standing on the
written many works on Maori religion (as on all aspects of
land or an appointed orator standing on the marae, the fu-
Maori culture), among them Some Aspects of Maori Myth and
ture is made possible in Maori terms by presenting the past
Religion (1922; reprint, Wellington, 1954), Spiritual and
as the domain of the ancestors and as the days that lie in
Mental Concepts of the Maori (1922; reprint, Wellington,
front. In Maori story, Hawaiki is both the place of origin and
1954), Maori Religion and Mythology (Wellington, 1924),
the destination of the dead. The time before creation is con-
and Tuhoe: The Children of the Mist (Wellington, 1925). Im-
ceived of as an undifferentiated womb out of which all things
portant monographs by the historian of religion J. Prytz Jo-
are born or as a serpent swallowing its tail.
hansen are The Maori and His Religion in Its Non-Ritualistic
Aspects (Copenhagen, 1954) and Studies in Maori Rites and
The details of genealogy recited on the marae vary with
Myths (Copenhagen, 1958). Two recent anthropological
each kin group’s ancestors and experiences, and there are also
studies are Jean Smith’s Tapu Removal in Maori Religion
different existing versions of primal myths. After the full
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAORI RELIGION [FURTHER CONSIDERATIONS]
5683
translation of the Old Testament into Maori was published
removed by male or female healers, who sometimes com-
in 1858, a group of tohunga, “religious experts,” redacted a
bined traditional rites with Bible-derived practices to remove
more uniform version of cosmogonic myth that revealed a
the spiritual contagion.
preexistent, supreme god, Io, whose essence fertilized the
Disputes between colonial officials and Maori chiefs
womb of potential being and set in motion the creation of
precipitated a series of Land Wars between 1860 and 1872
the world. The reconciled cosmogony reflects the nine-
that resulted in punitive confiscations of territory from tribes
teenth-century preoccupation with urmonotheismus, but it
that resisted assimilation. Charismatic leaders rose up and
also proves that indigenous religion authentically develops in
initiated millenarian movements with their own flags, poles,
response to experience. The controversy over Io continues to
rituals, offices, liturgies, holidays, prophets, and messiahs
enliven discourse about Maori religion.
that grafted biblical branches onto the ancient tree of tapu
When they were baptized as Anglicans or Methodists,
and mana. The pentecostal “Good and Peaceful” ritual of the
Maori converts were required to renounce their customs as
niu pole called down the sacred winds that endued all believ-
things of the devil. As the number of conversions accelerated
ers with god-given power to speak in tongues and resist harm
in the 1830s, some chiefs and charismatic leaders asserted
in battle. As the niu cult swept over the North Island, Chris-
their control over tribal space. Between 1844 and 1845,
tian pastors withdrew from their missions and sought protec-
Hone Heke cut down the British flagstaff three times in a
tion in largely European settlements until the wars ceased.
dispute with the governor over customs duties. Poles and
The charismatic prophet Te Kooti attacked his Maori
borders became symbols of resistance in subsequent resis-
and European rivals, who occupied his ancestral land after
tance movements. In 1856 chiefs representing the tribes of
he was sent to prison on the false charge of spying for the
the North Island and the South Island gathered around a
Good and Peaceful movement in 1866. Two years later, he
flagstaff to ritually convey their mana over their combined
escaped with three hundred prisoners and founded the Rin-
territories to the first Maori king and placed a tapu boundary
gatu sect, which became a licit church after his death.
around the center of the North Island.
During the Land Wars, the British crown colony grew
The primal power of mana and the prohibitions of tapu
into a self-governing nation. Regional militias fought pitched
maintain order in the social world. Mana is divine power
battles with disciples of unconventional tohunga imbued
made manifest in the human realm; it dwells in chosen mem-
with mana from the Holy Ghost, Gabriel, and Michael, as
bers of society and natural species, as well as places and
well as the gods of their respective tribes. In the Old Testa-
things. Mana has been defined as “prestige,” “authority,”
ment these Maori poropiti, “prophets,” found a disenfran-
“charisma,” “dignity,” and, especially, the “power to act.”
chised people like themselves, who were led by Jehovah out
Mana can rise and fall, like the water level in a lake, and the
of slavery and to their promised land. At the end of the cen-
loss of mana leaves the holder weak and impotent. Tapu is
tury, one prophet took the name Kenana, or “Canaan,” and
a condition of being. People, places, activities, and things are
marched his dispossessed disciples to the foot of his tribe’s
made tapu and set apart from the ordinary. Tapu is conta-
sacred mountain. They built a settlement with a tapu pre-
gious and can kill; it designates what is out of bounds, pro-
cinct, including a house called New Jerusalem for the proph-
hibited, and restricted, and some define it as sacred. Tapu
et and his wives—all high-born women with lands he consol-
contagion is removed by whakanoa rites. Whatever has mana
idated under his mana. When Rua Kenana first heard the call
is tapu and vice versa (Metge, 1989, pp. 62–66).
to be a savior for his people, he responded, “If your wish is
Mana o te whenua, “power over the land,” was a stipulat-
for me to save only people, I won’t help, but if it is to save
ed authority that was increasingly invoked by Maori leaders
the land, then I shall carry out this task” (Webster, 1979,
as their ancestral space was sold off, confiscated, or removed
p. 158).
from their control by special legislation during the nine-
Diverse religious movements revived Maori customs,
teenth and twentieth centuries. In 1835 the British resident
including mana and tapu, while their members claimed Jew-
and the northern chiefs signed “A Declaration of the Inde-
ish descent from Noah’s son, Shem, and worshiped Jehovah.
pendence of New Zealand” that recognized the chiefs’ mana
Mormon missionaries began to attract Maori converts in the
i te wenua (the spelling changed over time), or “authority
1880s. In 1918 the prophet Wiremu Ratana preached repen-
within the territory” of the New Zealand tribes (Moon and
tance and conducted healings. Over the next forty years, the
Fenton, 2002, p. 56). In 1840 thirty-five chiefs signed New
nondenominational Ratana church gathered in so many ad-
Zealand’s founding document, the Treaty of Waitangi,
herents that it was able to align itself with the Labour Party
which substituted a foreign word for mana and precipitated
and elect Ratana followers to all four Maori seats in Parlia-
a debate over sovereignty that is still being waged.
ment. Yet special land legislation continued to reduce the
By the 1850s, the Maori and settler populations had
territory of the tribes, until only 1.2 million hectares re-
reached near parity. Muskets, diseases, alcoholism, infertility,
mained in their possession at the end of the twentieth
and land selling had reduced the Maori, hastening the aban-
century.
donment of traditional villages. People unintentionally tres-
By 1929 a symbolic substitute for the land was emerg-
passed on neglected tapu sites and incurred an illness that was
ing. Over the course of a century, the communal plaza 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
5684
MAORI RELIGION [FURTHER CONSIDERATIONS]
the chief’s dwelling had developed into a single ritual com-
es more than forty renewal and resistance movements and
plex combining the marae and the whare whakairo, “meeting
churches that arose in the historical context of Christianiza-
house,” where funerals, weddings, and important meetings
tion during the nineteenth and twentieth centuries.
took place. The beams, pillars, art, and sculpture of the meet-
Ihimaera, Witi. The Matriarch. Wellington, New Zealand, 1986.
ing house express the motifs of whakapapa and symbolize the
A novel about inherited mana and its use for good and evil
body of the ancestor. The marae is the gathering place in
by a contemporary Maori writer who tells the story of Te
front of the house, where parties meet to discuss issues of im-
Kooti in language that transcends historiography.
portance. Visitors must be called onto the marae by a woman
Marsden, Maori. “God, Man and Universe: A Maori View.” In
with a welcoming song, which removes any pollution they
Te Ao Hurihuri: Aspects of Maoritanga, edited by Michael
bring with them. The elaborate protocol of the hui, “meet-
King, pp. 118–137. Auckland, New Zealand, 1992. A Maori
ing,” reinforced the system of tapu and mana, connecting the
elder and Anglican cleric presents the reconciled version of
living with the ancestors and binding the present to the past.
the Maori creation story of the supreme god, Io, and expli-
cates other major aspects of the holy in Maori religion of the
After World War II, 70 percent of the Maori population
late nineteenth and early twentieth centuries.
gradually migrated to towns and cities. Political leaders, such
Metge, Joan. In and Out of Touch: Whakamaa in Cross Cultural
as Sir Apirana Ngata and Te Puea Herangi, led the struggle
Context. Wellington, New Zealand, 1989. A concise and in-
for visibility and authority in a new milieu, where Maori
sightful explication of mana and the loss of mana gathered
neighborhoods formed islands in a largely European sea.
from contemporary Maori sources by a twentieth-century
Maori then comprised about 10 percent of New Zealand’s
anthropologist.
total population. Urban leaders founded new clubs and asso-
Moon, Paul, and Sabine Fenton. “Bound into a Fateful Union:
ciations that mobilized support for protests and focused pub-
Henry Williams’ Translation of the Treaty of Waitangi into
lic attention on longstanding claims to tribal fishing
Maori in February 1840.” Journal of the Polynesian Society
grounds, habitations, and reserves guaranteed to the tribes
111, no 1 (March 2002): 51–63. Argues that the missionary
under the Treaty of Waitangi but subsequently removed
translator of the Treaty of Waitangi intentionally avoided
from their possession. In 1975 the legislature set up the ex-
using the word mana to translate the concept of sovereignty
traordinary Waitangi Tribunal to hear Maori claims under
over tribal resources and substituted the neologism kawana-
the treaty provisions and to recommend to Parliament their
tanga, “governance,” instead.
terms of settlement. Parliament and the courts have listened
Rosenfeld, Jean E. The Island Broken in Two Halves: Land and Re-
to the tribunal’s powerful judgments and have restored fish-
newal Movements among the Maori of New Zealand. Universi-
ing rights, paid compensation, and returned lands to Maori
ty Park, Pa., 1999. Examines four different, but related, new
descent groups, enforcing the Treaty of Waitangi, redressing
religious movements that attempted to renew and maintain
grievances, and demonstrating that even after two hundred
the Maori world by holding fast to the land under the threat
years of tumultuous change, the divine gift of mana remains
of cultural assimilation during a century of conflict.
an efficacious ordering principle of the Maori social world.
Salmond, Anne. Hui, a Study of Maori Ceremonial Gatherings.
Wellington, New Zealand, 1975. A clear presentation of the
SEE ALSO Mana.
complex protocol of the ritual meeting.
Salmond, Anne. “‘Te Ao Tawhito’: A Semantic Approach to the
BIBLIOGRAPHY
Traditional Maori Cosmos.” Journal of the Polynesian Society
Binney, Judith. The Legacy of Guilt: A Life of Thomas Kendall. Ox-
87, no. 1 (March 1978): 5–28. An explanation of the male
ford, 1968. The book’s Appendix I contains the first descrip-
and female complements and their attributes, which charac-
tion by a lay missionary of the northernmost tribes’ primal
terize the physical, spiritual, and social dimensions of the
myths.
Maori world.
Binney, Judith. “The Ringatu Traditions of Predictive History.”
Smith, Jonathan Z. Imagining Religion: From Babylon to Jones-
Journal of the Polynesian Society 23, no. 2 (October 1988):
town. Chicago, 1982. In this collection of Smith’s essays, see
167–174. Includes primary data on the symbolic world of a
“The Unknown God: Myth in History” (pp. 66–89), in
nineteenth-century new religious movement.
which Smith complements Marsden’s inside view of Io with
Binney, Judith. Redemption Songs: A Life of Te Kooti Arikirangi Te
a scholarly review of the data in the historical record.
Turuki. Auckland, New Zealand, 1995. A detailed and com-
prehensive presentation of the life and times of the extraordi-
Sorrensen, M. P. K. “Land Purchase Methods and Their Effect
nary guerrilla leader and prophet who founded the Ringatu
on Maori Population, 1865–1901.” Journal of the Polynesian
church.
Society 65, no. 3 (1956): 183–199. Important study that re-
lates the loss of Maori land to the decline of the Maori popu-
Cowan, James. The New Zealand Wars. Vol. 1: 1845–64. Wel-
lation in the late nineteenth century.
lington, New Zealand, 1922; reprinted with amendments,
1983. The first volume of a two-volume history of conflicts
Walker, Ranginui. Ka Whawhai Tanu Matou (Struggle without
between Maori and Europeans over the land. Includes an ac-
End). New York, 1990. A comprehensive history of the
count of the ritual that granted mana over the center of the
Maori people from the canoe migrations to the Waitangi
North Island to the Maori king.
Tribunal by a Maori scholar and orator.
Elsmore, Bronwyn. Mana from Heaven: A Century of Maori Proph-
Walker, Ranginui. “Marae: A Place to Stand.” In Te Ao Hurihuri:
ets in New Zealand. Tauranga, New Zealand, 1989. Discuss-
Aspects of Maoritanga, edited by Michael King, pp. 15–27.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAPPO
¯
5685
Auckland, New Zealand, 1992. Describes the development
quest for marvelous objects needed for the marriage of
of the ritual complex of the marae and the meeting house
Culhwch and Olwen.
during the era after European contact.
Webster, Peter. Rua and the Maori Millennium. Wellington, New
BIBLIOGRAPHY
Zealand, 1979. Webster’s extraordinary study of the con-
Guyonvarc’h, Christian-J., and Françoise Le Roux. Textes
frontation between a Maori messiah and a government deter-
mythologiques irlandais, vol. 1. Rennes, 1980.
mined to destroy his mana contributes to our general knowl-
Le Roux, Françoise. “Notes d’histoire des religions, V. 9: Intro-
edge about the phenomena of revitalization movements
duction à une étude de l’ ‘Apollon celtique.’” Ogam 12
around the world.
(1960): 59–72.
JEAN E. ROSENFELD (2005)
Mac Cana, Proinsias. Celtic Mythology. Rev. ed. Feltham, U.K.,
1983.
FRANÇOISE LE ROUX (1987)
MAPONOS, a Celtic deity associated with youth, but of
CHRISTIAN-J. GUYONVARC’H (1987)
Translated from French by Erica Meltzer
otherwise uncertain attributes, was identified by the con-
quering Romans with Apollo. The name is attested by several
Romano-British and Gallo-Roman inscriptions in insular
Britain and Gaul. It has also been found in an inscription
MAPPO
¯ . The Japanese term mappo¯ (Chin., mofa) denotes
in Gaulish at Chamalières (Puy-de-Dôme). In insular Brit-
the third and eschatologically decisive period in the history
ain, an inscription found in Ribchester, County Durham,
of the Buddha’s Dharma as revealed in certain texts that were
reads “Deo sancto Apollini Mapono(o),” and another found
to have a significant impact on the evolution of East Asian
in Hexham, County Northumberland, reads “Apollini
Buddhism, particularly the Pure Land tradition. The three-
Mapono” (Corpus inscriptionum Latinarum, Berlin, 1863,
stage periodization of which it is a part includes the period
vol. 7, nos. 218, 1345). These indicate with exactitude the
of the True Dharma (sho¯bo¯), when the Buddha’s teachings
interpretatio Romana: Maponos is Apollo in his aspect of
were correctly practiced and people thereby attained enlight-
youth, an interpretation that takes into account the meaning
enment; the period of the Counterfeit Dharma (zo¯bo¯), when
“young man” associated with the stem map- (“son”) and the
the teachings existed but very few upheld the practices and
theonymic suffix -ono-s.
none attained enlightenment; and the period of Final Dhar-
Although no accounts of Gaulish theology survive, the
ma (mappo¯, often translated as the “Latter Days of the Law”),
name is enough to prove that the two aspects of the Celtic
when only the teachings remained, the practices were no lon-
Apollo that are attested in Ireland—god of youth and leech
ger pursued, and enlightenment was a mere word. In the
god—also existed in Gaul and in insular Britain. The Irish
view of those who espoused this eschatology, such a declin-
equivalent is Mac ind Óg (“young son”), whose other name
ing view of history, which was ascribed to the growing spiri-
is Oenghus (“only choice”), son of Daghdha and of Boann,
tual deficiencies of the sam:gha, spelled doom for the tradi-
wife of Elcmhaire. Mapono’s conception is recounted in the
tional schools of Buddhism. As many Buddhists came to
first version of the cycle of Édaín: Daghdha has sent Elcm-
believe that the traditional teachings had lost their relevance
haire away and has magically suspended the course of the
to the times and to the religious needs of the people, the Pure
sun—and consequently the march of time—for nine
Land path emerged on the stage of history, claiming to have
months. The child is thus born on the evening of the day
been especially prepared by the Buddha for the age of mappo¯.
he was conceived. For this reason he is both the symbol of
The concept of the three stages of Dharma culminating
youth and the god of time, in opposition and complementar-
in mofa appeared in the form we know it today in China dur-
ity to his father, the god of eternity.
ing the second half of the sixth century, where it is first men-
Under the name of Mac ind Óg he is the hero of the
tioned in the Lishi yuanwen (Vows) of the Tiantai master
adventure known as The Taking of the Sid, and, under the
Huisi (515–577), composed in the year 558. A few years
name of Oenghus, he is one of the principal personages of
later, a Maha¯ya¯na su¯tra, the Daji yuezang jing, was translated
the cycle of Édaín. To him befalls the adventure of The
into Chinese, introducing a variety of similar eschatological
Dream of Oenghus, a tale of a quest for sovereignty disguised
views concerning the period of Final Dharma. The Japanese
as an amorous anecdote. And it is he who, at the end of the
scholar Yamada Ryu¯jo¯ has shown that this su¯tra was the
cycle, will vainly fight with Patrick over Eithne (Édaín), a
product of four major strands of scriptures woven together,
personification of Ireland.
each containing various forebodings on the destiny of the
The Welsh form Mabon mab Modron (“Mabon son of
Buddhist sam:gha. One of the earliest mentions of the three
Modron”: Modron from *matrona, “mother”) is attested on
stages of Dharma is found in another text of the period, the
several occasions, for example in the story Culhwch and
Dasheng tongxing; however, the precise source of Huisi’s for-
Olwen. But this account gives only very brief indications as
mulation remains unclear.
to his character: It is said only that he is kept prisoner from
The notion of three stages of Dharma evolved gradually
birth and that King Arthur ends up releasing him during the
through the centuries in the historical experience of Bud-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAPPO
¯
5686
dhism, incorporating the multiple and variegated factors that
and bickering and the decline and disappearance of the
contributed to the progressive decline of the church. These
Dharma were the dominant features of the religious life. The
factors, some of which had existed since the time of
period of Final Dharma was identified with the last of these
S´a¯kyamuni Buddha himself, became exacerbated with the
ages. Another prevalent view, intimately connected with that
passage of time: the violation of monastic precepts, debates
of mappo¯, characterized our time as one of Five Defilements,
surrounding the ordination of women, sectarian rivalries, a
in which the age itself, all religious views, all desires, all sen-
tendency to adhere to the letter, rather than the spirit, of the
tient beings, and all human life are defiled.
teachings, corruption in the monastic centers, the emergence
Mofa is mentioned by almost all of the eminent Bud-
of anti-Buddhist despots in India and central Asia, social and
dhist writers of the Sui and Tang dynasties, but it was Xinx-
political unrest throughout Buddhist Asia, and finally, the
ing and Daochou who refused to regard it as merely descrip-
devastation of Buddhist communities in Gandha¯ra by the
tive of external historical events and actually incorporated it
Ephthalites in the sixth century, an event that convinced
into the very foundation of their teachings. That is, both
many of the impending destruction of the sam:gha.
thinkers affirmed the reality of the end time in their own reli-
Prior to the mid-sixth century, various texts had made
gious awakening and realized the extent to which the funda-
reference to the eras of True and Counterfeit Dharma, but
mental ignorance (avidya¯) of all beings precluded the mastery
none to the period of Final Dharma. However, the appear-
of traditional practices leading to supreme enlightenment.
ance of the Daji yuezang jing, coinciding with the wholesale
Such an admission of contemporary deficiencies, both inner
devastation of institutional Buddhism during the Northern
and outer, justified in their view a new path to salvation.
Zhou persecution of 574–577, confirmed the arrival of the
In the case of Xinxing, this new path called for the uni-
age of Final Dharma foretold in that and other texts. In re-
versal recognition of the buddha nature in all beings and the
sponse to this historical crisis two powerful movements
consequent practice of selfless acts of compassion toward ev-
emerged, both proclaiming their teachings as eminently
eryone, regardless of status, as an antidote to the blind igno-
suited for the times: the Three Stages (Sanjie) school of
rance and profound egocentricity of the age. For Daochou
Xinxing (540–595) and the Pure Land path of Daochou
it meant entrusting the ego-self to the saving vows of the
(562–645).
Buddha Amita¯bha (Chin., Womituofo; Jpn., Amida) as the
Ultimately, four basic chronologies emerged, each reck-
only viable means of deliverance from the ocean of sam:sa¯ra.
oned on the basis of the Buddha’s decease, universally ac-
Xinxing’s Three Stages school experienced a turbulent histo-
cepted in China as having occurred in 949 BCE:
ry and eventually disappeared during the Huichang persecu-
tion of Buddhism in 845, but the Pure Land lineage of
1. True Dharma, 500 years; Counterfeit Dharma, 1,000
Daochou gained wide acceptance and became a major force
years
in East Asian Buddhism.
2. True Dharma, 1,000 years; Counterfeit Dharma, 500
In China, the implications of the concept of mofa were
years
mitigated by the continuing vigor of mainstream Maha¯ya¯na
3. True Dharma, 500 years; Counterfeit Dharma, 500
Buddhism, which insisted on the observance of precepts, ad-
years
herence to meditative practices, and cultivation of wisdom
as essential for supreme enlightenment. Daochou and the
4. True Dharma, 1,000 years; Counterfeit Dharma, 1,000
subsequent Pure Land masters, while proclaiming a new path
years
suited for the age of mofa, were not entirely free from the
Calculated on the basis of the first of these chronologies, the
weight of this great tradition and continued to advocate a va-
prevailing belief was that the period of Final Dharma, which
riety of more traditional Buddhist practices. By contrast, in
was to last for ten thousand years, had begun in 552 CE. Al-
Japan a foreboding sense of doom permeated the whole of
though this belief was inherited by Japanese Buddhists, the
medieval society, involving all of the Buddhist schools. Rec-
year 1052 was also widely embraced in medieval Japan as the
ognition of the advent of mappo¯ was thus a decisive factor
beginning of the age of Final Dharma, based on the fourth
in the formation of the major schools of Japanese Buddhism
of the above-mentioned chronologies.
in the thirteenth century—Jo¯do, Jo¯do Shin, Nichiren, and
Zen—and even affected the earlier schools founded during
Belief in the three stages was combined with another
the Nara (710–784) and Heian (794–1185) periods.
popular view concerning the destiny of the sam:gha, one that
divided Buddhist history into five five-hundred-year periods.
The first nonscriptural citation of the term in Japan ap-
This notion too had a complex history, but in its final form
pears in the Nihon ryo¯iki (Miraculous stories from the Japa-
characterized the gradual eclipse of the Dharma as follows;
nese Buddhist tradition), compiled in the ninth century. A
an age in which enlightenment was the dominant feature of
lament in this text states, “We are already in the age of De-
the religious life, an age in which meditative practices were
generate Dharma. How can we live without doing good? My
firmly established, an age in which the study of scripture was
heart aches for all beings. How can we be saved from calami-
firmly established, an age in which the building of stupas and
ty in the age of Degenerate Dharma?” The nature of mappo¯
temples was firmly established, and an age in which fighting
is also the topic of the Mappo¯ to¯myo¯ki (The lamp to illumi-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAPPO
¯
5687
nate the age of final Dharma), attributed to Saicho¯ (767–
Thus, while mappo¯ spelled doom and despair for the es-
823), the founder of the Japanese Tendai school. According
tablished sects, it was an age of boundless hope and optimism
to Saicho¯, each of the three stages of history is characterized
for the disenfranchised. More fundamentally, in this view
by practices relevant to that particular age. The practices
history became witness to the truth and relevance of the Pure
suited to the period of True Dharma include observance of
Land path to enlightenment, as had been prophesied by
the precepts and the practice of meditative disciplines. Those
S´a¯kyamuni in the Pure Land su¯tras. The end time of history
practices endemic to the period of Counterfeit Dharma are
was here and now, but it was in the here and now that
the violation of the precepts and the accumulation of proper-
Amida’s compassionate vow had become fully operative.
ty by monks. In the period of Final Dharma all monks must
Shinran (1173–1263) pushed this acute sense of histori-
be honored, even though they violate or disregard the pre-
cal crises even more radically into an existential realization
cepts, since the very nature of the times precludes the very
of the human condition. He saw the particular evils of the
existence and validity of the precepts.
age of mappo¯ as revealing the very ground of self-existence.
For Shinran, evil, though particularized in the individual,
Such a view of the end time, widely held by both clerics
forms the essence of humanity in sam:sa¯ra. But this realiza-
and laity, meant not only the bankruptcy of the Buddhist
tion of profound karmic evil is not final, for deeper and
sam:gha but appeared also to herald the end of the world itself
wider still is the working of Amida’s compassionate vow, op-
through the operation of inexorable historical forces. In the
erating through samsaric existence to deliver the self, as well
twelfth and thirteenth centuries a variety of events seemed
as all suffering beings, into the Pure Land.
to confirm the reality of mappo¯: the impotence of imperial
rule, the decline of the aristocracy, social upheaval, local up-
For Shinran, then, mappo¯ was no longer a particular pe-
risings, internecine warfare, natural calamities and pestilence,
riod of history but the fundamental reality of life itself, em-
and conflagrations that destroyed the capital.
bracing all ages, past, present, and future. The Primal Vow
of Amida is working not only in the end time but has always
This sense of impending collapse generated a variety of
been responding to the deepest yearnings of humanity,
responses among the Buddhist clergy. These were of two
whether in the period of True Dharma, Counterfeit Dhar-
basic types. One vigorously rejected this pessimistic view of
ma, or Final Dharma, whenever and wherever man is steeped
history and reaffirmed the power of traditional paths to en-
in brutish egoism. It took the radical breakdown of history,
lightenment. The other accepted the fact of mappo¯ as the
however, for this truth to surface within human conscious-
manifestation of the basic human condition—weak, imper-
ness. As Shinran wrote in the Sho¯zo¯matsu wasan (Hymns on
fect, vulnerable, and subject to temptations—and saw the
the last age):
working of Dharma in the very midst of such karmic limita-
Throughout the three periods of True, Counterfeit, and
tions, whether through the Nembutsu, containing the saving
Final Dharma Amida’s Primal Vow has been spread. In
vows of Amida Buddha, or in the Daimoku, manifesting the
this world at the end of the Counterfeit Dharmaand
miraculous salvific powers of the Lotus Su¯tra.
and in the Final Dharma age All good acts have entered
the Palace of the Dragon.
It was Ho¯nen (1133–1212), one of the pioneering fig-
ures of the Kamakura period (1185–1333), who incorporat-
SEE ALSO Amita¯bha; Daochuo; Ho¯nen; Jingtu; Jo¯do
ed the implications of the doctrine of mappo¯ into a virtual
Shinshu¯; Jo¯doshu; Saicho¯; Shinran; Xinxing.
revolution in Japanese Buddhism. For him, the end time of
history did not signal the decline and destruction of the Bud-
BIBLIOGRAPHY
dhist sam:gha but rather the opening up of the true sam:gha
The groundwork for the study of the origin of mappo¯ is found in
to both men and women, upper and lower classes, clergy and
Yamada Ryu¯jo¯’s Daijo¯ bukkyo¯ seiritusuron josetsu (Kyoto,
laity alike. For Ho¯nen, mappo¯ did not mean the rampant vio-
1959), pp. 567–592. A discussion of Xinxing’s Three Stages
lation of precepts but the disintegration of the sacrosanct au-
sect can be found in Kenneth Ch’en’s Buddhism in China:
thority of precepts that discriminated against certain groups
A Historical Survey (Princeton, 1964), pp. 297–300. Readers
of people. Since the age of mappo¯ meant the nonexistence
of Japanese will want to consult Yabuki Keiki’s monumental
of precepts, the path of enlightenment was now open to peo-
study of the sect, Sangaikyo¯ no kenkyu¯ (Tokyo, 1927). There
is no adequate study of the mappo¯ concept in Western lan-
ple considered evil in the eyes of traditional Buddhism: those
guages, but Shinran’s view may be seen in the English trans-
who made a living by taking life (hunters, fishermen, peas-
lation of his Sho¯zo¯matsu wasan (Hymns on the last age),
ants, and warriors) and those who were outcasts from society
Ryu¯koku Translation Series, vol. 7 (Kyoto, 1981). An at-
(traders and merchants, prostitutes, monks and nuns who
tempt to relate the three stages of history to the dialetical evo-
had violated the precepts, and others). Such people he pro-
lution of Shinran’s faith and thought is found in The Heart
claimed to be the primary concern of Amida Buddha’s Pri-
of Buddhism by Takeuchi Yoshinori (New York, 1983),
mal Vow (hon-gan), the ultimate manifestation of true com-
pp. 48–60.
passion. On the basis of this conviction Ho¯nen proclaimed
New Sources
the founding of an independent Jo¯do (Pure Land) school in
Chappell, David W. “Early Forebodings of the Death of Bud-
1175.
dhism.” Numen 27, no. 1 (1980): 122–154.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5688
MAPUCHE RELIGION
Deeg, Max. “Das Ende des Dharma und die Ankunft des
and local, and to elucidate the symbolic content and mean-
Maitreya. Endzeit- und Neue-Zeit-Vorstellungen im Budd-
ings of each of the many rites of this people are tasks far be-
hismus mit einem Exkurs zur K a¯´s yapa-Legende.” Zeitschrift
yond the scope of this work. I have therefore chosen to sum-
für Religionswissenschaft 7 (1999): 145–169.
marize them, making use of two cognitive structures
Hubbard, Jamie. “Mo Fa, the Three Levels Movement, and the
common to them all, which will allow me to piece together
Theory of Three Periods.” Journal of the International Associ-
the complex Mapuche belief system of religious practices and
ation of Buddhist Studies 19, no. 1 (1996): 1–17.
images and to outline their internal logic.
Hubbard, Jamie. Absolute Delusion, Perfect Buddahood: The Rise
The first structure—apparently the most widespread—
and Fall of a Chinese Heresy. Honolulu, 2000.
is dualism, which orders and defines two polar elements ac-
Marra, Michele. “The Development of Mappo Thought in
cording to their relationships of opposition and complemen-
Japan.” Japanese Journal of Religious Studies 15 (1988):
tarity. The second is the tetradic division generated as a result
25–54.
of a first bipartition that brings two opposed couples face to
Nattier, Jan. Once upon a Future Time: Studies in a Buddhist
face and a second bipartition of degree that defines in each
Prophecy of Decline. Berkeley, 1991.
couple a climax and its attenuation.
Stone, Jackie. “Seeking Enlightenment in the Last Age: Mappo
Thought in Kamakura Buddhism.” Eastern Buddhist 18, no.
The vast Mapuche pantheon is divided into two great
1 (1985): 28–56.
antithetical and complementary spheres. The first is made up
of beneficent deities, organized into a tetradic family based
TAITETSU UNNO (1987)
on a combination of sex and age (old man and old woman,
Revised Bibliography
young boy and young girl). These deities are the agents of
good, health, and prosperity, and their tetradic nature sym-
bolizes perfection. Cosmologically and vertically, they are
MAPUCHE RELIGION. The Mapuche currently
found in the celestial sphere, or wenú mapú, which is the
live in Chile and Argentina. In Chile, they have settled be-
summit of the positive aspect of the four vertical components
tween the Bio-Bio River to the north and the Channel of
of the universe. Horizontally, some of them are ranked, with
Chacao to the south, a territory that encompasses the prov-
varying degrees of positivity, with the four regions of the
inces of Arauco, Bio-Bio, Malleco, Cautin, Valdivia, Osor-
world (the east, south, north, and west cardinal points).
no, and Llanquihue (approximately between 37º and 41º
Temporally, they are associated with clarity. Given that the
south latitude). In Argentina, they are found at similar lati-
tetradic division is also the ordering principle of the day, they
tudes in the northern Patagonian province of Neuquén and,
have their most exact manifestations in epewún (“dawn”), a
to a lesser extent, in the Río Negro and Chubut provinces;
superlative concretion of anti- (“clarity”), whose sign is posi-
to the north there are scattered and isolated groups in the
tive, and in ki-ri-ni-f (“dusk”), the attenuation of pún
Pampas region. The most optimistic calculations estimate
(“darkness”), whose sign is negative. Finally, they are associ-
that there are 500,000 Mapuche in Chile and fifty thousand
ated with positive colors—blue (the most important) and
in Argentina.
white-yellow (denoting attenuation).
The Mapuche belong to the Araucana-chon linguistic
The second sphere of this theophanic dualism is made
family. Most of the Mapuche live in small settlements in a
up of the malefic beings, of wekufi-, who appear isolated, in
pattern of scattered encampments. The basic economic activ-
odd numbers, and of indeterminate age and sex. They are
ity among the Chilean Mapuche is agriculture; the Argentin-
agents of evil, illness, and chaos, and they symbolize imper-
ians rely on sheep and goat herding, as dictated by varying
fection. Their place in the cosmos is ambiguous; some
ecological settings. Patrilineal descent, patrilocal residence,
groups place them in the anká wenú, or middle heaven, but
and matrilateral marriage are the most noteworthy traits of
generally they are considered to belong to the pu mapú, or
contemporary Mapuche society. Patrilineage or, in many
netherworld—the climax of the negative aspect in the verti-
cases, a subdivision thereof, as well as the residential family,
cal conception of the universe. The temporal acts of the
increasingly constitute the minimal units of the settlement
wekufi- are most evident during rangi-n púñ (“midnight”),
in economic, social, and religious terms.
the most negative moment, and, to a lesser extent, during
The structural changes undergone by the Mapuche in
rangíñ ánti (“midday”), the attenuation of the positive pole.
the past hundred years—a product of their adaptation to a
Wekufi- that are associated with red and black, the malefic
new natural and social environment—have transformed
hues, play an even greater role in determining the qualities
Mapuche economy and, to a lesser degree, Mapuche society.
attributed to them.
Nonetheless, despite insistent missionary activity by Roman
The implied symbolic network arises from various levels
Catholics and Protestants (particularly fundamentalists), the
of discourse, such as the ngetrán (accounts of mythical or his-
foundation of their system of religious beliefs and practices
torical events characterized by truthfulness) and the decoding
remains practically intact in many regions.
of dreams and signs—present events that anticipate the qual-
To describe their mythico-religious beliefs even briefly,
ities of future occurrences. The social correlative of this theo-
to characterize the numerous major deities, both regional
phanic dualism is incarnated in the figures of the máchi
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAPUCHE RELIGION
5689
(“shaman”) and kalkú (“witch”), who manipulate the forces
ters—varying with the time it is performed—as restorer of
of good and evil, respectively. The paraphernalia of the máchi
the cosmic order, and its enrichment of coherence and mean-
include, among other things, the kultrún (a kettledrum),
ing within communal life through the ritual congregation.
which serves as a symbolic microcosm; the wáda (a rattle);
Within this cultural domain, the symbolic network also
and the kaskawílla (a girdle with small bells). The máchi are
impregnates with meaning each of the ritual episodes—for
assisted by benevolent deities and are responsible for staving
example, the forms of spoken and sung prayer, ritual sprin-
off illnesses caused by the kalkú, who are assisted by the
kling, ritual painting, women’s songs, men’s dances and
wekufi- beings.
mixed dances, sacrifices, libations, and horseback rides. It is
Shamanic rites include Machiluwún, an initiatory rite
this network that determines the temporal bounds of the epi-
carried out after the máchi has undergone a period of revela-
sodes, the meaning of the displacements, and the colors used,
tion through illness or dreams and after he has received in-
as well as the number of times (twice, four times, or a multi-
struction from an initiated shaman, and the Ngejkurrewén,
ple thereof) that each action must be repeated.
a postinitiatory rite of power renewal. The Pewutún is a diag-
nostic ritual. There are two therapeutic rites: the Datwún,
This summary, centered around the ideological princi-
for serious illnesses, and the Ulutún, for minor ailments. All
ples that serve to organize and define a large part of the sym-
these rites and their associated artifacts and actions—
bolic beliefs, rites, and images of the Mapuche, should not
including the réwe, a wood carving representing the cosmic
lead the reader to suppose that this is a closed system lacking
stages; branches from sacred trees; ritual displacements of ob-
flexibility. The history of the Mapuche people indicates ex-
jects from the right (positive) to the left (negative), facing
actly the opposite. They have adapted to new conditions
east and counting in twos, fours, or multiples thereof; songs
while preserving their traditional knowledge and beliefs,
and dances beseeching the benevolent gods to act; blue and
even if these have sometimes been modified or given new
white flags; and the moments (dawn and dusk) when the
meanings.
rites are performed—are symbolic expressions denoting sup-
plication to the forces of good and the restoration of health.
BIBLIOGRAPHY
Among the classic studies of the subject, the most noteworthy for
In contrast, the witch directly or indirectly causes kalku-
the Chilean region include Ricardo E. Latcham’s La organ-
tún (“harm”) by throwing objects with malefic powers
ización social y las creencias religiosas de los antiguos araucanos
around the victim’s house or by working magic on the vic-
(Santiago, 1924) and Tomas Guevara’s Folklore araucano
tim’s nails, hair, clothing, sweat, or footprints. The witch
(Santiago, 1911) and Historia de Chile: Chile prehispánico, 2
may poison the victim, or may enlist the help of a wekufi—
vols. in 1 (Santiago, 1925–1927). The North American an-
such as a witranálwe, the soul of a dead man that has been
thropologist Louis C. Faron, who spent several years living
captured by the kalkú. The nocturnal appearance of the
in Chilean settlements, offers an excellent analysis of Mapu-
witranálwe in the form of a great, resplendent, cadaverous
che society and its connections with religious practices in
horseman causes illness and death.
Mapuche Social Structure: Institutional Reintegration in a Pat-
rilineal Society of Central Chile (Urbana, Ill., 1961); one of
Community members take part in numerous rituals
his many articles on this ethnic group, “Symbolic Values and
outside of the specialized orbit of shamanism and witchcraft.
the Integration of Society among the Mapuche of Chile,”
The funerary rites, or Awn, are still practiced in the Chilean
American Anthropologist 64 (1962): 1151–1163, deals with
settlements. Their object is twofold: to ensure that the soul
the dualism of the Mapuche worldview and offers valuable
of the dead can cross into the world where the ancestors live
contributions. Other articles that should be cited, both be-
(a site that some scholars say is very close to, or is associated
cause of the wealth of their data and the new outlooks they
bring to the subject, are Maria E. Grebe’s “Mitos, creencias
with, the domain of the benevolent deities) and to prevent
y concepto de enfermedad en la cultura mapuche,” Acta
the spirit of the dead person from being captured by a witch
psiquiatrica y psicologica de America Latina (Buenos Aires) 17
and transformed into his aide during his nocturnal am-
(1971): 180–193, and “Cosmovision mapuche,” Cuadernos
bushes.
de la realidad nacional (Santiago) 14 (1972): 46–73.
The term ngillatún alludes to the act of prayer and con-
One of the most extensive monographs on the religion of the Ar-
notes diverse practices on individual, family, and group le-
gentinian Mapuche is Rodolfo M. Casamiquela’s Estudio del
vels. Strictly speaking, on the group level it designates a “ritu-
nillatún y la religión araucana (Bahía Blanca, 1964). The
al complex” that varies in several respects according to the
compilations and observations of Bertha Koessler-Ilg in
traditions of the community performing it. These variations
Tradiciones araucanas (La Plata, 1962) are a good addition.
include the number and affiliation of the participants, the ex-
Other books worthy of mention are Else Marta Waag’s Tres
entidades ‘weku-fü’ en la cultura mapuche (Buenos Aires,
tent of group cohesion, the ritual’s duration, its association
1982), which is outstanding for its wealth of information,
with agrarian or pastoral economic cycles, and its occasional
and the anthology of essays Congreso del Area Araucana Ar-
or periodic nature, that is, whether it is carried out to coun-
gentina (Buenos Aires, 1963). The theoretical and method-
teract natural phenomena or to observe crucial dates of the
ological bases as well as the development and exemplification
annual cycle. Despite this great diversity, what finally defines
within different cultural domains of the two cognitive struc-
the ngillatún is its strongly propitiatory nature, its charac-
tures summarized in this article can be found in two essays
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5690
MA¯RA
by C. Briones de Lanata and me: “Che Kimí-n: Un aborde
hordes to bear witness to his own merits, and they all shout
a la cosmologica Mapuche,” Runa: Archivo para las ciencias
that the bodhi seat—the highest point in this world—
del hombre (Buenos Aires) 15 (1985) and “Estructuras cogni-
belongs to Ma¯ra. In response, the Buddha reaches down and
tivas e interacción social: El caso de la brujeria entre los
touches the surface of the earth with the tip of his right hand,
Mapuche argentinos,” in Actas del 45° Congreso Internacional
calling on it to bear witness to his merits. This earth-
de Americanistas (Bogotá, 1985).
touching (bhu¯mispar´sa) gesture, which became famous
New Sources
iconographically in countless Buddha images, elicits a re-
Calvo, Mayo. Secretos y Tradiciones Mapuches, Santiago, 1992.
sponse from the earth goddess, who affirms in no uncertain
Foerster, Rolf. Introducción a la Religiosidad Mapuche. Santiago,
terms the Buddha’s supremacy. In one version of the story,
1993.
she appears physically and wrings out the water from her
Kuramochi, Yosuke, ed. Cultura Mapuche. Quito, Ecuador, 1997.
hair, causing a flood (symbolic of the Buddha’s merits) that
Kuramochi, Yosuke, and Juan Luis Nass, eds. Mitología Mapuche.
sweeps away the forces of Ma¯ra. In some biographical tradi-
Quito, Ecuador, 1991.
tions, at this point or a bit later, Ma¯ra makes yet another at-
Sierra, Malú. Mapuche, Gente de la Tierra. Santiago, 2002.
tempt to counter the Buddha’s enlightenment by sending his
three daughters to seduce him. Needless to say, he is un-
MIGUEL ANGEL OLIVERA (1987)
moved by their wiles. Having been unsuccessful in prevent-
Translated from Spanish by Erica Meltzer
Revised Bibliography
ing the Buddha’s enlightenment, Ma¯ra then tries to encour-
age him to pass promptly into parinirva¯n:a (complete
extinction) so as no longer to be a threat to his (Ma¯ra’s) do-
minion.
MA¯RA. Although Ma¯ra appears in the Atharvaveda as a
Ma¯ra, however, did not limit his attentions to the Bud-
personification of death associated with the god Yama, it is
dha alone. The Samyutta Nika¯ya, for instance, contains two
in Buddhism that he comes to the fore. There he takes on
collections of stories in which Ma¯ra variously tries to tempt,
the role of a mythological antagonist or metaphorical oppo-
frighten, or trick not only the Buddha but ordinary monks
nent of the Buddha, his teachings, and his community.
and nuns. Sometimes he seeks to disrupt their practice or
Ma¯ra, one of whose epithets is “the Evil One” (Skt.,
meditation; other times he tries to convince them of the
Pa¯p¯ıya¯m:s; Pali, Pa¯pimant), has sometimes been compared
truth of heretical doctrines. In doing so, he may take on vari-
to Satan; in fact, he is a god, the chief deity of the Realm
ous forms, even the guise of the Buddha himself. Thus, for
of Desire (Ka¯madha¯tu), a position he earned by virtue of a
example, he appears to the monk S´u¯ra in the form of the
meritorious deed in a past life. As such, he rules over most
sentient beings who are caught up in sam:sa¯ra (including hu-
Blessed One and deceitfully announces that he had lied when
mans and the lower deities). He resides in the Sixth Heaven
previously he had told him that all five skandhas (personality
of Buddhist cosmology, the dwelling place of the
aggregates) are impermanent, marked by suffering, and with-
Paranirmita-va´savartin gods, and so is sometimes called
out self, when in fact some of them are actually permanent,
Va´savartin (Pali, Vasavatt¯ı; “controlling”), or, in East Asia,
stable, and eternal. S´u¯ra, luckily, is not duped by this. In
King of the Sixth Heaven. As Lord of the Ka¯madha¯tu, Ma¯ra
other contexts, H¯ınaya¯nists are sometimes said to view the
is best understood as a divine king who wants to keep sen-
new Maha¯ya¯na teachings not as the “Word of the Buddha”
tient beings under his command, that is, in his realm of life
but as the “Word of Ma¯ra.”
and death, of desire and ignorance. Hence he actively op-
More broadly, any form of contradiction or opposi-
poses anyone who seeks to escape from his dominion by at-
tion—from crude to subtle—to the practice and doctrine of
taining enlightenment.
Buddhism, however it is defined, may be thought to be an
This opposition takes on many forms in Buddhist myth
act of Ma¯ra. In Southeast Asia, if bad weather, drunkenness,
and legend. Most prominently, it is featured in a number of
or petty thievery mar the celebration of a Buddhist festival,
encounters Ma¯ra is said to have with the Buddha. He tries,
it is said to be because of Ma¯ra. In East Asia, monks who are
for instance, to block the Buddha from going forth on his
remiss in their observance of the precepts are sometimes said
Great Departure from his father’s palace, an episode often
to be followers of “the way of Ma¯ra” (Jpn., Mado¯). In Tibet,
featured in Southeast Asian art and sometimes reenacted in
Ma¯ra came to be associated with indigenous demonic divini-
ordination rituals. Later, under the bodhi tree at Bodh Gaya¯,
ties (bdud) whose subservience to Buddhism needed periodi-
Ma¯ra plagues the Buddha in a variety of ways. Desperate to
cally to be reasserted. In China, due in part to linguistic con-
keep the Blessed One from becoming enlightened, he mus-
fusion, Ma¯ra was identified with the god ¯I´svara, that is,
ters a huge army of monsters, all armed with dreadful weap-
Mahe´svara (S´iva), or with the ambivalently-esteemed protec-
ons, in an attempt to scare him away. Their attack, however,
tor of the northeastern quarter, ¯I´sa¯na. In Japan, in medieval
comes to naught. The weapons they fling at the Buddha turn
times, a persistent creation myth told of the attempt by King
to flowers and perfumes, and the Buddha remains unper-
Ma¯ra (Ma-o¯)’s to block the creation of the Japanese islands
turbed in meditation. Ma¯ra then challenges the Buddha’s
themselves because he knew that Buddhism would thrive
right to sit on the seat of enlightenment. He calls on his
there. He only gave his imprimatur to the cosmogonic proj-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MA¯RA (AND GREAT MOTHERS)
5691
ect when Amaterasu, the sun goddess, agreed to keep Bud-
MA¯RA (AND GREAT MOTHERS). A mythologi-
dhism at bay in her land, an agreement that she did not
cal female deity with features and functions of the Great
honor but which is why a taboo was established on Buddhist
Mother is frequently mentioned in the folk songs, legends,
images, monks, and su¯tras at the grand shrine of Ise. Ma¯ra’s
folk beliefs, and magic incantations of Latvian folklore.
written contract with Amaterasu, moreover, came to be iden-
Opinion differs regarding the origin of the name Ma¯ra. In
tified as the divine seal (shinshi), one of the three regalia of
the first half of the twentieth century a group of Latvian folk-
the Japanese imperial line.
lorists and religious scholars that included Pe¯teris Sˇmits,
Ludvigs Be¯rzin¸ˇs, and Ludvigs Adamovicˇs tried to see a great-
Less mythically perhaps, throughout the Buddhist
er impact of Christian concepts in Latvian folklore, primarily
world, Ma¯ra came to be seen as a metaphor for various pas-
based on phonetic similarities in the names Ma¯ra and Marija.
sions and impediments on the path. Thus practitioners are
They attempted to prove that Ma¯ra is nothing more than a
enjoined to recognize multiple Ma¯ras associated with the
phonetically transformed Holy Mary (Latvian, Sve¯ta¯ Mari-
personality aggregates (skandha-ma¯ra) or the defilements
ja). But one only needs to look at the text of a few folk songs,
(kle´sa-ma¯ra´s). Ma¯ra’s daughters are said to symbolize plea-
or dainas, that mention Ma¯ra to see that she is not Mary, the
sure, restlessness, and desire; and various troops in Ma¯ra’s
Christian Mother of God, but an independent mythological
army are identified with lust, sloth, doubt, hypocrisy, igno-
being. In Latvian folklore, Ma¯ra can be seen as a protectress
rance, and so on.
of cows. She may be found sitting in a willow or under an
Yet Ma¯ra is not always ultimately maligned and con-
aspen tree, and she is mentioned as guiding a boat of orphans
demned. In contexts in which the doctrine of the potential
across dangerous waters, but in some folklore texts she is also
described as a harmful being, one who, for instance, takes
enlightenment of all beings is asserted, the story is told of
away or disturbs sleep.
Ma¯ra’s conversion to Buddhism by the arhat Upagupta, who
first tames the “Evil One” by binding corpses around his
Other scholars have not expressed as categorical an
neck, but then releases him when he agrees to stop harassing
opinion regarding the origin of Ma¯ra’s image. The Latvian-
Buddhist monks, or when, in one version of the tale, he actu-
born Swedish theologian Haralds Biezais believes that Ma¯ra
ally makes a vow for future buddhahood.
incorporates features of an ancient fertility goddess whose
name Latvians have long forgotten, so they now call her Holy
SEE ALSO Buddha.
Mary (Biezais, 1955, pp. 323–337). In 1940 Ma¯rtin¸ˇs
Brun¸enieks had advanced a hypothesis that partially corre-
B
sponds to Biezais’s theory. According to Brun¸enieks, Ma¯ra’s
IBLIOGRAPHY
name was borrowed from Mary, the Christian Mother of
For a general overview of Ma¯ra, including references to his appear-
God, replacing the Latvian goddess of fate Laima, while re-
ance in Vedic literature and his association with death, see
Louis de La Vallée Poussin, “Ma¯ra,” in Encyclopaedia of Reli-
taining Laima’s functions as a deity of fate. However, this
gion and Ethics, edited by James Hastings (Edinburgh,
presents an obvious contradiction because both the names
1915), vol. 8, pp. 406–407. See also Alex Wayman, “Studies
Ma¯ra and Laima can be found in Latvian folklore, even
in Yama and Ma¯ra,” Indo-Iranian Journal 3 (1959):
though their functions, such as the protection of women in
112–125. For a classic presentation of the textual history of
labor, are partially duplicated.
the Ma¯ra legend, see Ernst Windisch, Ma¯ra und Buddha
(Leipzig, 1895). For a study based on Pali sources, see Trevor
An opposing point of view was proposed in the first half
O. Ling, Buddhism and the Mythology of Evil (London,
of the twentieth century by the brothers Ernests and Arv¯ıds
1962). For a comparative perspective, see James W. Boyd,
Brastin¸ˇs. They believed that both in function and name
Satan and Ma¯ra: Christian and Buddhist Symbols of Evil (Lei-
Ma¯ra is a genuine Latvian goddess—a giver and taker of life
den, 1975). For accounts of Ma¯ra’s interactions with various
and protectress of fertility, birth, and productivity.
nuns and monks (including the Buddha), see C. A. F. Rhys
Davids, The Book of Kindred Sayings (Samyutta-Nika¯ya)
During the Soviet occupation of Latvia (between 1940
(London, 1917), vol. 1, pp. 128–170. On the story of Ma¯ra
and 1990), the topic of Ma¯ra was off limits to Latvian schol-
and S´u¯ra, see Edmund Hardy, “Mara in the Guise of Bud-
ars. It was only during the second half of the 1980s that vari-
dha,” Journal of the Royal Asiatic Society (1901): 951–955.
ous scholars returned, with qualifications, to the hypothesis
On the role of Ma¯ra in China and in the Japanese creation
advanced by the brothers Brastin¸ˇs. Among them were
myth, see Nobumi Iyanaga, “Le Roi Ma¯ra du sixième ciel et
Vjacˇeslav Ivanov and Vladimir Toporov, Moscow linguists
le mythe médiéval de la création du Japon,” Cahiers
and scholars of Baltic languages and mythology; Konstant¯ıns
d’Extrême-Asie” 9 (1996–1997): 323–396. On the conver-
Karulis, a linguist from Riga; Ma¯ra Za¯l¯ıte, an author and
sion of Ma¯ra by Upagupta, see John S. Strong, The Legend
folklore scholar; and, during the 1990s, the folklorist Jan¯ına
and Cult of Upagupta (Princeton, 1992), pp. 93–117. Final-
Kurs¯ıte. Their theory that Ma¯ra was not Holy Mary bor-
ly, for a perspective on Ma¯ra that highlights the art historical
rowed from Christianity but an independent female deity
record, see Patricia Karetzky, “Ma¯ra, Buddhist Deity of
Death and Desire,” East and West 32 (1982): 75–92.
was based on both Latvian folklore and comparative source
material from other Indo-European peoples. In this case, the
JOHN S. STRONG (2005)
name Ma¯ra hypothetically had been derived from the Indo-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5692
MA¯RA (AND GREAT MOTHERS)
European root form *ma¯-, which was used to denote the con-
Among Ma¯ra’s specific functions, of significance is her
cept of mother and archetypal maternal beginnings. Expand-
protectorship of cows (as well as milk and butter). Ma¯ra is
ed by r, the *ma¯-root expresses the active creative force, the
the giver of milk as a sacral drink to those going through pu-
goddess of creation, and the goddess of destruction.
berty initiation rites. Thus, an etiological myth that has sur-
vived to the present day explains why the willow tree has slip-
With the passage of time the female goddess or female
pery shiny leaves:
chthonic spirit who carried this name (and had the ambiva-
lent role of both giver and taker of life) took on different
Aiz ko auga v¯ıtolin¸ˇs Glumaja¯m lapin¸a¯m? —M¯ı¸la¯ Ma¯ra
forms within the traditions of the various Indo-European
sviestu sita, V¯ıtola¯ rokas slauka. Why doth the willow
peoples. For some, including Latvians, the name denoted a
tree grow With slippery leaves Dear Ma¯ra churning
butter, Wipes her hands on the willow.
primarily constructive goddess who promotes fertility and
productivity. For others, such as the Slavic peoples, it re-
The gift of cows to an orphan girl about to be wed is depen-
ferred to a harmful spirit who comes at night to disturb
dant upon Ma¯ra’s benevolence, since the orphan girl has nei-
human sleep and nocturnal peace, on occasion appearing as
ther father nor mother to provide her with the necessary
a forerunner of death or actual death itself. For Czechs and
dowry (property, goods, and farm animals, which were man-
Poles she is Marena or Marana, a goddess associated with rit-
datory when getting married):
uals devoted to the change of winter and spring seasons and
M¯ı¸la¯ Ma¯ra govis skaita V¯ıtola¯ s¯ed¯edama; Visas bija
the calling for rain. In Russian mythology she is Mara or
raiba¸lin¸as, Du¯malin¸as vien nebija; Nakti veda s¯erdien¯ıti,
Kikimora, a spirit who is either tiny or exactly the oppo-
Tai iedeva du¯malin¸u. Dear Ma¯ra counts her cows Sit-
site—a tall, bent, and ugly woman with matted hair who
ting in a willow; All of them spotted cows, None of
lives under the floor and at night weaves the thread of human
them smoke dark; At night the orphan girl was wed,
lives and brings harm in various ways. A related comparison
She was given the smoke-dark one.
in English is the word nightmare, where mare, the second
The being, deity or human, who is able to count cows or
part of the compound word, incorporates the above-
other such things in great numbers, is considered the owner
mentioned Indo-European root.
of those things. The spotted cows mentioned in the folk
For Latvians, Ma¯ra appears in traditional folk beliefs,
song, in accordance with Baltic mythological concepts, are
legends, and folk songs either as a woman in white clothing,
the most fertile and productive of cows, more so than the
a mooing cow heavy with milk, or a toad or snake. Usually
smoke-dark cow. In giving it as a gift to the orphan girl,
Ma¯ra is called either M¯ı¸la¯ Ma¯ra (Dear Ma¯ra) or Sve¯ta¯ Ma¯ra
Ma¯ra demonstrates her benevolence but she also indirectly
(Holy Ma¯ra). In the first case this is a word formula, which
indicates the social status of the orphan as one without the
people use to directly or indirectly approach Ma¯ra with a plea
usual rights. For instance, the orphan girl is wed at night and
for her to be kind and protective to humans, which does not
not during the day, as is customary. In this and other folk
mean that the goddess is always kind and protective. The sec-
songs it can be seen that Ma¯ra’s tree is the willow, which
ond word formula (Sve¯ta¯ Ma¯ra) has furnished an additional
shows Ma¯ra’s link with ancient healing rituals—as well as
argument for scholars who have linked the origin of Ma¯ra’s
fertility, which in Latvian folk songs is often symbolized by
name to the Christian Holy Mary. Both the linguist Ja¯nis
the shiny leaves of the willow. Ma¯ra is expert in, and in
Endzel¯ıns and Pe¯teris Sˇmits proposed the theory in the first
charge of, healing herbs. Ma¯ras paparde, the legendary fern
half of the twentieth century that Latvians had derived the
blossom linked in Latvian folklore to the summer solstice,
word sv¯ets (holy, sacred, blessed, or saint, before a word),
is described through the use of a possessive adjective as be-
along with the Christian religion, from their neighboring
longing to Ma¯ra. Ma¯ra is the creator of the spotted flowers
Russians. In fact, the word sv¯ets is a Christian ecclesiastic
of the bean plant, a death and rebirth ritual plant, symboliz-
term that originates in the ancient Russian language. It does
ing fertility:
not mean, however, that this word could not have existed be-
Pupin¸ai raibi ziedi, Kas tos raibus darina¯ja? —M¯ı¸la¯
fore in the Latvian language as a way to refer to the concept
Ma¯ra darina¯ja, Debes¯ıs s¯ed¯edama. The bean has spotted
of sanctity (sv¯etums) in the pre-Christian context, because the
flowers, Who has made them spotted?—Dear Ma¯ra
word is based on the Indo-European root *kuei (shining,
made them so, While she sat in heaven.
bright, or white). If this ancient word sv¯ets had arrived in the
The structure of this folk song, which can be found in other
Latvian language by derivation, then there would not be as
folk songs mentioning Ma¯ra’s name, is that of a sacral dia-
many toponyms and, in particular, ancient hydronyms
logue similar to the ancient Indian sacral dialogues brah-
throughout the Latvian and Lithuanian territory derived
modia, which were created as oral components of a cosmo-
from this root form (e.g., Sve¯tupe, Sve¯te, and Svente¸li).
gonic ritual.
Moreover this root form appears in the synonym sv¯etelis (lit-
erally, “white” or “shining”), used for the bird stork. More
Ma¯ra is invoked in magic incantations aimed at stop-
precisely Sve¯ta¯ Ma¯ra in its oldest, pre-Christian sense was
ping bleeding (asinsva¯rdos; literally, “blood words”). In these
seemingly used to describe the deity’s essence and appear-
verses Ma¯ra appears with a gold broom in her hand and is
ance, as in Balta¯ sp¯ıdoˇsa¯ Ma¯ra (White shining Ma¯ra).
asked to sweep away the raven’s blood or the fast-flowing
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MA¯RA (AND GREAT MOTHERS)
5693
river, the latter being a euphemism for the taboo words of
whereas Ma¯ra is in charge of the netherworld and earth. In
human blood. An important role for Ma¯ra is the healing of
several Latvian mythological folk songs, Dievs is shown as
breaks and bruises. In several mythological folk songs, Ma¯ra
the ultimate judge over humans, the deity who brings on a
pieces together a broken jug (renewing the cosmos or micro-
monstrous flood as punishment for some unnamed viola-
cosmos). As she renews the cosmos she mends a broken limb
tion, while Ma¯ra is the one who averts Dievs’s anger:
or heals bruises:
Grib Dievin¸ˇs ˇso zem¯ıti Ar u¯deni sl¯ıcina¯t; M¯ı¸la¯ Ma¯ra
Dievin¸ˇs kru¯zu (kannu) sadauz¯ıja, Sv¯eta Ma¯ra salas¯ıja,
Dievu lu¯dza, Ap galvin¸u gla¯s¯ıdama. Dievin¸ˇs [dim. of
Sast¯ıpoja sudraba st¯ıpin¸a¯m, Lai nesa¯p, lai netu¯kst, Lai
Dievs] wants to drown This small land in flood waters;
netek ka¯ akmen¸am. Dievin¸ˇs [dim. of Dievs] broke a jug,
Dear Ma¯ra appeals to Dievs, Tenderly caressing his
Holy Ma¯ra picked up the pieces, Circled the jug with
head.
silver hoops, So it would not hurt, would not swell,
Ma¯ra is associated with water. She helps fishermen threat-
Would not leak as if [made] of stone. (Straubergs,
1939, no. 395)
ened with danger and guides sailors’ boats safely ashore, as
well as a boat of orphans across the sea. She is the one who
Ma¯ra is appealed to with special invocations in instances of
controls thunderstorms, tempests, and other natural disas-
birth complications during a woman’s labor. Sometimes in
ters. The concept of Ma¯ras avots (Ma¯ra’s spring) is connected
folk beliefs and in magic incantations Ma¯ra is personified as
to fertility. This is a special spring in which, during the sum-
a woman’s uterus. In such instances Ma¯ra (= dzemde in Latvi-
mer solstice or other major ritual festivities, women wash
an = uterus) is invoked to come and replace the uterus of a
themselves to gain fertility, health, and energy. In the best-
woman experiencing birth complications, and if Ma¯ra will
known sanctuaries in Latvia, such as zilie kalni (blue hills),
not take the place of the woman’s uterus she is threatened
Ma¯ra’s spring is often mentioned as a sacred object. The con-
with black cats or dogs who will bark and tear her to pieces:
cept of Ma¯ras bazn¯ıca (Ma¯ra’s church) also figures in folk
M¯ı¸la¯ Ma¯rin¸a, sv¯eta¯ Ma¯rin¸a, Sta¯vi sava¯ vietin¸a¯, guli sava¯
beliefs and legends, often as a place (forest, cave, pile of
vietin¸a¯! Necila¯jies, negrozies! Ja tu cila¯sies, ja tu groz¯ısies,
stones, etc.) where Ma¯ra endows humans (primarily women)
Na¯ks trejdevin¸iem strik¸iem, trejdevin¸iem pinek¸liem, tevi
with their share or what they deserve of wealth or good for-
t¯ıst¯ıs, tevi saist¯ıs. Dear Ma¯rin¸a [dim. of Ma¯ra], blessed
tune, or even poverty or ill fortune if the goddess has not re-
Ma¯rin¸a, Stay in your place, sleep in your place! Don’t
ceived sufficient offerings.
shift, don’t move! If you shift, if you move, They’ll
come with thrice nine ropes, [They’ll come] with thrice
Ma¯ra appears in mythological folk songs as the protec-
nine hobbles, To tie you up, to bind you. (Straubergs,
tress of the world of the dead, most often together with the
1938, no. 394)
sons of Dievs. On the far side of a bridge fashioned of bones,
Ma¯ra is also called upon in instances of snakebites, and as
across a river of blood, “shaking and trembling,” she wel-
a precautionary measure against meeting up with snakes in
comes the souls of soldiers fallen in battle. This is a word for-
the woods. Snakes as killers or as healers are under Ma¯ra’s
mula that suggests an ecstatic emotional experience or epiph-
supervision and, therefore, it is she and no other deity who
any and a transitional crisis situation.
is entreated by anyone wishing to evade snakebites. Ma¯ra is
Thursday night, the fifth night, specifically the time be-
mentioned in many folk songs as a deity who does harm and
tween Thursday and Friday, is frequently mentioned in ref-
is feared by humans, and against whose appearance from the
erences to Ma¯ra. Certain tasks primarily done by women,
sea or other waters people try to protect themselves. Humans
such as knitting and weaving, were forbidden on Thursday
wind a silver hoop around their houses so that Ma¯ra will not
evening. This was considered to be the night of Ma¯ra’s birth
appear as a destroyer of flowers in cases where flowers are as-
and this taboo was observed up until the nineteenth century
sociated with life. In other folk-song texts Ma¯ra is shown as
(and even as late as the twentieth century in several far cor-
standing under an aspen tree, shaking and making it tremble.
ners of the Latvian countryside). On this night one could not
The aspen tree is most often associated with dying and the
whistle or make any kind of noise because people believed
underworld in Baltic religious beliefs. Depicting Ma¯ra as
that on the fifth night all magicians and witches had been
standing under an aspen tree obviously underlines her am-
born, and noise could accidentally call them forth. Certain
bivalent nature and her link to the kingdom of the dead and
parallels can be drawn with similar beliefs about the fifth
her role as overseer of the underworld.
night in other European countries. Thus, for example, Friday
People, especially women, made offerings and sacrifices
in English is derived from the German and Scandinavian
to Ma¯ra to encourage her to appear more frequently in her
chthonic goddess Freyja.
benevolent rather than her destructive and harmful form.
Ma¯ra’s image among Catholics in the Baltics is quite
The most common sacrifice was a hen or a sheep. Sheep’s
different. This pertains, first of all, to Lithuania, and second-
wool and colored strands of wool were placed as offerings to
ly to eastern Latvia, where the Catholic region of Latgale is
Ma¯ra on the branches or in the hollows of trees, which most
located. Here the pre-Christian Ma¯ra’s image has fused with
often were linden trees.
the Catholic image of Holy Mary (Sve¯ta Marija in Latvian).
Ma¯ra’s opposite, a masculine deity, is Dievs, the god of
Prayers to Marija/Ma¯ra, the Mother of God, have become
light, who is in charge of the higher world, the heavens,
an important component of the Catholic faith practiced 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
5694
MARANKE, JOHN
the people. Thus, in Latgale on August 15 each year, on
Some of his instructors thought that he would eventually
Sva¯to¯s Marijas debesbraukˇsonas d¯ına (Feast of the Assump-
enter the Methodist ministry. In July of 1932, however,
tion of Holy Mary into heaven), there are mass pilgrimages
John, as he is referred to by his followers, received a spiritual
to Aglona Cathedral, where an altar painting of the Virgin
calling to start the Apostolic church. An account of the vi-
Mary that is considered to be a special source of miracles is
sionary experiences leading to his calling is presented in the
located. Ma¯ra’s/Marija’s sacred spring, whose healing power
Humbowo Hutswa we Vapostori (The New Revelation of the
is renowned from ancient times, is located near the cathedral.
Apostles), a book composed in the Shona language by Ma-
However, the majority of Latvians have retained in their tra-
ranke and viewed by the movement as a major ecclesiastical
ditional folk consciousness their own Great “Mother of all
text.
Mothers” image—that of Ma¯ra from pre-Christian times. In
When John was five years old, he began to hear strange
Latvian folk beliefs a special Ma¯ra’s day is celebrated several
voices and see visions. After a year of Methodist primary
times per year in honor of Ma¯ra.
school, he claimed that he had been visited by the Holy Spir-
SEE ALSO Goddess Worship.
it. He prayed continually and stood on top of anthills
preaching to the trees. During this time, John was plagued
BIBLIOGRAPHY
by a mysterious childhood illness that could not be diag-
Biezais, Haralds. Die Hauptgöttinnen der alten Letten. Uppsala,
nosed. Following this illness, he lived for a short period of
Sweden, 1955.
time in the mountains and was thought by his relatives and
Brastin¸ˇs, Arv¯ıds. Ma¯te Ma¯ra. Cleveland, 1967.
friends to be dead.
Brun¸enieks, Ma¯rtin¸ˇs. Senlatvieˇsu Laima. Riga, Latvia, 1940.
On the evening of July 17, 1932, near Mount Nyengwe
Gimbutas, Marija. The Language of the Goddess. San Francisco,
in Umtali District, John allegedly witnessed a bright light
1989. See page 134.
and heard a heavenly voice that said: “You are John the Bap-
Gimbutas, Marija. The Living Goddesses. Berkeley, 1999. See
tist, an Apostle. Now go and do my work. Go to every coun-
pages 159 and 202–203.
try and preach and convert people.” John regarded this vision
Karulis, Konstant¯ıns. “Vai latvieˇsu Ma¯ra ir Sve¯ta¯ Marija?”
as a divine calling from the Holy Spirit to found the Apostol-
Literatu¯ra un Ma¯ksla 8, no. 7 (1988): 4.
ic church.
Kurs¯ıte, Jan¯ına. “Ma¯ra.” In Latvieˇsu folklora m¯ıtu spogul¯ı,
pp. 258–300. Riga, Latvia, 1996.
Between 1932 and 1934, John’s church grew rapidly.
Riekstin¸ˇs, Hugo. “Ma¯ras dienas paraˇsas.” Labietis 4 (1939):
After the initial spiritual revelation, John, his brothers Con-
274–280.
orio and Anrod, and his uncle Peter Mupako went to spread
the news to the neighboring settlements. Ruka (Luke) Ma-
Rode, Oja¯rs. “Ma¯ra Afganista¯na¯.” Dievturu V¯estnesis 4 (1990):
17–20.
taruka, John’s brother-in-law, became the first convert and
evidenced signs of his spiritual calling immediately. John
Ryzˇakova, Svetlana. “‘Svjataja Mara’ v latyˇsskoj narodnoj
kul’ture.” Zˇivaja Starina (Moscow) 2 (1996): 42–46.
himself was baptized by Ruka. As the news of John’s revela-
tion spread beyond his extended family, people from all parts
Straubergs, Ka¯rlis. Latvieˇsu buramie va¯rdi. 2 vols. R¯ıga, 1939–
of the district flocked to him to receive spiritual healing.
1941.
V¯ık¸is-Freibergs, Vaira. “The Major Gods and Goddesses of An-
On Saturday, July 20, 1932, the first Apostolic Sabbath
cient Latvian Mythology.” In Linguistics and Poetics of Latvi-
was held near the Murozi, or “Jordan,” River, in which the
an Folk Songs, pp. 91–113. Kingston, Ontario, and Montre-
new converts were baptized. It is estimated that approximate-
al, 1989.
ly 150 new members were baptized on that day. Ruka was
Za¯l¯ıte, Ma¯ra. “Pilna Ma¯ras istabin¸a jeb tautasdziesmu Ma¯ras
made the first evangelist of the church. Two of John’s cous-
mekle¯jumos.” Varav¯ıksne, pp. 118–156. Riga, Latvia, 1985.
ins, Simon (Mushati) and Gwati, were designated respective-
JAN¯INA KURS¯ITE (2005)
ly as the first prophet and first secretary of the church; his
Translated by Margita Gail¯ıtis and Vija Kostoff
brother Conorio became the first healer. Momberume,
John’s father, was also baptized then and was made the elder
judge (mutongi) of the church, charged with resolving dis-
MARANKE, JOHN (1912–1963), African religious
putes.
prophet and founder of the Apostolic Church of John Ma-
On August 24, 1934, the Passover (Paseka or Pendi) of
ranke. John (or Johane) Maranke was born Muchabaya
the Apostolic church was held. This celebration was a com-
Ngomberume in 1912. His birthplace is believed to be near
bined reenactment of the Last Supper and a Eucharist. It was
Bondwe Mountain in the Maranke Tribal Trust Land of
also intended to commemorate the moment at which John
Southern Rhodesia. His father, Mombe-rume, was part of
Maranke received his initial calling from the Holy Spirit and,
the royal Sithole lineage, and his mother was the daughter
hence, was also known as the Pendi, or Pentecost. After
of the Shona chief Maranke.
John’s death, the date of the celebration was changed to July
Church records indicate that Maranke was baptized a
17, in honor of the date of John’s first calling. During the
Methodist under the name of Roston at the local mission.
Passover, Apostles from all regions gather to confess sins 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
MARANKE, JOHN
5695
the preceding year and to celebrate spiritual renewal. As the
while, the church spread northward to the Kasai Province of
church has grown, the importance of this celebration has in-
Zaire and to the capital, Kinshasa (then Léopoldville). Ka-
creased.
sanda Vincent and Mujanaie Marcel, the first spokesmen for
the group in the Kasai area, quickly acquired a large follow-
Eventually, a leadership hierarchy consisting of four
ing. Over the years, several schisms developed in the Zairian
spiritual gifts (bipedi) and three ranks (mianza) was estab-
branch of the Apostolic church. The major rift took place
lished for each Apostolic congregation. The spiritual gifts are
when Nawezi’s brother-in-law Musumbu Pierre broke away
designated as works of healing, evangelism, prophecy, and
from the Katanga congregation and acquired a large local fol-
baptism. Members are ordained within each spiritual gift.
lowing in the Kasai region. This struggle between Musumbu
The ranks within each gift are derived from the sacred word
and Nawezi was finally resolved in 1974 when the church
Lieb-Umah that John Maranke received in a prophetic reve-
center acknowledged Musumbu’s status as the first leader of
lation. The Apostles assert that this word means “he who
the Zairian branch and the official representative of the
speaks with God.” John specified that each Apostolic congre-
Zairian congregations.
gation should contain three Lieb-Umahs, or priests, for each
of the four gifts. Together, all of the men holding degrees
A similar pattern of growth took place in Angola and
of the Lieb-Umah rank within a single congregation consti-
Mozambique, where the Apostolic church went through the
tute the Committee of Twelve Elders charged with its gover-
characteristic pattern of rapid growth and subsequent
nance.
schism. By the early 1980s, there were an estimated three
hundred thousand members of the Maranke Apostolic
John and his relatives controlled the church from its
church in six central and southern African nations: Zimba-
center in Bocha, Zimbabwe (then Southern Rhodesia), until
bwe, Zaire, Angola, Mozambique, Malawi, and Zambia. The
his death (allegedly by poisoning) in 1963. In the late 1940s,
largest membership is concentrated in eastern Zimbabwe and
however, Ruka Mataruka gained a considerable following of
southwestern Zaire.
his own and broke away from the parent church. John chal-
lenged Ruka’s bid for power and was ultimately able to re-
THE IMPACT OF THE APOSTOLIC CHURCH IN CENTRAL AND
gain many of the dissident followers. After John’s death, a
SOUTHERN AFRICA. Apostolic theology is highly moralistic,
schism again divided the Zimbabwean branch of the church
emphasizing the keeping of commandments, observation of
when Simon Mushati formed another rival group. Simon ar-
food and other taboos, and the regular confession of sins.
gued that he had always been second to John in the leader-
The Apostles accept the Old and New Testaments of the
ship structure of the church and challenged the right of
Bible equally as the foundation for their belief. Saturday is
John’s eldest son, Abel, to succeed his father. Invoking Shona
kept as the sabbath day. Biblical teachings are supplemented
customary law, John’s brother Anrod performed a christian-
by John’s prophetic book New Witness of the Apostles, which
ized version of the traditional inheritance ceremony and
is considered to provide spiritual and moral directives for a
passed on the leadership to John’s eldest sons, Abel and
better life. Emphasis is placed on Holy Spirit inspiration and
Makebo. By this time, the church was so large that it was
faith healing.
necessary to travel to outlying districts and to other countries
Apostolic doctrine involves a clear reaction to the mis-
to perform the Passover. Abel, as John’s legitimate successor,
sion churches. Voluntary polygamy is condoned, and church
was given the power to perform the Passover and to lead the
members are encouraged to avoid Western medical treat-
church. He divided these responsibilities with his younger
ment. At the same time, Apostles eschew many aspects of tra-
brother Makebo, who traveled north to Nyasaland (now Ma-
ditional religion, including the veneration of the ancestors
lawi) and east to Mozambique on his behalf. By the 1960s,
and the use of herbal medicines and charms. The role of
there were an estimated fifty thousand Maranke Apostles in
women as ceremonial leaders is emphasized in the church,
Zimbabwe alone.
and they hold the positions of prophetesses and healers. Al-
THE APOSTOLIC MOVEMENT ON AN INTERNATIONAL
though marriage is not considered a sacrament among the
SCALE. The Apostolic church entered Zambia (then North-
Apostles, the customary dowry is de-emphasized and the im-
ern Rhodesia) and Malawi (then Nyasaland) by 1948. Ini-
portance of the family unit is stressed.
tially, the Shona evangelist Kasimil visited these areas and
Ceremonies are conducted in multiple languages, and
baptized many new converts who subsequently spread the
church liturgy varies somewhat from one congregation to an-
word among their relatives and in neighboring villages. The
other, although the basic format of worship remains consis-
early congregations also contained many Shona members
tent. While the influence of John Maranke as a prophet and
who had migrated north in search of work.
founder is acknowledged by all congregations, there has been
In 1952, Nawezi Petro, a Zairian of Lunda origin, en-
no attempt to elevate him to divine or messianic status. He
countered the Shona Apostles on a visit to Southern Rhode-
is considered to be a messenger of God and a reformer whose
sia. He claimed that they healed his wife of tuberculosis after
interpretation of Christianity has made it relevant to large
a series of European doctors had failed to do so. Nawezi and
segments of the African population. The movement contains
his wife immediately converted and returned home to intro-
an innovative combination of African customs and Chris-
duce the church to Katanga Province (now Shaba). Mean-
tianity. The charismatic appeal of the church and an ability
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5696
MARATHI RELIGIONS
to absorb cultural variations have accounted for its spread
and the Sahya¯dri Mountains (Western Gha¯t:s), called the
and popularity across several African nations.
Kon˙kan; the fertile northeastern region of Vidarbha, in cen-
tral India; and, between these, the De´s, the Marathi-speaking
BIBLIOGRAPHY
part of the Deccan plateau, including the upper reaches of
Aquina, Mary, O.P. “The People of the Spirit: An Independent
the Godavar¯ı and Kr:s:n:a river systems. The upper Goda¯var¯ı
Church in Rhodesia.” Africa 37 (1967): 203–219. Contains
valley is also called Mara¯t:hva¯d:a¯.
a brief account of the Apostolic movement in the Karanga
T
area of Southern Rhodesia during the 1950s with an explana-
HE DEVELOPMENT OF MARATHI AND MAHARASHTRIAN
tion of its doctrine and rituals. Emphasis is placed on the role
RELIGION. The earliest examples of the Marathi language are
of confession for church members.
found in inscriptions from the eleventh century. By the late
Daneel, M. L. Old and New in Southern Shona Independent
thirteenth century, when the Yadava kingdom governed
Churches, vol.1, Background and Rise of the Major Movements.
most of the area known as Maharashtra and Marathi litera-
The Hague, 1971. A detailed historical account of the back-
ture began to appear, the language was already well devel-
ground and rise of several Shona traditional cults and inde-
oped. Three sorts of writings came into being at about the
pendent churches, including a discussion of the early years
same time, setting in motion very different religious move-
of the Apostolic Church of John Maranke in eastern Zimba-
ments.
bwe.
In Vidarbha, a court-supported philosopher, Mukun:-
Jules-Rosette, Bennetta. African Apostles: Ritual and Conversion in
the Church of John Maranke. Ithaca, N. Y., 1975. A study of
d:ara¯ja¯, wrote the Vivekasindhu, a philosophical treatise in the
the Apostolic Church of John Maranke in Zaire, Zambia,
Advaita Veda¯nta tradition of S´an˙kara. Mukun:d:ara¯ja¯ created
and Zimbabwe, containing a detailed account of the Zairian
no cult or school, but his influence is reflected in later work,
branch and discussion of ritual and the conversion process
particularly that of the seventeenth-century Ra¯mda¯s, a re-
in the church based on firsthand ethnographic materials.
ligio-political saint contemporaneous with the birth of the
Jules-Rosette, Bennetta, ed. The New Religions of Africa. Nor-
Mara¯t:ha¯ nation under S´ivaji.
wood, N. J., 1979. An edited collection of eleven essays on
The thirteenth century also saw the beginnings of two
new African religious movements containing an article on
the role of women as leaders in the Maranke Apostolic
religious movements that continue in the early twenty-first
church and an introductory comparison of the Maranke
century. The Va¯rkar¯ı sect, which is the area’s most popular
Apostles with related movements in the same region.
devotional religious movement and which has an important
Maranke, John. The New Witness of the Apostles. Translated by
literature, understands itself to have begun with Jña¯ne´svar.
J. S. Kusotera. Bocha, Rhodesia, 1953. A mimeographed
Jña¯ne´svar was the author of an approximately nine-
pamphlet, giving an autobiographical account of the spiritual
thousand-verse commentary on the Bhagavadg¯ıta¯ called the
visions of John Maranke and the history of the founding of
Jña¯ne´svar¯ı, a work strongly influenced by the Advaita of
the church from his perspective; outlines the commandments
S´an˙kara. A number of devotional poems (abhan˙gas) ad-
and moral directives governing church membership.
dressed to the deity Vit:hoba¯ of Pan:d:harpu¯r are also ascribed
Murphree, Marshall W. Christianity and the Shona. New York,
to Jña¯ne´svar; it is on the basis of these that he is considered
1969. A study of Christianity among the Shona of the Budja
the first of a line of poet-saints who composed songs in honor
area of Mtoko District in Zimbabwe, containing an account
of Vit:hoba¯, whom Va¯rkar¯ıs take to be a form of Kr:s:n:a.
of the relationships among the Methodists, the Roman Cath-
These poet-saints, numbering around forty, include
olics, and the Maranke Apostles in the area. A description of
Na¯mdev, a contemporary of Jña¯ne´svar to whom Hindi as
Apostolic doctrine and ritual is included.
well as Marathi poems are ascribed; Cokha¯mela¯, an un-
B
¯
ENNETTA JULES-ROSETTE (1987)
touchable; Ekna¯th, a sixteenth-century brahman from
Pait:han: on the Goda¯var¯ı River; and Tuka¯ra¯m, the most pop-
ular Maharashtrian poet-saint, a seventeenth-century ´su¯dra
MARATHI RELIGIONS. The Marathi language,
grocer who lived in Dehu, near Pune (Poona). Members of
which has demarcated the area in western India called Maha-
the Va¯rkar¯ı sect, virtually all of whom are Maharashtrians,
rashtra for almost a thousand years, is an Indo-European lan-
still sing the songs of these poet-saints and carry images of
guage of North India that includes elements from the Dra-
their footwear in an annual pilgrimage to Pan:d:harpu¯r.
vidian languages of South India as well. Other elements of
The Maha¯nubha¯v sect is not so widely popular today
Maharashtrian culture—food, marriage customs, the pat-
as the Va¯rkar¯ı sect, but it has an important place in the reli-
terns of caste groupings, and many aspects of religion—also
gious history of Maharashtra. Founded by the thirteenth-
reflect the fact that the Marathi-speaking area is a bridge be-
century Cakradhar, the Maha¯nubha¯v sect produced a large
tween North and South. To the mix of Indo-European and
body of prose hagiographies and poetry. The sect spread pri-
Dravidian is added a mix of Vais:n:ava and S´aiva traditions,
marily in the valley of the Goda¯var¯ı River and in Vidarbha.
and the whole is contained by a remarkable sense of the area’s
Like the Va¯rkar¯ıs, Maha¯nubha¯vs are devotees of Kr:s:n:a; but
unity and integrity.
they exceed the Va¯rkar¯ıs in their rejection of Brahmanic
The major persistent natural and cultural subregions of
caste and pollution rules, and in their espousal of an ascetic
Maharashtra are the coastal strip between the Arabian Sea
way of life.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARATHI RELIGIONS
5697
Another sect important in medieval Maharashtra was
uality as well. Bhava¯n¯ı, for example, was worshiped by the
that of the Na¯ths, whose influence can be discerned in the
seventeenth-century Mara¯t:ha¯ king S´iva¯j¯ı in the form of his
early history and literature of the Va¯rkar¯ıs and
sword.
Maha¯nubha¯vs. The Na¯ths were a sect of ascetics and yogins
who specialized in various kinds of occult knowledge and
Distinct from temple priests, who in S´aiva and goddess
who were devoted to the god S´iva. Aside from legends con-
temples are not necessarily brahmans but often belong to the
cerning the Navana¯th, or Nine Na¯ths, the strongest Na¯th in-
gurav caste, there are special types of mendicant devotee-
fluence today is probably in the figure of Datta¯treya, to be
performers attached to several of the major pilgrimage deities
discussed below.
of Maharashtra. Va¯ghya¯s and mural:¯ıs, for instance, are such
devotees, dedicated to Khan˙d:oba¯: mural:¯ıs are women danc-
MAHARASHTRIAN DEITIES. Although the two bhakti (devo-
ers and va¯ghya¯s are male devotees whose devotional perfor-
tional) sects of the Va¯rkar¯ıs and the Maha¯nubha¯vs are more
mances sometimes involve acting like dogs, since a dog ac-
pronouncedly Vais:n:ava (or, rather, Kr:s:n:aite) than S´aiva,
companies Khan˙d:oba¯. The most popular of such folk-
there is evidence of a S´aiva background against which they
religious figures are gondhal:¯ıs, who are devotees of goddesses,
spread. And in the village and pastoral cults of Maharashtra,
particularly of Ren:uka¯ of Ma¯hu¯r and Tul:ja¯ Bhava¯ni. Their
goddesses and S´aiva gods are far more prominent than Visnu
performance, the gondhal:, combines music and storytelling,
or Kr:s:n:a.
usually at a wedding or other family occasion, but the
Pilgrimage deities. The most important pilgrimage
gondhal:¯ı also serves as bard, singing the heroic pava¯d:a¯s that
deity of Maharashtra is Vit:hoba¯ of Pan:d:harpu¯r, whose pri-
celebrate Maharashtrian bravery from the time of S´iva¯j¯ı on.
mary mythological indentification is with Kr:s:n:a, but who
Other deities. The figure of Datta¯treya illustrates a Ma-
also has strong connections with S´iva and who may have
harashtrian reworking of religious influences from both
originated in a pastoral hero cult. Besides Vit:hoba¯, most
North and South, as well as the synthesizing of S´aiva and
other major Maharashtrian pilgrimage deities are goddesses
Vais:n:ava motifs. A r:s:i (“seer”) in Sanskrit epic and Pura¯n:ic
and S´aiva gods. Of the many S´iva temples in Maharashtra,
literature, Datta first appears in Marathi literature as one of
the two most important to Indian pilgrimage traditions may
the five Maha¯nubha¯v incarnations of the supreme God,
be Bh¯ıma´san˙kar in Pune District and Tryambake´svar in
Parame´svara. By the sixteenth century, however, Datta is
Nasik District. Both temples are basic to the Maharashtrian
clearly in the mainstream Hindu tradition, and has begun
landscape, since they are at the sources of the important
to be represented as the Brahma¯-Vis:n:u-S´iva triad, in one
Bh¯ıma and Goda¯var¯ı rivers, respectively. Along with several
body with three heads. Shortly before that time, incarnations
other Maharashtrian S´iva temples, these two claim to be
of the god began to appear on Maharashtrian soil, and many
among the most important S´iva temples in all of India, the
believe that Datta has appeared in modern times, as Sa¯¯ı
twelve jyotirlin˙gas. Tryambake´svar, together with the nearby
Ba¯ba¯, as the Sva¯m¯ı of Akkalkot:, or as some other avata¯ra.
city of Na¯sik, is one of the four sites of the twelve-year cycle
Datta’s chief and very popular pilgrimage center is at
of Kumbha Mela¯s.
Ga¯n˙ga¯pu¯r, located to the south of Maharashtra in northern
Several other important pilgrimage deities, more or less
Karnataka state. As in the northern tradition, Datta is seen
closely identified with S´iva, appear to be deities of pastoral-
as the patron deity of ascetics. Another element in Ma-
ists, tribals, and warriors, eventually adopted by settled agri-
harashtrian Datta worship is that while he is seen as a brah-
culturalists as well. Perhaps the most prominent of these is
man, he has also become guru for people in all walks of life,
Khan˙d:oba¯, whose temples at Jejur¯ı, near Pune, and at
even, it is said, for prostitutes, and his three-headed image
Ma¯lega¯v (Nanded District) attract large numbers of pilgrims
or an image of one of his avataras is found at all levels of
¯
from a wide range of castes. Other extremely popular pil-
society.
grimage deities of this sort are S´ambhu Maha¯dev at
The elephant-headed god Gan:e´sa or Gan:apati is also
Singn:a¯pu¯r (Satara District) and Jyotiba¯ at Va¯d:¯ı Ratna¯giri
particularly important in Maharashtra. There is a formal pil-
(Kolhapur District).
grimage route of eight centers, all fairly near Pune, where
Four goddess temples that ring the Marathi-speaking
svayambhu¯ (“self-formed”) elephant-headed stones bestow
area are also among the principal Maharashtrian pilgrimage
blessings as images of Gan:e´sa, but much more frequently
places: the temple of Mahalaksm¯ı at Kolha¯pu¯r, that of
worshiped are the representations of Gan:e´sa fixed over the
Bhava¯n¯ı at Tulja¯pu¯r (Usmanabad District), that of Ren:uka¯
doors of homes, brilliant with red coloring; among the stone
¯
at Ma¯hu¯r (Nanded District), and that of Sapta´sr:n˙g¯ı, at Van:¯ı
sculptures on temple walls; and appearing here and there in
near Na¯sik. These temples are linked to the religious geogra-
the open countryside or in small shrines on city streets.
phy of all of India as three and a half of the 108 ´sakti p¯ıt:has,
Gan:e´sa was the family deity of the Pes:va¯s, the Citpa¯van
places where, according to a Pura¯nic story, body parts of
brahmans who ruled from Pune after the time of S´iva¯j¯ı, and
S´iva’s wife Sat¯ı were scattered throughout India; Sapta´sr:n˙g¯ı
the numerically small in numbers but nevertheless influential
is said to be the one-half p¯ıt:ha and thus is somewhat less im-
Citpa¯vans are still among Gan:apati’s principal worshipers.
portant than the other three. Although they are all identified
The annual Gan:e´sa festival has become a widely popular
as ´sakti p¯ıt:has, each goddess has her own history and individ-
public event since 1893, when the nationalist leader Bal
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5698
MARATHI RELIGIONS
Gangadhar Tilak organized it as a way to celebrate patriotism
• Na¯g Pañcam¯ı: one of the many days of fasting and wor-
through religious means.
ship during the month of S´ra¯van: (July–August), this fes-
The god Ra¯m is found in temples throughout Maha-
tival is held on the fifth day of the month and is charac-
rashtra, but seems not to carry the cultural importance found
terized by the worship of snakes and by women’s songs
in great public events like the Ra¯ml¯ıla¯ in the Hindi-speaking
and games.
area. Ra¯m’s devotee, the monkey god Ma¯ruti (Hanuma¯n),
• Pola¯: a festival usually celebrated on the no-moon day
is tightly woven into Maharashtrian rural life; a Ma¯ruti tem-
at the end of the month of S´ra¯van:, a day on which the
ple is found in almost every Maharashtrian village or on its
bullocks used in agricultural work are decorated, wor-
outskirts. Other deities prominent as village protectors are
shiped, and led in procession around the village.
goddesses with names ending in a¯¯ı (“mother”), ba¯¯ı (“lady”)
or dev¯ı (“goddess”), such as Mar¯ıa¯¯ı, the goddess of pesti-
In addition to such annual festivals, there are certain days of
lence.
each fortnight and of each week that are especially dedicated
to particular gods and that are observed by special worship
RITUALS. The ritual life of Maharashtrian Hindus includes
of those gods and/or by fasting in their honor. For example,
festivals regulated by the calendar, celebrations of events in
Monday is for S´iva, Tuesday and Friday for goddesses,
the human life cycle, and rituals performed in response to
Thursday for Datta¯treya, Saturday for S´ani (Saturn), Sunday
individual or collective crises.
for Khan˙d:oba¯, the fourth day of each fortnight for Gan:e´sa,
Calendrical rites. Rituals occurring annually include
the eleventh day of the fortnight for Vit:hoba¯, the thirteenth
pilgrimage festivals (jatra¯s) to particular places at particular
day for S´iva, and so on.
times, and festivals celebrated locally or domestically in an
annual cycle. Maharashtrian Hindus follow the luni-solar
Life-cycle rites. Besides marriage and funeral rituals,
calendar, ending months with the no-moon day (the ama¯nta
those of the classical Hindu life-cycle rites (sam:ska¯ras) most
system), as in South India, rather than with the full-moon
commonly celebrated in Maharashtra today are the ceremo-
day (the pu¯rn:ima¯nta system), as in North India. The greatest
ny of naming a child (this is performed on or near the twelfth
concentration of pilgrimage festivals occurs during the
(ba¯ra¯va¯) day after the child’s birth and is hence called
month of Caitra (March–April), the first month of the
ba¯rsem:), and the ceremony, primarily among brahmans, of
Hindu calendar, but such festivals take place throughout
initiating young boys and investing them with the sacred
the year. The pilgrimage deities mentioned above account
thread (muñja). In addition, there are several rituals celebrat-
for only a fraction of the thousands of jatra¯s occurring every
ing the early married life and pregnancy of young women.
year in Maharashtra.
These rituals are generally performed by women and are not
included in the classical list of sam:ska¯ras. Such, for example,
Of local and domestic festivals, some of the most popu-
are Man˙gal:a¯ Gaur¯ı, the worship of the goddess Gaur¯ı and
lar in Maharashtra are the following.
playing of women’s games on a Tuesday of the month of
• Diva¯l:¯ı: a complex of several festival days occurring at
S´ra¯van:, for the first five years of a woman’s married life, and
the end of the month of A¯´svin and the beginning of the
D:oha¯l:ejevan:, a celebration in honor of a pregnant woman,
month of Ka¯rtik (generally in October), celebrated do-
named for the cravings of pregnancy (d:oha¯la¯).
mestically, most prominently by decorating homes with
Crisis rites. Rituals of crisis in Maharashtra most com-
lighted lamps.
monly take the form of a navas: one promises a deity that
• Navara¯tra: a festival in honor of goddesses celebrated for
one will perform a particular fast or pilgrimage in his or her
the first nine days of the month of A¯´svin (September–
honor, or make some particular offering, if one gets a certain
October); Navara¯tra culminates on the tenth day with
desired object—most typically, the birth of a son. If that ob-
Dasara¯ or Vijayada´sam¯ı, a festival of triumph that is tra-
ject is attained, one must keep one’s promise (navas
ditionally considered an auspicious day for inaugurating
phed:an:em:). With the notable exception of Vit:hoba¯ of
military campaigns or other enterprises.
Pan:d:harpu¯r, many of the chief pilgrimage deities of Maha-
• The Gan:e´sa festival: a ten-day festival ending on the
rashtra are said to answer such prayers (navasa¯la¯ pa¯vanem:);
fourteenth day of the month of Bha¯drapad (August–
and many Maharashtrian pilgrimages, whether at special fes-
September), in which temporary images of the elephant-
tival times or otherwise, are made in fulfillment of a navas.
headed deity Gan:e´sa are worshiped in home shrines
In addition, there are village deities, such as Mar¯ıa¯¯ı (the
(and, following Tilak’s innovations, in elaborate neigh-
cholera goddess) and S´¯ıtala¯ (the smallpox goddess), who are
borhood shrines in cities and towns as well); in some
especially propitiated for curing individuals of disease and for
homes, women set up temporary shrines in honor of the
averting or bringing to an end such disasters as epidemics
goddess Gaur¯ı (Pa¯rvat¯ı) for three days during the
and droughts which affect an entire village. Mar¯ıa¯¯ı is served
Gan:e´sa festival.
by a potra¯j—always, until the contemporary conversion to
• Vat:asa¯vitr¯ı: a vrata (a fast and ritual) performed by mar-
Buddhism, an untouchable maha¯r—who carries a whip and
ried women on the full moon day of the month of
a burning rope, wears a skirt made of women’s blouse pieces,
Jyes:t:ha (May–June) for their husbands’ welfare.
and acts as priest for the goddess.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARATHI RELIGIONS
5699
A popular but elaborate ritual called the Satyana¯ra¯yan:
nagar District. Here the Kanya¯ Kuma¯r¯ı Stha¯n, a young
Pu¯ja¯ is most common in modern, urban environments. It is
women’s religious training institute, was established, en-
performed in fulfillment of a navas, for thanksgiving, for
abling women to become full-fledged ascetics. The most re-
safety on a journey, or for prosperity or success of some sort.
cent development is a program in Pune that trains women
as Vedic ritual priests.
CHANGES IN HINDUISM IN MODERN MAHARASHTRA. Mod-
ern changes in Maharashtrian religion are many and varied,
Maharashtra is home also of many gurus and their ash-
ranging from the training of women as ritual priests to a
rams, the best known being Meher Ba¯ba¯’s center at Ahmad-
large-scale conversion from Hinduism to Buddhism (see
nagar, Mukta¯nanda’s at Ganeshpuri near Mumbai, and Raj-
below). Two streams of change in the nineteenth century af-
neesh’s in Pune. All of these have Western as well as Indian
fected the intellectual history of Hinduism, but seem not to
adherents. There are also many gurus whose followers are all
have influenced common practice. Gopal Hari Deshmukh
Indian, such as Gaja¯nan Maha¯raj of Shegaon and Swa¯m¯ı Sa-
(1823–1892), writing as Lokahitava¯d:¯ı (“he who is concerned
marth of Akkalkot.
for the people’s welfare”), set in motion a reform and liberal-
RELIGIOUS MINORITIES. Of the non-Hindu religions in Ma-
ization of Hindu practice that was later organized as the
harashtra, Buddhism, Islam, and Christianity account for
Pra¯rthana¯ Sama¯j, the “prayer society.” This was the Ma-
roughly 7, 8, and 1.5 percent of the population, respectively.
harashtrian counterpart of the Bengali Bra¯hmo Sama¯j, but
Jains are few in number but important as merchants as are
was not as separated from mainstream Hindu life as the lat-
the Muslim merchant groups of Bohras, Khojas, and Me-
ter. The “non-brahman movement” begun by Jotiba¯ Phule
mons. There is little writing on either contemporary Islam
(1828–1890) was also liberalizing and rationalizing, but car-
or Christianity in the Maharashtrian context, but there is
ried the additional message that brahman dominance was so-
much information on the most recent change in religion, the
cially, politically, and, indeed, religiously destructive to the
conversion to Buddhism.
welfare of the lower classes. Phule’s Satyashodhak Sama¯j
(Truth Seeking Society) brought his religious ideas and ideals
The initial Buddhist conversion took place in the city
to every corner of the Des and Vidarbha. The chief carryover
of Nagpur in 1956 and has spread all over Maharashtra (and
of Phule’s movement in the first half of the twentieth centu-
to many urban areas of India); the conversion movement is
ry, however, was political rather than religious. Phule is
still gaining adherents. After a series of frustrated attempts
revered today in the Ambedkar movement.
on the part of untouchables to enter temples, B. R. Ambed-
kar (1891–1956), an untouchable mahar educator, reformer,
The institutional changes in Hinduism in the modern
and statesman, declared in 1935 that he “would not die a
period incude the Gan˙apati festival as reorganized by Tilak;
Hindu.” The conversion was postponed for twenty years
the formation of the Ra¯s:t:r¯ıya Svayam:sevak San˙gh, a
while political activities took precedence, but just before his
paramilitary service organization with a religious base for
death, Dr. Ambedkar publicly became a Buddhist and called
young men with a branch for women, and the training of
for conversion to that once-important Indian religion. More
women as sannyasis and as priests. While the Ra¯s:t:r¯ıya
than six million adherents, the majority of them in Maha-
Svayam:sevak San˙gh (RSS) has spread over much of India, it
rashtra, now list themselves as Buddhist, and a Buddhist lit-
originated in the city of Nagpur in Vidarbha, and is still of
erature in Marathi, a growing order of Buddhist monks, and
great importance all over Maharashtra, particularly among
a program of building Buddhist viharas (temples) now mark
brahmans. Begun by Dr. K. B. Hedgewar (1889–1940), the
the Maharashtrian scene. Many of the converts draw inspira-
RSS was both a Hindu revival organization that combined
tion from the world-famous ancient Buddhist cave-temples
Sanskrit prayer with military drill and a nationalistic service
in Maharashtra, especially the complexes at Ajanta and
organization. Its leadership is celibate and promises lifelong
Ellora.
dedication to the organization, but the majority of its mem-
bers become associated with the youth groups of the RSS and
The writing on contemporary Islam in the state is al-
maintain their formal affiliation only as long as they are stu-
most non-existent, but there seems to have been a consider-
dents. The RSS is linked to the conservative Bha¯rat¯ıya Janata¯
able mixture of Hinduism and Islam in the past. Shaykh
Paks:a (BJP) political party, but retains its separate existence
Muh:ammad was an honored saint-poet within the bhakti
as a non-political body. It traces its intellectual heritage to
tradition in the fifteenth century; the god Da¯ttatreya often
the Hindu revivalistic thought of Bal Gangadhar Tilak and
appeared as a faq¯ır, or Muslim holy man, to his disciples; Sa¯¯ı
V¯ır Savarkar, both also ardent nationalists.
Baba of Shirdi was a Muslim but now is chiefly worshiped
by Hindus, who flock to his center and pray to him for mate-
Women have been of consequence in Maharashtrian re-
rial well-being. The sea shrine of Ha¯j¯ı A¯l¯ı in Mumbai, acces-
ligion from the days of Cakradhar and Jña¯ne´svar, and
sible at low tide, is visited by Indians of all religions.
Mukta¯ba¯¯ı, Jana¯ba¯¯ı, Soyra¯ba¯¯ı, and Bahin:a¯ba¯¯ı are important
Muh:arram is the name of the first month of the Muslim
figures in the Va¯rkar¯ı movement. A pattern of prominent
year, and the first ten days of that month are an important
women devotees of even more prominent male saints was re-
festival also known by that name. In the past Hindus partici-
peated in the twentieth century as Goda¯var¯ı Ma¯ta¯ succeeded
pated in great numbers in the Muharram festival, and visited
Upa¯san¯ı Ba¯ba¯ at the important ashram at Sakori in Ahmad-
the shrines of S:u¯f¯ı saints. There is less participation in Mu-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5700
MARCION
harram today, but the festival continues to be important to
Va¯rkar¯ı pilgrimage. Dilip Chitre’s translations of the bhakta
Sh¯ıEa¯ Muslims. It is a solemn occasion associated with the
Tuka¯ra¯m, Tuka Says, first published as a Penguin Classic, is
memory of H:usayn, son of the Prophet’s daughter by EAl¯ı,
now available in a more comprehensive edition published by
and commemorates the death of H:usayn in the battle of Kar-
the Sontheimer Cultural Association in Pune. Shankar
bala in 680
Gopal Tulpule’s Classical Marathi Literature from the Begin-
CE. The festival involves a temporary structure
called an ima¯mba¯ra for gatherings; the standard of a hand
ning to AD 1818 in A History of Indian Literature, vol. 9, fasc.
4, edited by Jan Gonda (Wiesbaden, 1979), gives a thorough
placed on a pole, emblematic of the five members of the fam-
survey of Va¯rkar¯ı and Maha¯nubha¯v literature, as well as of
ily of the Prophet; a procession carrying a replica of H:usayn’s
other premodern religious literature in Marathi; this work in-
tomb, called a ta¯bu¯t, which culminates in its immersion in
cludes generous bibliographical footnotes. An earlier work,
the river (at least in Pune); and a feast, which is also observed
R. D. Ranade’s Indian Mysticism: The Poet-Saints of Maha-
by Sunnis. Muslims observe the ninth month of the Muslim
rashtra (1933; reprint, Albany, N. Y., 1983) provides exten-
year, Ra¯mada¯n, with fasting.
sive summaries of the thought of Ramdas and most of the
Va¯rkar¯ı poet saints.
Christian conversion in the area, outside of the Portu-
guese presence in Goa, began in the nineteenth century, with
Madhukar Shripad Mate’s Temples and Legends of Maharashtra
the American Marathi Mission being the most important of
(Bombay, 1962) describes several of the most important pil-
grimage temples of Maharashtra; and thousands of pilgrim-
the foreign groups. Justin Abbott and others of this mission
age festivals are listed in Fairs and Festivals in Maharashtra,
did much to translate the Va¯rkar¯ı poets into English, and
vol. 10 of Census of India, 1961, part 7B (Bombay, 1969).
one famous convert of the mission, Narayan Vaman Tilak,
Günther-Dietz Sontheimer’s Pastoral Dieties in Western
wrote Christian bhakti hymns in Marathi. Another influen-
India, translated from the German by Anne Feldhaus (New
tial convert, not connected to any Maharashtrian institution,
York, 1989), is a richly detailed study of the religious tradi-
was Pandita Ramabai, who wrote on social and women’s is-
tions of Maharashtrian pastoralists, including myths of
sues, established a home for girls, and introduced Braille to
Biroba¯, Mhaskoba¯, and Khan˙d:oba¯. John M. Stanley analyzes
India. The educational institutions, particularly the colleges,
the meaning of a Khan˙d:oba¯ festival in “Special Time, Special
established by both Protestants and Catholics, are very im-
Power,” Journal of Asian Studies 37 (1977): 37–48. Anne
portant. Festivals are also important, especially the feast of
Feldhaus’s Water and Womanhood: Religious Meanings of Riv-
Mary’s Nativity at the famous shrine of Our Lady of the
ers in Maharashtra (New York, 1995) is based on extensive
fieldwork in the state. Two older works containing a wealth
Mount in Bandra in Mumbai. While the feast is held in
of information on Maharashtrian folklore are R. E. Entho-
other parts of the West Coast on September 8, coincident
ven’s The Folklore of Bombay (London, 1924) and John Ab-
with the harvest, the Bandra festival goes on for a week with
bott’s The Keys of Power: A Study of Indian Ritual and Belief
several hundred thousand people venerating the ancient stat-
(1932; reprint, Secaucus, N. J., 1974).
ue in the shrine and attending the Bandra fair. There is also
For developments in the modern period, see Matthew Lederle’s
a feast for St. Gonsalo Garcia, the first Indian born saint, and
Philosophical Trends in Modern Maharastra (Bombay, 1976),
an older feast for St. Francis Xavier, whose tomb is in Goa,
which provides a good survey of the major religious-
on December 3.
philosophical thinkers. Eleanor Zelliot’s From Untouchable
The small but culturally and economically important
to Dalit: Essays on the Ambedkar Movement (3d edition, New
Delhi, 2001) provides material on the Buddhist conversion.
group of Parsis, eighth-century Zoroastrian immigrants from
The Experience of Hinduism: Essays on Religion in
Persia, is primarily based in Mumbai and other large cities
Maharashtra, edited by Eleanor Zelliot and Maxine Berntsen
of Maharashtra.There is also a small group of Marathi-
(Albany, N. Y., 1988) contains essays on contemporary reli-
speaking Jews, the Bene Israeli, most of whom have migrated
gion, including V. M. Sirsikar on “My Years in the R.S.S.,”
to Israel.
and the last k¯ırtan of the reformer-saint Gadge Maharaj.
SEE ALSO Ambedkar, B. R.; Bra¯hmo Sama¯j; Hindu Reli-
ELEANOR ZELLIOT (1987 AND 2005)
gious Year; Indian Religions, article on Rural Traditions;
ANNE FELDHAUS (1987 AND 2005)
Parsis; Pilgrimage, article on Hindu Pilgrimage; Poetry, arti-
cle on Indian Religious Poetry; Rites of Passage, article on
Hindu Rites; Tilak, Bal Gangadhar.
MARCION (d. 160?), founder of an independent Chris-
tian church in the second century and influential exponent
BIBLIOGRAPHY
of the idea that God’s sole attribute is goodness. Marcion was
The most thorough and prolific writer on the religious traditions
born toward the end of the first century in Sinope, a city in
of Maharashtra, including folk traditions, is R. C. Dhere,
Pontus, on the southern coast of the Black Sea. A shipowner
who writes in Marathi. His Vit:t:hal, Ek Maha¯samanvay
by profession and a man of wealth, he was a member of the
(Poona, 1984) is the most comprehensive work on the
Vit:hoba¯ cult to date. The standard work on this subject in
Christian church in his home city (where, according to some
English is G. A. Deleury’s The Cult of Vit:hoba¯ (Poona,
sources, his father was bishop), but he left there after being
1960). A recent account is Palkhi: A Pilgrimage to
ejected by the church. He lived for a time in western Asia
Pan:d:harpu¯r by D. B. Mokashi, translated by Philip C. Eng-
Minor but again left because his ideas found little accep-
blom (Albany, N. Y., 1987), which adds to the reality of the
tance. In Rome he became a member of that city’s more cos-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARCION
5701
mopolitan congregation, presenting it with the large gift of
his contrast between the creator God and the high God who
200,000 sesterces, and came under the influence of Cerdo,
is the father of Jesus, his depreciation of the world, his dual-
a Christian teacher from Asia. As his ideas became more
ism, his docetic Christology (his view that Christ did not
clearly defined, he ran into conflict with the leaders of the
have a real human body), and his rejection of the Old Testa-
church in Rome, and in 144 he founded his own church (his
ment—there were affinities with Gnosticism, perhaps
money was returned), which spread rapidly throughout the
through the influence of Cerdo and others he met at Rome.
Roman Empire and came to rival the Catholic Church. By
But Marcion had little sympathy for the speculative systems
the end of the century, there were Marcionite congregations
of the Gnostic teachers: he did not think that salvation comes
in cities throughout the Roman world, and writers in Greek
through gno¯sis (“knowledge”), and he had a different anthro-
(Justin Martyr), Latin (Tertullian), and Syriac (Bardesanes,
pology (there is no “spark of light” in human beings; they
or Bardaisan) were refuting his views.
are wholly the work of the creator God) and a different view
of redemption.
Both because of his success in establishing an organiza-
tion parallel to the “great” church, with its own bishops, el-
Marcion was the first Christian to put together a collec-
ders, catechumens, liturgy, and canon of holy scripture, and
tion of books (a canon) as a standard for Christian life and
his radical conception of God as love, Marcion is a signifi-
teaching. His canon of the New Testament, in contrast to
cant figure in early Christian history. He taught that Chris-
the generally accepted Christian collection of twenty-seven
tianity has no relation to the Judaism from which it sprang,
books, comprised an edited version of the gospel of Luke
he rejected the Hebrew scriptures in their entirety, and he
(omitting such parts as the infancy narratives, genealogy,
abbreviated the New Testament to conform to his teaching.
baptism, and temptation) and ten epistles of Paul (not in-
He believed that the God of Jesus Christ has nothing to do
cluding 1 Timothy, 2 Timothy, and Titus) with the references
with, and is superior to, the God of the Hebrew scriptures
to God as judge and passages dealing with punishment or the
who created the world, and he believed that Jesus came to
fulfillment of Jewish prophecy edited out. His effort to pro-
reveal an utterly new and strange God, who is of pure good-
vide an original and authentic witness to the gospel was a
ness and mercy and without wrath or judgment. Marcion
powerful impetus toward the adoption of an approved list
claimed to have learned this message from the apostle Paul,
of books by the Catholic Church. Marcion also figures in the
who, he believed, was alone among the early Christian lead-
history of textual criticism of the New Testament, although
ers in understanding the revelation in Christ. While most
recent scholarship has tended to see his work less as that of
Christians saw continuity between the covenant with Israel
an independent witness and more as a testimony to one
and the new covenant initiated under Jesus, Marcion saw
branch of the textual tradition.
only contradiction and opposition, and by a selective reading
Marcion wrote one book, Antitheses, which is known
of the scriptures he sought to restore and repristinate the
only through fragments and allusions in the writings of his
original and authentic faith that had been obscured by Chris-
critics. It consisted of a series of contradictory statements set-
tian teachers. He did not, however, make any claims for him-
ting forth opposition between the creator God of the Old
self, either as a prophet or as a holy man. He saw himself as
Testament and the good and benevolent God of Jesus, be-
a teacher and a man of learning who pointed beyond himself
tween the Jewish law and the Christian gospel. Though de-
to the teachings of Jesus and Paul.
signed as a polemical and theological work, it assumed a
creedlike status as a confession of faith within the Marcionite
Like other Christian thinkers from this period whose
congregations and served as a key for interpreting the scrip-
views were not accepted by the growing consensus, Marcion
tures.
has gone down in history as a “heretic,” but this epithet
should not obscure his importance. At a time when questions
Besides taking an active part in the formation of the bib-
such as the relation of Christianity to Judaism, the place of
lical canon, Marcion indirectly forced Christian thinkers of
the Hebrew scriptures (Christian Old Testament) in Chris-
the second and third centuries to clarify their ideas on the
tian life and thinking, the proper method for interpreting
relation between the Old Testament and the New Testament
scripture (especially passages that describe God as capricious,
and led them to affirm that the Hebrew scriptures were not
despotic, or vindictive), and indeed the very terms in which
to be discarded by the church. In modern times, largely
the Christian faith would be expressed, were matters of in-
through the historical and theological interpretation of the
tense dispute, Marcion provided clear and unequivocal an-
nineteenth-century German church historian Adolf von
swers. He also emphasized a central element in Christianity,
Harnack, there has been renewed interest in Marcion as an
the boundless grace of God, a point that was lost on his crit-
original Christian thinker with an alternative vision of the
ics. Marcion repudiated all attempts to see Christ as the ful-
Christian faith; his admirers have included figures as diverse
fillment of ancient prophecy. Christ is wholly unique and
as the Marxist Ernst Bloch and the historian Arnold
must be set apart from everything, that is, from Judaism, the
Toynbee.
created world, and the God who made the world.
BIBLIOGRAPHY
His critics classified him among the Gnostics, but he
Aland, Barbara. “Marcion: Versuch einer neuen Interpretation,”
does not fit easily into this classification. On certain points—
Zeitschrift für Theologie und Kirche 70 (1973): 420–447.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5702
MARCIONISM
Blackman, Edwin C. Marcion and His Influence. London, 1948.
Roman world: Asia Minor, Crete, western and eastern Syria,
Harnack, Adolf von. Marcion: Das Evangelium vom fremden Gott;
Palestine, Alexandria, Carthage, and Rome. To untutored
Eine Monographie zur Geschichte der Grundlegung der
Christians its churches could hardly be distinguished from
katholischen Kirche. Leipzig, 1921. A fundamental study,
the Catholic Church, so similar were they in organization
with a collection of the most important texts.
and ritual. To bishops and theologians, however, Marcio-
Hoffman, R. Joseph. Marcion and the Restitution of Christianity.
nism was a deadly foe, and a series of key thinkers opposed
Chico, Calif., 1984.
it vigorously. It is mentioned by such diverse writers as
Irenaeus, Tertullian, Origen, Cyril of Jerusalem, Basil of
ROBERT L. WILKEN (1987)
Caesarea, Epiphanius of Cyprus, Adamantius, Bardesanes
(Bardaisan), Theodore of Mopsuestia, and Theodoret of
Cyrrhus. A fourth-century creed from Laodicea, a city on the
MARCIONISM. The movement known as Marcionism
Syrian coast, confesses “one God, ruler, God of the law and
was founded in the second century by Marcion, an early
the gospel,” suggesting that the framers thought it necessary
Christian teacher from Sinope in Asia Minor. Of the many
to separate Catholic Christianity from Marcionism. As late
early Christian sects the Marcionites were among the most
as the fifth century some villages in Syria were predominantly
successful, creating a parallel organization to the Catholic
Marcionite. After that time little is known about the move-
Church. The Marcionite church existed in recognizable form
ment.
for over three hundred years, until the middle of the fifth
century. The oldest inscription from any Christian church
BIBLIOGRAPHY
building is from a Marcionite church in a small village south
Blackman, Edwin C. Marcion and His Influence. London, 1948.
of Damascus. The inscription, in Greek, identifies the build-
Harnack, Adolf von. Marcion: Das Evangelium vom fremden Gott;
ing as the “gathering place [synagoge] of the Marcionites of
Eine Monographie zur Geschichte der Grundlegung der
the village of Lebabon of the Lord and Savior Jesus Christ
katholischen Kirche. Leipzig, 1921.
under the leadership of Paul the presbyter” and is dated 318–
ROBERT L. WILKEN (1987)
319. This inscription is evidence not only of the continua-
tion of the Marcionite movement into the fourth century,
but of the benefit it received from the toleration extended
to the Catholic Church. The use of the word Marcionite, a
MARDUK (also known as Bel, “lord”) was a god of the
term of opprobrium to other Christians, shows the venera-
city of Babylon who rose from being an obscure god of the
tion in which the founder was held.
Sumerian pantheon to become head of the Babylonian pan-
theon by the first millennium
Marcion broke with the Catholic Church in Rome in
BCE. The name was probably
pronounced Marutuk, which possibly had the short form
144. By the end of the second century, Marcionite churches
Marduk. Etymologically it is probably derived from amar-
could be found in cities throughout the Roman Empire. The
Utu (“bull calf of the sun god Utu”). This name may not be
central elements of Marcionism are rejection of the Old Tes-
genealogically accurate, since Marduk was normally consid-
tament (the Hebrew scriptures) and the creator God por-
ered to be the son of Enki, the god of underground fresh wa-
trayed there; belief in a strange God who has nothing to do
ters. It may reflect an earlier genealogy, or may have had a
with the world and who is revealed in Jesus Christ; accep-
political origin, in which case it would indicate that the city
tance of Marcion’s Bible, a pared-down version of the New
of Babylon was in the cultural orbit of the more important
Testament comprising an edited text of the gospel of Luke
city of Sippar (whose god was Utu, the sun god) in the Early
and ten epistles of Paul; and acceptance of Marcion’s own
Dynastic times (early third millennium
work, Antitheses, used as a key to the interpretation of the
BCE). Marduk was
probably already the god of Babylon in this early period, but
scriptures. The Marcionites followed a strict ascetic life that
he first became a great god with the rise of Babylon as capital
forbade marriage and encouraged the avoidance of wine and
of the Old Babylonian kingdom under Hammurabi in the
meat (but allowed fish). Perforce the movement spread
eighteenth century
through the winning of new converts, not by birth, and yet
BCE. The kings of the Old Babylonian
dynasty owed special allegiance to Marduk as god of Baby-
was extraordinarily successful.
lon, and he became in effect the royal god.
Marcionism developed its own brand of orthodoxy, but
Marduk continued to rise in popularity after the decline
under Apelles, a disciple who eventually broke with his mas-
of the Old Babylonian period. When his (captured) cult stat-
ter, there was an effort to modify Marcion’s dualism and to
ue was returned to Babylon during the reign of Nebucha-
trace all things back to a single principle. Apelles also taught
drezzar I in the twelfth century BCE, Marduk was officially
that Christ had a real body though he did not undergo a
recognized as head of the Babylonian pantheon. His rise was
human birth. Over the centuries, however, the main ideas
effected in theological terms through his identification with
of the group remained remarkably durable.
Asarluhi, the god of the minor southern city of Kuaru, who
Evidence of the survival of Marcionism can be found
was closely associated with Enki and was considered his first-
from the third, fourth, and fifth centuries in all parts of the
born son. The process of identifying Marduk and Asarluhi
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARDU RELIGION
5703
began before the establishment of the Old Babylonian king-
to preserve and restore his worshipers. Marduk was consid-
dom, for it is attested in a letter-prayer of King Siniddinam
ered a powerful and fierce god who punished sinners but
of Larsa in which Asarluhi is called “god of Babylon.”
who at the same time could be merciful and pardon his fol-
Marduk became known as the firstborn of Enki, and he took
lowers. In this judgmental role he is the subject of several lit-
Asarluhi’s place as Enki’s assistant/partner in the magical lit-
erary prayers and of Ludlul bel ne-meqi (“I will praise the wise
erature. The identification of Marduk with Asarluhi was
lord”), sometimes called “the Babylonian Job,” a wisdom
eventually so thorough that Asarluhi ceased to be remem-
work about a righteous sufferer whose fortunes declined
bered as an originally distinct god, and the name “Asarluhi”
abysmally but who was ultimately restored by Marduk.
was simply used as the name for Marduk, both in Akkadian
literature and in the Sumerian portion of bilingual Sumeri-
SEE ALSO Akitu; Dying and Rising Gods; Enuma Elish;
an-Akkadian literature (where Marduk appears in the parallel
Mesopotamian Religions, overview article.
Akkadian line).
BIBLIOGRAPHY
The ultimate rise of Marduk to become king of the Bab-
Frymer-Kensky, Tikva. “The Tribulations of Marduk: The So-
ylonian pantheon is described in Enuma elish, the most im-
Called ‘Marduk Ordeal Text.’” Journal of the American Ori-
portant mythological work in which Marduk appears. This
ental Society 103 (January–March 1983): 131–141.
lengthy myth was written in the second half of the second
Lambert, W. G. “Three Literary Prayers of the Babylonians.” Ar-
millennium, probably circa 1200 BCE. It declares its main
chiv für Orientforschung 19 (1959–1960): 47–66.
purpose to be the exaltation of the god Marduk. Enuma elish
Lambert, W. G. Babylonian Wisdom Literature. Oxford, 1960. See
was a state myth, and it was read aloud to the assembled pop-
pages 21–62.
ulace as part of the Akitu festival, the spring New Year cele-
Lambert, W. G. “The Reign of Nebuchadnezzar I.” In The Seed
bration, in the first millennium BCE.
of Wisdom: Essays in Honor of Theophile James Meek, edited
Marduk’s political fortunes are also mythologized in an
by W. S. McCullough, pp. 3–13. Toronto, 1964.
esoteric text called the Tribulations of Marduk or the Ordeal
Lambert, W. G. “Studies in Marduk.” Bulletin of the School of Ori-
of Marduk. Although it was originally understood to be a tale
ental and African Studies 47 (1984): 1–9.
of a dying and resurrected god, there is no basis for this inter-
Soden, Wolfram von. “Gibt es ein Zeugnis defür, dass die Babylo-
pretation and no evidence at all that Marduk was a vegeta-
nier an die Wiederauferstehung Marduks geglaubt haben?”
tion-type dying god. The text is cast in the form of an esoter-
Zeitschrift für Assyriologie 51 (May 1955): 130–166.
ic cultic commentary, possibly of events of the New Year
Sommerfeld, Walter. Der Aufstieg Marduks: Die Stellung Marduks
ritual. Unlike other extant esoteric commentaries, this one
in der babylonischen Religion des zweiten Jahrtausends v. Chr.
was written for wide distribution. It relates cultic elements
“Alter Orient und Altes Testament,” vol. 213. Neukirchen-
of the ritual to the misfortunes of Marduk, who has been
Vluyn, 1982.
captured, sentenced, and imprisoned by other gods; at the
New Sources
time of the text someone is interceding on behalf of Marduk,
Black, Jeremy A. Gods, Demons and Symbols of Ancient Mesopota-
and there is a hint in the text that Marduk is or is about to
mia. Austin, 1992.
be freed. The text is manifestly political, with the enmity be-
Bottéro, Jean. Mesopotamia: Writing, Reasoning, and the Gods.
tween Ashur and Marduk alluding to that between Assyria
Chicago, 1995.
and Babylonia. There may also be an allusion to the return
Bottéro, Jean. Religion in Ancient Mesopotamia. Chicago, 2001.
of the statue of Marduk in 669 BCE from the “Assyrian cap-
tivity” it had remained in since Sennacherib’s destruction of
Greenspahn, Frederick E. Essential Papers on Israel and the Ancient
the temple of Marduk twenty years earlier. The celebration
Near East. New York, 1991.
of the statue’s return as a vindication of Marduk may be anal-
Janzen, J. Gerald. “On the Moral Nature of God’s Power: Yahweh
ogous to the composition of Enuma elish on the occasion of
and the Sea in Job and Deutero-Isaiah.” Catholic Bible Quar-
an earlier return of the god’s statue.
terly 56 (July 1994): 458–479.
TIKVA FRYMER-KENSKY (1987)
Marduk is prominent in the magical literature, particu-
Revised Bibliography
larly in the Marduk-Ea (originally, Asarluhi-Enki) type of in-
cantation. In these texts, a problem situation (such as illness)
is described. Asarluhi (Marduk) relates the problem to Enki
(Ea), who responds with a formulaic “My son, what do I
MARDU RELIGION. The name Mardu refers collec-
know that you do not know, to your knowledge what can
tively to Aborigines belonging to a number of language-
I add?” Enki then spells out a ritual to be followed to alleviate
named groups in Western Australia, principally the Kartujar-
the problem. Here Asarluhi-Marduk is seen as almost the
ra, Manyjilyjarra, and Warnman. Their traditional home-
overseer of humanity. This involvement with humanity is
lands lie in the vicinity of Lake Disappointment, a huge salt
also underscored in Shurpu, a ritual text used to relieve the
lake in the Gibson Desert, between 22° to 25° south latitude
distress of someone suffering for a sin of which he has no
and 122° to 126° east longitude. It is impossible to estimate
knowledge; in it Marduk is addressed as the god who is able
accurately the population of these groups prior to contact
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5704
MARDU RELIGION
with Europeans, but today they number about 1,600. Many
tors, is nonetheless believed to have its origins in spiritual,
of them live in incorporated communities, run by elected
not human, actions. Since all knowledge and power are said
Aboriginal councillors, at Jigalong, Parnngurr and Punmu,
to derive from the spiritual realm, the Aborigines in effect
and in towns such as Newman, Nullagine, Marble Bar and
deny the human innovatory component in their culture.
Port Hedland. The Mardu speak mutually intelligible dia-
They understand history in cosmic rather than chronological
lects of the Western Desert language, which covers one-sixth
terms, and they grant primacy to spiritual conceptions of
of the continent.
cause, being, and purpose. This certainly does not mean that
people are denied their individuality, but simply that creativ-
Since the mid-1960s, when the last groups of previously
ity is not admissible as part of the measure of a person’s social
uncontacted desert people moved into settlements, there
worth. In the Aboriginal view, human worth is based on con-
have been no fully nomadic hunter-gatherers living beyond
formity to the founding design and on its perpetuation,
the range of white Australian cultural influences. In the
which ensures that power will continue to flow from the spir-
Western Desert region, their migration into settlements was
itual realm and thus maintain the fertility of all life forms.
gradual, beginning around the late 1800s. Some of the small,
scattered bands that had exploited large overlapping tracts in
At the heart of Aboriginal religion is the Dreaming, a
their arid homelands began making contact with Europeans
complex concept that embodies a creative era long past but
living at outposts on the pastoral frontier. Since then, their
also implicates the present and the future. During the
sedentarisation and increasing involvement with whites has
Dreaming powerful ancestral beings, singly or in groups, are
wrought many changes: today they wear clothes, live in hous-
believed to have transformed the face of Australia in the
es, watch television, shop in supermarkets, and so on, and
course of their wanderings and creative activities. They hunt-
continue to battle with the pernicious consequences of colo-
ed and gathered in much the same way as their human de-
nization, including high rates of unemployment, “life-style”
scendants, but much of their behavior was on a grander scale
diseases such as diabetes, kidney failure, and problems arising
and sometimes more excessive than that permitted the first
from alcohol misuse. Yet the Mardu retain strong continui-
people they left behind as pioneers of human society. Aborig-
ties with their past in major beliefs and behaviors pertaining
ines point to a host of topographical features as undeniable
to kinship, religion, and values. Much of their rich religious
proof of the Dreaming’s reality. The eternal verities of the
life has been maintained into the present, because religion
Dreaming are also encoded in mythology, rituals, songs, and
was absolutely fundamental to their culture. It is tenaciously
objects, and all relate back to the land, the bedrock of meta-
maintained, albeit in a progressively more attenuated form,
physical conceptions that formulate an indivisible unity of
and still underpins Mardu worldview. Some Mardu have be-
spirit and substance.
come Christians, but usually as a complement to, rather than
a replacement for, the traditional religion.
When their earthly wanderings ended, the creative be-
ings “died,” and they metamorphosed into landforms or ce-
It is important to stress that, despite the use of the pres-
lestial bodies, where their spiritual essence remains, with-
ent tense, this account refers to a past era, prior to and fol-
drawn from, but watchful of, human affairs. The creative
lowing initial contacts with the invading Europeans. It is,
beings release enabling power into the human realm in re-
however, constructed on the basis of direct observation and
sponse not to prayer or sacrifice, which have no place in Ab-
interviews occurring during field research since 1963. Over
original religion, but to ritual performance. Individuals who
this period, this author has observed many changes, and al-
are able to transcend their human consciousness for brief pe-
though the religious life has become less vigorous, it remains
riods (during dreams, dances, visions, or heightened emo-
highly significant in the lives of most Mardu.
tional states) may also bring about a release of power. The
withdrawn creative ancestors use spirit beings as intermedi-
THE SPIRITUAL IMPERATIVE. Traditional Australian Aborigi-
aries for direct intervention in human affairs, most often
nal cultures are notable for the striking contrast they exhibit
while people are sleeping, and such encounters result in the
between comparatively simple material technologies and so-
transference of new knowledge and power from the spiritual
cial and religious forms that reveal great richness and com-
realm. To maintain the unity they perceive in their cosmic
plexity. Clear proof of the adaptational skills of the Aborigi-
order, the Mardu must, as their spiritual imperative demands
nes can be seen in their success in colonizing all of a
of them, perform rituals regularly and in the proper manner,
continent that is almost three-quarters arid. Yet to appreciate
and they must also obey the dictates of the life design that
fully their cultural accomplishments it is vital to understand
is the legacy of the Dreaming.
how completely religion pervades their lives. The Aborigines
base their existence firmly in the belief that spiritual beings
THE TOTEMIC CONNECTION. The Mardu see themselves as
are the sources and controllers of all power. As they under-
quite distinct from the natural world because of their culture
stand it, spiritual power flows freely into the human realm
and their ritual control over all fertility, yet they acknowledge
as long as they act out their lives in accordance with the
their intimate relationship with it. Totemic beliefs express
grand design originally laid out by their spiritual forefathers
and affirm this link, by positing a unity between individuals
in the world-creating era. Aborigines learn obedience to the
or groups and elements of the natural world. To the Mardu,
dictates of a heritage that, while transmitted by their ances-
the animals, birds, plants, or minerals that are identified 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
MARDU RELIGION
5705
totems are signs or exemplifiers of the link between humans
idi, a ceremonial feast held at the site of a group’s secret cache
and nature, so their religious significance lies not in the par-
of sacred objects, which are then revealed to the novice for
ticular identity of the totem, but in the linkage it represents.
the first time. After his introduction to the spiritual roots of
There are totemic connections linking Mardu groups to natu-
his own being, a young man must subsequently go through
ral species, but these are much less significant than the ways
the same ritual in neighboring territories and thus gain for-
in which totemism connects individuals to their spiritual ori-
mal admission to the natural resources and ritual activities
gins. These ascribed affiliations are experienced as enduring
in those areas. The final initiatory stages entail the cutting
and unbreakable bonds uniting every individual to the great
and carving of sacred objects symbolizing the novice’s links
powers of the Dreaming. The two most important forms of
to his home territory, its creative beings, and the Dreaming.
individual totemism, which are closely related in Mardu
This stage completed, a man is entitled to claim his be-
thought, can most aptly be termed “ancestral” and “concep-
trothed in marriage. Throughout the rest of his life he con-
tion.” Wherever creative beings traveled during the Dream-
tinues to acquire more knowledge through participation in
ing, they left behind inexhaustible supplies of life essence or
rituals, and by middle age he is referred to as a nindibuga
power from which tiny spirit-children emanate. Thus a per-
(“knowledgeable one”). With old age comes increased wis-
son’s ancestral totem derives from whichever creative being
dom, respect, and a less physically active role in ritual life.
or group of beings “left him or her behind.” The totem is
W
identified by linking the area or site where an individual was
OMEN’S ROLE IN THE RELIGIOUS LIFE. Men control the
secret and sacred core of the religion and the major rituals
conceived with knowledge regarding the particular creative
whose performance is considered by all Mardu to be essential
beings known to have traveled through or lived there during
to the future of their society. Women do not dispute men’s
the Dreaming. Before entering its human mother, the spirit-
dominance of the religious life. They, too, are actively in-
child disguises itself in some plant, animal, or mineral form,
volved in many aspects of it, and have their own secret-sacred
which, when recognized by the parents, becomes the child’s
rituals and associated objects, but they devote much less time
conception totem. People may share the same object or spe-
to religious activities than men do and must arrange their ac-
cies as a totem, but never exactly the same set of circum-
tivities to fit in with the plans of the men, not vice versa.
stances or events that mark their “coming into being.” So,
Women collect the bulk of the food supply and maintain the
in combination, these two forms of totemic affiliation not
life of the camp while men are engaged in religious activity,
only enable everyone to establish his or her descent from the
but they are also active participants in many rituals that are
marvels of the Dreaming epoch but also provide each indi-
held in the camping area. In a passive sense, too, women and
vidual with a unique facet of social identity. The medium
children provide a vital baseline or antithesis for men’s divi-
of the totem itself is less important culturally than the mes-
sion of life into dangerous-exclusive and mundane-inclusive
sage of a personalized link between the individual and the
dimensions. The conviction of mature men that only they
associated spirit-child and Dreaming event.
have the knowledge to control powerful and dangerous spiri-
LIFE CYCLE AND MALE INITIATION. The Mardu do not pos-
tual forces invests their religious life with much of its tension
sess reincarnation beliefs, but they view life as cyclical in that
and excitement.
it begins and ends with a spirit or soul that is indestructible.
The life crises of birth, menarche, and marriage are not ritu-
MYTHOLOGY AND SONG SEQUENCE. Mardu learn much
alized. A young woman’s change of status to wife and mother
about their spiritual heritage and about the Dreaming from
is unheralded, and involves an essential continuity in activi-
a rich mythology, which relates how things came to be as
ties, for she is already an accomplished food provider. Males,
they are and outlines the memorable events of the Dreaming
by comparison, undergo a protracted and richly detailed ini-
era. Long narrative myths chronicle the travels of the creative
tiation into social adulthood and are not permitted to marry
beings, following the paths they took and dwelling on the
until they have passed through a long series of named initia-
naming of places, but details of their secret-sacred doings are
tory stages. They learn to endure physical operations, to obey
known only to initiated men. Together with song sequences
their elders, to observe strict taboos, to hunt meat for the
and, in many cases, rituals, these narratives broaden people’s
older men in payment for ritual knowledge, and to assist in
horizons by providing vivid mental and “historical” maps of
the supervision and care of younger novices.
areas that may as yet be unseen, so that when people do visit
such places for the first time they already “know” them in
At about age sixteen, after they have undergone minor
a religious sense. There are times and situations that are con-
rites involving tooth evulsion and the piercing of the nasal
ducive to the telling of myths, even when this is an informal
septum, youths are circumcised amid a great deal of ceremo-
affair: for example, when children have the spiritual signifi-
nial that is modeled symbolically on death and rebirth. The
cance of landforms explained to them, or when initiates view
large ceremonies that conclude several months of preparation
secret-sacred objects for the first time and have extra details
focus the energy and attention of the community on the sev-
added to the version of the myth they already know.
eral novices who are circumcised together. Within a year full
manhood will be attained via subincision, an operation in
All major rituals have an associated sequence of songs,
which the ventral surface of the penis is slit open. Of the ini-
which follows the movement of the creative beings con-
tiatory stages that follow, the most important is the Mirday-
cerned and highlights in cryptic fashion the more notable
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5706
MARDU RELIGION
events of the Dreaming. Rote learning of the hundreds of
gathering of mature men directs the meeting, and the host
songs in a given sequence is made easier by the brevity of
group is most active in master-of-ceremonies roles. There is
each song, which consists only of a few words, and by repeti-
much discussion and consultation between the sexes and
tion (each is sung several times). There is great variation in
among the groups present. Ritual leadership is situational
pitch, tempo, and loudness, and the singing often generates
and changes as the rituals performed change. Ritual activities
great excitement among performers and audience alike. In
usually alternate between the camp area and secret bush
some public rituals women and children join in the singing
grounds that are tabooed to women and children. Singing
and sometimes dance. The song sequence and myth associat-
and dancing sometimes continue day and night.
ed with a given ritual are often very similar in theme, but the
Both men and women attain senior ritual status by re-
song sequence is not a mnemonic for the myth such that it
peated participation in the religious life over a period of
would be possible to reconstruct the myth from the songs.
many years and by diligent performance of their allotted
RITUAL. Mardu group rituals are culturally more important
tasks. The men with the highest status are generally elderly;
than individual rites, but both have the same aim: to induce
they prepare food for ceremonial feasts, advise and direct rit-
the flow of power from the spiritual realm for human benefit.
uals, dance the major secret-sacred dances, and caretake the
The manipulative aspects of ritual as communication are
caches of sacred objects. Next in the hierarchy are the active
most evident in individual rites, most of which are publicly
middle-aged men, who manage the ritual activity, transmit
performed and socially approved. However, some individu-
directives from those above them, and perform many impor-
als and groups are believed to practice sorcery, which is in-
tant dances. Below them are the legmen, who play major
voked at times as an explanation for serious illness or sudden
roles as hunters and as supervisors of novices. At the lowest
death. Most individual ritual acts are spontaneous, as when
level are the partly initiated young male novices, who must
magic is used to make a strong wind abate or to beckon a
obey all instructions, look on in silence, and learn.
rain-bearing cloud. Although any adult with the requisite
Group rituals may be organized, too, when enough
knowledge can perform such acts, they are most often the
bands are assembled to provide the needed personnel. The
task of diviner-curers (mabarn), who are said to possess
death of anyone older than an infant is an occasion for ritual,
stronger psychic and magical powers than others. These part-
which is performed by members of bands that are in the vi-
time specialists use their diagnostic and curative skills for the
cinity at the time, and the reburial of the bones, which occurs
benefit of sick individuals and the community at large.
a year or two later, is the more significant ritual event.
One vitally important ritual that involves relatively few
The Mardu have two major ritual categories: manguny-
actors is the “increase” rite. This generally simple and brief
janu, said to have been passed down from the Dreaming; and
rite is performed annually at particular sites, scattered
bardunjarijanu (“from the dream spirit”), which have been
throughout the Western Desert, that are the spirit homes of
revealed to humans during their dreams. The Dreaming ritu-
many different plants and animals. The purpose of the in-
als predominate, but it is highly likely that they were origi-
crease rite is to summon the spirits concerned to emerge,
nally of the second type, wherein spirit-being intermediaries
scatter, and be plentiful. There is at least one such site within
of the creative beings encounter humans during dreams and
the home area of every local group, so the Mardu and their
reveal ritual information. Men share these revelations with
neighbors are mutually dependent in ensuring through ritual
others, who then have similar dream experiences and add de-
the continued supply of food resources.
tails concerning the necessary body decorations, song lyrics
and tunes, and dances. When a new ritual comes into being,
The major focus of group rituals is the japal (“big meet-
the old one is passed on to other groups and, with the passage
ing”), a large assembly of bands from a wide area, who meet
of time and over great distances, becomes identified as a
perhaps once or twice a year at a prearranged site when food
Dreaming ritual. The great appeal of the dream-spirit ritual
and water resources permit. These gatherings mark the high
is that it requires no special ground and can be staged with
points of the Mardu social calendar, when much activity is
a minimum of preparation by small groups. Women and
crammed into a short space of time in an atmosphere of ex-
children join in the singing and a little of the dancing, and
citement and intensified sociality. Besides their vitally impor-
are excluded from only a small part of the proceedings. Al-
tant religious functions, Big Meetings provide an occasion
though its secret-sacred element is not large, dream-spirit rit-
for settling major disputes, arranging marriages, gift ex-
ual is taken just as seriously by the men as are the important
changes, and disseminating a large amount of information
Dreaming rituals.
and gossip. Initiatory rituals usually form the major focus of
religious activity, but many other ceremonies are held as well,
The Mardu identify some of their rituals in terms of a
and the exchange of religious lore is a major item of business.
specific, primary purpose, such as rainmaking or increase of
Initially there is an important division between hosts and vis-
species, but all their rituals fulfill very important functions
itors, but this soon dissolves in favor of kinship consider-
in the culture. As acts of communication and commemora-
ations in the conduct of the affairs at hand. The timing and
tion, rituals maintain the relevance of the Dreaming in the
coordination of large numbers of people and a complex divi-
present. They are educational because novices are invariably
sion of labor demand planning and direction. An informal
involved, and they are beneficial because participants acquire
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARETT, R. R.
5707
strength and protection against malevolent powers through
perpetuate. Further knowledge and power are available to the
contact with the spiritual realm. To be effective, rituals re-
living through the mediating activities of spirit beings, which
quire the harmonious unity of participants and the complete
link the spiritual and human realms. How, then, can newly
absence of conflict. In the Western Desert, group rituals
acquired knowledge undergo transformation from peripher-
override many other kinds of allegiances and thus serve to
al, individually experienced phenomena into communally
dilute rather than reinforce any tendencies toward local paro-
shared and supposedly timeless structures of the religious
chialism. The widely shared major rituals, in particular, force
life? One example of this process was provided above, in the
people’s attention outward to regional concerns and wider
brief description of the creation of dream-spirit rituals from
bonds of interdependence, in which survival in this extreme-
what initially are highly individual experiences. But once in
ly harsh land is ultimately grounded.
existence, both ritual structures and song sequences become
S
highly circumscribed in performance, and the necessity for
ITES AND PORTABLE OBJECTS. Particular landforms and a
variety of portable objects provide tangible reminders of the
faithful reproduction precludes them from becoming com-
reality and power of the Dreaming. The sites created in the
mon avenues for the incorporation of new religious knowl-
epoch of the Dreaming elicit powerful emotions of belong-
edge that is individually acquired. Mythology, on the other
ing that anchor a people to their home territory. Portable ob-
hand, has an inherent flexibility that makes it an ideal vehicle
jects derive sacredness and power from their believed origins
for incorporative purposes. In the easy and informal atmo-
in, or close association with, the Dreaming. The most sacred
sphere of myth telling, people are free to indulge in elabora-
are stones said to be the metamorphosed parts of the bodies
tion and character development while leaving intact the main
of ancestral beings and wooden boards that men carve in rep-
story line and theme. But myths also lend themselves readily
resentation of similar power-laden objects that were carried
to expansion to accommodate new information flowing from
by the creative beings. In addition to these highly valued
dream revelations and the discovery of hitherto unlocated sa-
group-owned objects are those that are individually owned.
cred objects. Once new knowledge is embedded within exist-
Each man has a bundle of secret and nonsecret parapherna-
ing myths, the Aborigines may examine the associated song
lia; these are often items of gift exchange and are frequently
sequence, if one exists, and reinterpret the meaning of the
displayed and discussed when groups of men meet informal-
cryptic references therein, so as to accord with the truths of
ly.
the expanded myth. In this way, and in the absence of the
written word, changing political, social, and religious reali-
CONCLUSION. The genius in Mardu religion resides in its
ties are validated and absorbed effortlessly into the ahistori-
successful accommodation of two strongly contradictory ele-
cal, cosmological flow of time. Thus is the “is-now” trans-
ments: the everyday reality of an inherently dynamic culture
formed into the “ever-was” of the Dreaming.
and a dominant ideology that stresses continuity and change-
lessness. This ideology is founded in the concept of the
SEE ALSO Australian Indigenous Religions, overview article;
Dreaming, which ordained a life design that is held to be
Dreaming, The.
fixed and immutable, so as to assure (prior to the European
invasion, that is) the continuity of present and future with
BIBLIOGRAPHY
the founding past. Throughout the desert there is a continual
Two monographs that deal with the past and present of Mardu
diffusion and circulation of religious lore, and Aborigines are
religion are my own The Jigalong Mob: Aboriginal Victors of
regularly engaged in the creation, acquisition, performance,
the Desert Crusade (Menlo Park, Calif., 1974) and The
and transmission of their religion. How, then, can the
Mardu Aborigines: Living the Dream in Australia’s Desert (re-
Mardu accommodate the undeniable facts of change in an
vised and enlarged 2d ed., Fort Worth, 1991). Aspects of
ideological framework that entertains no notion of progress
Western Desert religion are discussed in Ronald M. Berndt’s
Australian Aboriginal Religion, 4 vols. (Leiden, 1974), in
or evolution?
Ronald M. Berndt and Catherine H. Berndt’s The World of
A close examination of the structure of their rituals pro-
the First Australians, 2d ed. (Canberra, 1988), and in an early
vides an important clue. Each “new” ritual is in fact a unique
monograph by the same authors, A Preliminary Account of
recombination of already existing constituent elements rath-
Field Work in the Ooldea Region, Western South Australia
er than a structure fabricated from hitherto unknown com-
(Sydney, 1945). A book by noted ethno-archaeologist Rich-
ard A. Gould, Yiwara: Foragers of the Australian Desert (New
ponents. The assimilation of incoming rituals is made easy
York, 1969), contains details concerning desert ritual and
because they contain so much that is already familiar. In their
belief.
long history of isolation from the rest of the world, Aborigi-
nes were spared the trauma of confronting radically different
ROBERT TONKINSON (1987 AND 2005)
or alien cultural forms. Thus the kinds of change and innova-
tion they have encountered are those which “fit the forms
of permanence,” as W. E. H. Stanner so aptly put it in his
MARETT, R. R. (1866–1943), British philosopher and
seminal work On Aboriginal Religion (1968, p. 168).
anthropologist, who introduced the theory of preanimism
Not all the knowledge derivable from the Dreaming is
and the term animatism into the scholarly debate. Robert
embodied in the life-design legacy that the Mardu faithfully
Ranulph Marett was born on the Channel Island of Jersey
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5708
MARI AND MORDVIN RELIGION
on June 13, 1866. He was educated at Balliol College, Ox-
also highly significant as an advocate of academic anthropol-
ford, specializing in the classics, philosophy, and ethics, and
ogy and as a trainer of anthropologists.
in 1891 he was elected fellow of Exeter College, Oxford,
where he remained for the whole of his academic career. His
SEE ALSO Animism and Animatism; Preanimism; Tylor,
anthropological interests were fired by reading his fellow-
E. B.
Oxonian Andrew Lang’s book Custom and Myth (1884) and
after 1893 by association with E. B. Tylor (1832–1917),
BIBLIOGRAPHY
whose friend and disciple he became. In 1893 he submitted
Works by Marett
a prize essay titled “The Ethics of Savage Races,” which was
In addition to works cited in the text, Marett’s Anthropology (Lon-
examined by Tylor. Despite the difference in their ages, a
don, 1911) should be consulted, as should The Threshold of
close friendship began, and as Tylor’s powers began to wane,
Religion, 3d ed. (London, 1915), a collection of his impor-
Marett became his assistant. Marett later wrote a biblio-
tant early papers. Included in this collection are “Preanimis-
tic Religion” (1900) and “The Conception of Mana” (1908).
graphical memoir, Tylor (1936).
A Jerseyman at Oxford (Oxford, 1941) is Marett’s highly in-
On Tylor’s retirement, Marett was appointed in 1910
formative and entertaining autobiography.
reader in social anthropology at Oxford, a post which he held
Works about Marett
until 1936, when he was succeeded by A. R. Radcliffe-
There is no biography or full critical study, but see Custom Is King:
Brown. For some years he was also rector (i.e., president) of
Essays Presented to R. R. Marett on His Seventieth Birthday, ed-
Exeter College. He traveled widely in Europe, visited Austra-
ited by Leonard Halford Dudley Buxton (London, 1936).
lia once, in 1914, and in 1930 delivered the Lowell Lectures
This work contains a personal appreciation by the editor and
in Boston. He was Gifford Lecturer at the University of Saint
a full bibliography. See also the entry on Marett by John N.
Andrews twice, in 1931–1932 and 1932–1933, and the two
Mavrogordato in the Dictionary of National Biography,
published volumes of these lectures, Faith, Hope and Charity
1941–1950 (Oxford, 1959), and the discussion in my book
Comparative Religion: A History (London, 1975),
in Primitive Religion (1932) and Sacraments of Simple Folk
pp. 65–71.
(1933), Marett believed to embody his best work. He also
had an interest in prehistoric archaeology, and he conducted
New Sources
and supervised excavations at the Mousterian site of La Cotte
Marett, R. R. The Early Sociology of Religion: Vol. 7 The Threshold
de Saint Brelade on his native island of Jersey. He died on
of Religion by R.R. Marrett. Edited by Bryan Turner. London,
1997.
February 18, 1943.
ERIC J. SHARPE (1987)
As an anthropological theorist, Marett’s reputation was
Revised Bibliography
made virtually overnight, by the publication in 1900 of his
paper “Preanimistic Religion” (Folklore, June 1900), in
which he called into question Tylor’s theory of “animism”
MARI AND MORDVIN RELIGION. The Mari
and introduced the terms preanimism and animatism (which
and Mordvin languages together form the so-called Volga
are not synonyms). During the next few years he wrote ex-
group within the Finno-Ugric linguistic family. In interna-
tensively on this theme, suggesting that tabu is best under-
tional literature, the Mari people are better known as the
stood as “negative magic” and emphasizing the importance
Cheremis (from the Old Russian name Chermisy). The Mari
of the Melanesian—actually common Pacific—word mana
republic lies in western Russia in a heavily forested region
as its positive counterpart. Mana he explained most fully in
north of the Volga river. The Mari may be divided into three
a paper, “The Conception of Mana,” delivered at the Oxford
groups based on their differing environments: the Mountain
Science of Religion Congress in 1908, and in an article,
Mari, the smallest group; the Meadow Mari, the largest
“Mana,” in Hastings’s Encyclopaedia of Religion and Ethics,
group; and the so-called Eastern Mari, which is the youngest
vol. 8 (1915).
group, having developed only in the seventeenth century.
Where Marett differed most strikingly from other late
The Mordvins (from the Old Russian name Mordva)
Victorian anthropologists in Britain was in his degree of fel-
consist of two related groups, speaking the Erzä and Mokˇsa
low-feeling with and indebtedness to the French sociologists
dialects of the Mordvin language. They differ from each
of the Année sociologique school. This made him, in effect,
other to such an extent that the speakers of Erzä and Mokˇsa
the first of the British social anthropologists and gave his
do not understand one another. Two separate literary lan-
later work especially a dimension largely absent from the
guages have been formed accordingly. The Mordvin repub-
writings of his predecessors.
lic, Mordvinia, lies to the east of the Mari homeland in the
Marett’s style was always admirably lucid, often being
Russian federation. In addition, there are some separated set-
further illuminated by wit and a certain irony. Today he
tlements in the Tatar and Bashkir republics. The population
tends to be evaluated chiefly for work done between 1899
of the Erzä is approximately twice that of the Mokˇsa. The
and 1910, to the neglect of his more mature writings. He
Erzä could also be called Western Mordvins, living on the
will, however, always have an important place in the history
banks of the Sura River, and the Mokˇsa of the Mokˇsa River
of both anthropology and comparative religion, and he was
could be called Eastern Mordvins.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARI AND MORDVIN RELIGION
5709
The Mari and Mordvin languages, with the Balto-
mberg Harva edited the monographs on the religion of the
Finnic and Saami (Lapp) languages, are believed to stem
Mari (1914) and Mordvin (1942). Holmberg’s study of
from a common Volga Finnic protolanguage, spoken from
Finno-Ugric mythology published in volume 4 (1927) of
1500 to 500 BCE. Around the beginning of the common era,
The Mythology of All Races is still a classic in its field, a com-
Mari and Mordvin started to develop into separate lan-
parative survey of Finno-Ugric worldviews. More recent
guages. Although they possess a common linguistic back-
publications include N. F. Mokshin’s work on Mordvin reli-
ground, the Mari and Mordvin cultures have, in the course
gion (1968) and Thomas A. Sebeok and Frances J. Inge-
of centuries, undergone diverse developments under the in-
mann’s work on Mari religion (1956).
fluence of Tatar and, later, Russian domination. For this rea-
Mari and Mordvin ethnic religions are described here
son, the Mari and Mordvins are culturally quite different
mainly on the basis of the folklore sources of the nineteenth
from each other, particularly in their religious views and ac-
and twentieth centuries. As a result of the Russian socialist
tivities. There are very few common features in Mari and
revolution, Mari and Mordvin cultures have undergone
Mordvin religion, and many differences become manifest in
rapid changes that have had great influence on their religious
the comparison of their specific cultural groups as well.
views (secularization and acculturation).
SOURCES. The first mention of the Mordvins is in the chron-
LIFE AND DEATH. Both the Mari and the Mordvins employ
icle of the historian Jordanes (551 CE). He relates that in the
a complex system of soul concepts. The Mordvins describe
fourth century, Ermanarik, the king of the East Goths, sub-
physical death with such expressions as “ojm’eze l’i´s´s” (“his
jugated a people called Mordens. Nestor, on the other hand,
spirit left”) or “ojm’enze nolda´s” (“he overthrew his spirit”).
tells in his eleventh-century chronicle of three peoples living
Various terms for soul denote the life-keeping elements,
at the Oka River where it meets the Volga: the Cheremis,
breathing, or simply “up”; in Mokˇsa languages, ojm’e or
the Mordvins, and the Muromans, a distinct third group.
vajm’ä, in Erzä, arn´e, in Mari, ˇsüloˇs. The life of this kind of
Giovanni da Pian del Carpini, the papal emissary, wrote in
soul is related to the length of the life of the individual whose
his report of 1245 that the Tatars occupied the domain of
body it inhabits, beginning with the first symptoms of physi-
the Mordui people, living between Russians and Bulgars.
cal life and ending with body’s last breath. The soul then
Marco Polo, on the other hand, mentions Mordui as one of
leaves the body like warm air or smoke. This kind of soul
the groups under Mongolian power.
is linear, living only once with its personal character. The cy-
The influence of the foreign cultures, beginning with
clical soul concept, in which the soul lives on after the physi-
the Tatar hegemony of the medieval period, is evident in
cal death, in manifest in such words as tˇsopatˇsa (Erzä),
Mari and Mordvin religion. The conversion to Christianity
ˇsopatˇsa (Mokˇsa), and ört (Mari). These souls are described
began in the middle of the sixteenth century, when the Rus-
as living with the body both in its lifetime in this world and
sians finally overthrew the Tatar khanate of Kazan. The often
after death in the place where the corpse has been buried.
quite violent mission was strengthened in the seventeenth
The ört may leave the body during a trance or dream or when
century, with the result that many features of pre-Christian
a person is senseless. After death, the ört may appear as a
Mari and Mordvin religion gradually disappeared. Many
ghost who disturbs relatives or wanders through the home.
fieldworkers of the nineteenth and twentieth centuries have,
It is the ört that is moved to the land of the dead. The
however, been able to report religious beliefs and practices
tˇsopatˇsa is conceived of as a kind of personal guardian spirit
that clearly belong to the autochthonous elements of the
that is embodied in the shadow or a picture of its carrier. It
Mari and Mordvin cultures.
also lives after the physical death of its corporeal carrier and
often takes the form of a soul bird.
Our earliest information on Mordvin religion comes
Family cult rites associated with death are organized by
from an earlier Italian explorer, G. Barbaro, who visited the
the dead person’s relatives. Life after death was regarded as
district now called Eastern Russia in 1446. He gives an ac-
a direct continuation of earthly life. The departed were be-
count of the horse sacrifices of the Mokˇsa. In regard to the
lieved to live in much the same way as they had upon earth,
Mari, some valuable information can be found in the report
in log cabins within fenced groves that were called ˇsugarla
published by an envoy from Holstein, Adam Olearius
(Mari), kalmazur (Erzä), or kalma-kuzˇa (Mokˇsa). The arti-
(1663), on Mari offering rituals. The sources of the eigh-
cles used by them in life were carefully carried to the ceme-
teenth century include the accounts by N. Witzen, P. J.
tery and placed beside their bodies in the grave. In death as
Strahlenberg, G. F. Müller, I. Lepeshchin, J. P. Georgi, N.
in life family and kin remain together, so that the graveyard
Rytshkov, and P. S. Pallas. A valuable study on Mordvin reli-
is simply the counterpart of the village. In this view, there
gion is the Russian manuscript written by a surveyor named
is no realm of the dead in the universal sense. It was thus nat-
Mil’kovich in 1783. In addition to Russian scholars, several
ural to construct the cabin of the dead in such a way that
Finnish ethnographers, including Albert Hämäläinen, Heik-
a window faced home; there also was a hole to allow the ört
ki Paasonen, and Uno Holmberg Harva, have done field-
or tˇsopatˇsa to revisit the living members of the family.
work among the Mari and Mordvins in the late nineteenth
and early twentieth centuries. Their collections have been
Each family worships its own dead. Festivals in honor
published by the Finno-Ugric Society in Helsinki. Uno Hol-
of a departed individual were celebrated during the first year
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5710
MARI AND MORDVIN RELIGION
after death: immediately after burial, six weeks (or the forti-
is the same as the Mari Jumo and Finnish Jumala, meaning
eth day) after death, and one year after death. After this last
“God”; the latter part is equivalent to Sˇkipas, the name of
ritual, the deceased was no longer honored as an individual
the sun god. There probably was some kind of sun worship
but rather as a member of the collective group of the family
in both Mari and Mordvin cultures.
dead in ceremonies celebrated annually in accordance with
the economic and religious calendar.
Nature and culture were divided among the various su-
pernatural beings, each of whom had control over a certain
Twice a year the Mordvins hold a festival called Pok´stˇsat
building or an area in nature. It was believed that these
Babat or At’at Babat (“grandfathers and grandmothers”) for
guardian spirits existed in order to aid the people in their
all departed ancestors. The ancestors are then requested to
struggles with neighboring tribes, competitive outgroups,
participate in a banquet shared between the living and dead
and unknown supernatural powers. They also controlled the
members of the family. Formerly, animal sacrifices, often
affairs and actions that took place in the area in their charge,
horses, were offered to the departed. Heikki Paasonen points
warned for danger, and punished for wrong, immoral, or im-
out that this practice may derive from an earlier practice of
proper behavior. In Mari and Mordvin folklore, there are
human sacrifice. He also believes that the worship of some
plenty of narratives about personal encounters with the su-
gods (pas) is related to the ancestor cult. The Erzä annually
pernatural in the natural and cultural realms. In family and
worship Staka, a god resembling a Turkic ruler or prince; in
clan festivals held during certain seasons of the economic
addition, the Erzä and Mokˇsa worship a god called Keremet,
year, sacrifices, for example, food offerings, were offered to
who is given the title soltan (“sultan”), which seems to be a
them as a part of family or regional cult practice.
manifestation of a former local hero cult.
U
The Erzä and Mokˇsa had a guardian spirit called Ma-
NIVERSE AND NATURE. According to a Mordvin myth re-
corded by the Russian clergyman Fedor Saverskii in 1853,
storava, an earth mother who was thought to grant good har-
there were a pair of creators in the beginning of time. God
vests and good health upon the tillers of the fields. Each tilled
was sitting on a rock in the midst of the huge proto-ocean
field was thought to have its own particular spirits. The
contemplating the creation of the universe. A devil (ˇsaitan)
guardian spirits of forests, water, and fire were often con-
appeared and promised to help him in the act of creation.
ceived of as female supernatural beings, as evidenced by their
God asked him to dive into the depth of the ocean and to
feminine names. Among the Mordvins, there were such spir-
bring sand from the bottom. After having succeeded in his
its as Vir-ava (“forest mother”), Vedmastor-ava (“water
third attempt, the devil brought the material but hid some
mother”), and Tol-ava (“fire mother”). The first person bur-
of it in his mouth, planning to create his own world. God
ied in a graveyard was considered to be the guardian spirit
threw the sand he had been given on the surface of the proto-
of that particular cemetery. The important economy of the
ocean and it started to grow both there as well as in the devil’s
beehives was also guarded by a guardian spirit, P’erna-azor-
mouth, forcing him to empty it. Because of this dualistic
ava, the hostess or keeper of the bees. She was given the first
conflict, there is evil as well as good in the universe.
taste of the annual harvest of honey.
The creator god is called Niˇske-pas or Niˇske in Mordvin
The guardian spirits of the cultural realm watched over
languages, literally meaning “the great procreator.” Accord-
their own buildings and controlled behavior there. The
ing to Erzä and Mokˇsa folklore, he created heaven and earth,
dwelling place as a whole, that is, the courtyard, the house,
the rising sun, the wandering moon, black forests, and green
and its adjoining buildings, were later called jurt (yurt), a
grass. He also created the world sea and placed in it three
word borrowed from the Tatar language. The spirit of this
mythical fish who support the universe on their backs. Ac-
area was called Jurt-ava (“mother of the dwelling place”).
cording to Mordvin incantations, the fish are white beings,
This concept, particularly among the Erzä, replaced such for-
probably whales; their movements cause earthquakes. Ac-
mer Finno-Ugrian concepts as Kudon’-tˇsin (“house god”) or
cording to this same myth, the Erzä were created as the first
the Mokˇsa Kud-ava (“house mother”). The word kud is simi-
human beings to cut the forest and harvest the grass. The
lar to the Finnish koti or Saami kota, meaning “home.”
Erzä man is put to plow and sow; his position is superior to
Christianity, accepted by the Mari and Mordvins in its
that of his wife, whose duty it is to cook.
Russian Orthodox form, replaced the guardian spirits of the
In international literature, there are scholarly accounts
former autochthonous religion with the names of the saints
of complex hierarchical systems of deities of the universe in
and patrons of the Orthodox church. The functions of the
Mari and Mordvin religions. However, they follow the well-
spirits were easily mixed with the attributes and patronages
known theoretical patterns of the supreme being, lord of the
of the Christian saints. The cult was transferred from the
earth, and the Olympic idea of a system of twelve gods to
keremet (sacred groves) and so on to the cemeteries and
such an extent that it is more probable that the theory has
neighborhood of the church. Some syncretic religious move-
arranged the cultural material than vice versa. In spite of this,
ments also appeared as a result of the encounter between the
we may refer to the interesting account by Strahlenberg, who
old and new religions, as, for example, the Kugu Sorta (“big
states that the highest deity of the Mordvins (meaning the
candle”) movement among the Mari at the end of the nine-
Erzä) is Jumishipas, the sky god. The first part of the name
teenth century, combining monastic asceticism with 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
MARIE DE L’INCARNATION
5711
Christian blood sacrifices in the old sacred groves and the
monastery, and the education of young immigrant and na-
worship of pre-Christian deities.
tive girls in the colony. A woman of exceptional spirituality,
she also was eminently practical, and gave advice to both reli-
SEE ALSO Finnish Religions; Finno-Ugric Religions, over-
gious and political authorities. Marie died at the monastery
view article.
on April 30, 1672.
BIBLIOGRAPHY
Marie de l’Incarnation left an enormous volume of writ-
Beke, Ödön, comp. Tscheremissische Texte zur Religion und Volk-
ing, more than 13,000 letters according to some estimates,
skunde. Oslo, 1931.
of which several hundred, the most important, have been
Hämäläinen, A. Tseremissien uhritapoja. Helsinki, 1908.
preserved and published. There are two reasons for there
being such a large number. On the one hand, letter writing
Harva (Holmberg), Uno. Die religiosen Vorstellungen der Mord-
winen. Helsinki, 1952.
was the only way of keeping in touch with her family and
of passing on her wishes. On the other hand, her son had
Holmberg, Uno. Die Religion der Tscheremissen. Helsinki, 1926.
become a Benedictine monk at the convent at Saint-Maur
Holmberg, Uno. The Mythology of All Races, vol. 4, Finno-Ugric,
shortly after his mother had left for New France, and a sus-
Siberian. Boston, 1927; reprint, New York, 1964.
tained, very intimate exchange of letters between them took
Mokshin, N. F. “Proiskhozhdenie i sushchnost’ mordovskikh
place. In addition to these letters, Marie produced two auto-
dokhristianskikh religioznykh prazdnikov (ozks’ov).” In
biographical Relations: the first at the convent in Tours in
Uche-nye zapiski Mordovskogo gosudarstvennogo universiteta
1633 at the request of the Jesuit Georges de la Haye, and the
(seri-ia istorischeskikh nauk). Saransk, 1965.
second in Quebec in 1654 for her son. Finally, in note form
Mokshin, N. F. Religioznye verovaniia Mordvy. Saransk, 1968.
there are fragments of talks or discussions with young nov-
Paasonen, Heikki. “Mordvins.” In Encyclopaedia of Religion and
ices.
Ethics, edited by James Hastings, vol. 8. Edinburgh, 1915.
Marie never wrote with a view to being published. It was
Paasonen, Heikki, and Paavo Ravila. Mordwinische Volks-
her son who, realizing the quality and profound nature of her
dichtung. 4 vols. Helsinki, 1938–1947.
writings, collected, selected, and edited them for publication.
Shakhmatov, A. A. Mordovskii etnograficheskii sbornik. Saint Pe-
It is uncertain to what extent he touched up his mother’s
tersburg, 1910.
work so that it would meet his own stylistic and theological
JUHA PENTIKÄINEN (1987)
standards. In any event, the style and content of her writing
are captivating. Her innermost soul is bared, without any at-
tempt at argument or persuasion. In sharing her experience
of God and of those whom she encounters, she narrates rath-
MARIE DE L’INCARNATION, originally called
er than debates. Her writing is not so much a matter of un-
Marie Guyart, was born in Tours, France, on October 28,
derstanding but rather of listening. For her, the important
1599. The fourth of eight children of Florent Guyart and
thing is “that words have resonance.” They have resonance
Jeanne Michelet, she was a contemporary of René Descartes,
in expressing her intimate experience of the infinite nature
who was born in Tours three years earlier. As a young girl
of God in relation to her own existential nothingness. Fur-
she wanted to become a nun, but her mother considered her
thermore, throughout her letters words echo her own cultur-
too lighthearted for this, guiding her instead toward a mar-
al transformation as she meets and learns about the Huron
riage with Claude Martin, which took place in 1617. Martin
tribes, their languages, customs, and spirituality. In 1640
died in October 1619, leaving Marie with a six-month-old
Marie wrote, “Canada was portrayed as a horrible place, we
child, named Claude after his father, and a business that was
were told that it was a district of Hell, that there was no more
so unsound she dissolved it. During the twelve years that fol-
wretched country in the entire world. Our experience is pre-
lowed, while taking care of her son, she ran the transport
cisely the opposite, here we have found a heavenly place,
business of her brother-in-law, Paul Buisson, with whom she
which for my part I am unworthy to inhabit. There are sav-
and Claude were living. Despite family pressures, she decid-
age young girls who have not a trace of barbarism” (Cor-
ed not to remarry. Her free time was dedicated to a solitary
respondance, Lettre XLVII). This attitude contrasted sharply
life of prayer and meditation and she began having regular
with that of many of Marie’s contemporaries, who regarded
mystic experiences, which she recorded. When her son was
the Iroquois as agents of the devil who were beyond salva-
twelve, she made the difficult decision to entrust him to her
tion. Studies on the challenges Marie de l’Incarnation faced
sister”s care and on January 25, 1631, entered the Ursuline
in meeting “the enemies of God and the faith” shed light on
convent at Tours. Eight years later, following various spiritu-
the emerging tension between the mental images of the Eu-
al, social, and political developments, she went to New
ropean Christian culture to which she belonged and her di-
France with Marie-Madeleine de Chauvigny de la Peltrie, a
vine experience.
wealthy lay benefactor, thus becoming the first missionary
nun to work abroad. In 1639 she founded the first Ursuline
The Ursuline order of which she was a member and the
monastery in Quebec. She threw herself body and soul into
Benedictine order to which her son Claude belonged knew
prayer, the temporal and spiritual administration of the
of her literary output from 1677. However it took more than
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5712
MARITAIN, JACQUES
two and a half centuries and the prescient vision of the liter-
MARITAIN, JACQUES (1882–1973), French Neo-
ary critic and religious historian Henri Bremond (1865–
Thomist philosopher. Born in Paris, he was baptized in the
1933) for scholars such as François Jamet and Guy-Marie
French Reformed church and received religious instruction
Oury to undertake critical editions of the writings of Marie
from the liberal Protestant theologian Jean Réville. During
de l’Incarnation. In addition to provoking new thinking in
his youth, Maritain considered himself an unbeliever. He
the field of spiritual theology, her works have been picked
studied at the Sorbonne (1901–1906) but found the domi-
up by academics in other disciplines, mostly women, who
nant positivism and rationalism—epitomized in the influ-
have subjected them to secular analysis. This has contributed
ence of the philosopher Auguste Comte and the historian
to their recognition as powerful writings that express and
and writer Ernest Renan—spiritually barren. At the Sor-
provide evidence of the experience of a seventeenth-century
bonne, Maritain joined a circle of friends that included the
woman well aware of the sociopolitical realities of her age,
writer Charles Péguy and a young Russian Jew, Raïssa Ou-
realities apprehended in the context of a lively and inspired
mansoff. He also attended the lectures of the philosopher
intimacy with God. Since the 1990s an increasing number
Henri Bergson at the Collège de France. Bergson’s vitalistic
of scholars, novelists, theologians, psychologists, historians,
philosophy liberated Maritain from positivism and made
and sociologists have discovered in Marie de l’Incarnation’s
possible for him the rehabilitation of metaphysical thinking.
writings a fruitful source for their theses, essays, and novels.
In 1904 Maritain married Raïssa Oumansoff, and soon
For them, she has much to say concerning the relationship
they came under the influence of the fiery, uncompromising
between a woman and her body, a mother and her son, a
Catholic writer Léon Bloy. Primarily through Bloy’s tutor-
“bride of Christ” and her divine husband, a nun and her ec-
ship and personal example, they were baptized in the Roman
clesiastical institution, and a missionary and Native Ameri-
Catholic church in 1906. Maritain spent the next two years
cans. Two international conferences, held in 1999 in Tours
in Heidelberg studying with the distinguished biologist and
and Quebec on the occasion of the four-hundredth anniver-
neovitalist Hans Dreisch. On returning to France he began
sary of her birth, have resulted in two collections, presenting
reading the Summa theologiae of Thomas Aquinas. Thomas’s
a range of excellent analyses of current scholarship concern-
philosophical realism became for Maritain a second and
ing the life and work of a woman who lived, in every condi-
more decisive intellectual deliverance. For the rest of his long
tion of life, in close intimacy with God.
life, he revered Thomas as his master and saw as his own vo-
cation the application of the perennial wisdom of Thomism
BIBLIOGRAPHY
to contemporary philosophy, art, politics, and education.
New editions of the writings of Marie de l’Incarnation have been
“Woe unto me,” he wrote, “should I not thomistize!”
published in the twentieth century and are therefore for the
most part readily available in large libraries. There are also
Maritain served as professor of philosophy at the Insti-
many studies concerning her. As of 2004, a search in the ca-
tut Catholique de Paris (1914–1933), the Institute of Medi-
talogue of Univérsité Laval (Quebec) using her name as the
eval Studies in Toronto (1933–1945), and Princeton Uni-
subject returned around two hundred works.
versity (1948–1952), as well as at other North American
Brodeur, Raymond, ed. Femme, mystique, et missionnaire: Marie
universities. At the invitation of Charles de Gaulle, he served
Guyart de l’Incarnation.” Sainte-Foy, Quebec, 2001.
as French ambassador to the Vatican from 1945 to 1948.
Bruneau, Marie-Florine. Women Mystics Confront the Modern
During his years in North America, Maritain’s influence on
World: Marie de l’Incarnation (1599–1672) and Madame
Catholic thought, as well as on arts and letters, was enor-
Guyon (1648–1717).” Albany, N.Y., 1998.
mous.
Davis, Natalie Zemon. Women on the Margins: Three Seventeenth-
Raïssa Maritain died in 1960, and the following year
Century Lives. Cambridge, Mass., 1995.
Maritain returned to France and retired to Toulouse to live
Deroy-Pineau, Françoise, ed. Marie Guyard de l’Incarnation: Un
with the Little Brothers of Jesus, a Dominican monastic
destin transocéanique (Tours 1599–Québec 1672).” Paris,
order. In 1969 he entered the order. In 1966 Maritain pub-
2000.
lished The Peasant of the Garonne, a sharp warning to the
Maître, Jacques. Anorexies religieuses, anorexie mentale: Essai de psy-
post-Vatican II reformers in the Roman church. Because
chanalyse sociohistorique: De Marie de l’Incarnation à Simone
Maritain had championed some liberal influences in the
Weil.” Paris, 2000.
church, especially in the field of politics, the book surprised
Mali, Anya. Mystic in the New World: Marie de l’Incarnation
many and provoked widespread discussion. However, the
(1599–1672).” Leiden, and New York, 1996.
work reflects a long-standing tension in Maritain between
Marie de l’Incarnation. Correspondance. Edited by Guy Oury.
adherence to tradition and openness to new ideas, as well as
Solesmes, 1971.
his disdain of any modern ways that deviate from Thomas.
Rosario Adriazola, Maria-Paul del. La Connaissance spirituelle chez
Maritain’s literary output was prodigious, including
Marie de l’Incarnation, la Thérèse du Nouveau Monde.” Paris,
about forty books published over a span of some sixty years.
1989.
He ranged over almost every aspect of philosophy, and all
RAYMOND BRODEUR (2005)
his works—from La philosophie bergsonienne (1914) to his
Translated from French by Paul Ellis
penultimate book, On the Church of Christ (1970)—are 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
MARK OF EPHESUS
5713
formed by the thought of Thomas Aquinas. Maritain traces
ings on the person and on society and politics have had wide
what he perceives to be a cultural breakdown in the West to
influence and are reflected in the documents of Vatican II.
a disease of the mind. That disease has its beginnings in the
Maritain represents, perhaps better than any other
early modern repudiation of Thomistic philosophy, first in
thinker, the intellectual confidence, indeed the aggressive-
William of Ockham’s nominalism and rejection of Aristote-
ness, of Roman Catholicism in the 1940s and 1950s. Like
lian metaphysics; then in Luther’s severing of faith from rea-
the Protestant theologian Reinhold Niebuhr, Maritain was
son; in Descartes’s rationalism, in which reason is divorced
a brilliant critic of secular culture and a superb apologist for
from sensory experience and existing things; and, finally, in
the Christian life. He was also, like Niebuhr, a “relative” pes-
Rousseau’s sentimental appeal to the inner feelings of the
simist who nevertheless held out hope for the recovery of an
heart. Maritain sees metaphysical thinking brought to a close
integral, Christian humanism—a humanism permeated by
with Kant, and the future turned over to scientism and posi-
works of genuine sanctity.
tivism on the one hand and subjectivism and relativism on
the other.
Many Catholic intellectuals consider Maritain’s Tho-
mism as no longer an adequate guide and call instead for a
Maritain’s genius lay not only in his skill in demonstrat-
philosophical pluralism in the church. The form of Tho-
ing the inadequacies of a good deal of modern philosophy
mism that does continue to have a wide following, the “tran-
but also in exhibiting how the authentic truths of modern
scendental” Thomism associated with Joseph Maréchal
thought are consistent with, and conceptually more adequate
(1878–1944) and, more recently, with Karl Rahner, was re-
when understood in terms of, Thomistic realism. Existential-
pudiated by Maritain. While his work is presently in eclipse
ism is a case in point. Its emphasis on action, and on what
and his future influence is uncertain, Maritain will be re-
Maritain calls its “imprecatory posture,” isolates the idea of
membered as one of the intellectual giants in the period be-
existence from a genuine knowledge of being, since it in-
tween the two world wars.
volves philosophizing in a posture of dramatic singularity.
Maritain argues that one can never know pure subjective ex-
BIBLIOGRAPHY
istence. Objective philosophic knowledge necessarily in-
Maritain’s greatest work on metaphysics and the theory of knowl-
volves a distinction between essence and existence, for the es-
edge is Distinguish to Unite, or the Degrees of Knowledge,
sence of a thing is what makes it intelligible as a being, what
translated under the supervision of Gerald B. Phelen (New
defines its nature. Essence and existence are correlative and
York, 1959). In Approaches to God, translated by Peter
inseparable. Maritain therefore insists that an “authentic” ex-
O’Reilly (New York, 1954), Maritain restates the five ways
istentialism must go beyond the cry and agony of the subject
of Thomas Aquinas to demonstrate the existence of God and
to a genuine analysis of being.
proposes a “sixth way.” True Humanism, translated by Mar-
got Adamson (New York, 1938), is Maritain’s most impor-
Such an analysis will lead reflection beyond finite exis-
tant work in social philosophy, and Man and the State (Chi-
tence to that being whose essence is to exist, who exists neces-
cago, 1951) is his most comprehensive examination of
sarily (God). In works such as Approaches to God (1954), Ma-
political philosophy. Creative Intuition in Art and Poetry
ritain attempts to show that the Thomistic cosmological
(New York, 1953) is Maritain’s masterpiece in the philoso-
proofs of the existence of God are the development of a pri-
phy of art. Challenges and Renewals, edited by Joseph W.
mordial, prephilosophical intuition of being. Furthermore,
Evans and Leo R. Ward (Notre Dame, Ind., 1966), is a use-
he seeks to demonstrate that Kant’s widely approved critique
ful selection of writings by Maritain covering all aspects of
his philosophy.
of the Thomistic cosmological proofs—which holds that
they imply the ontological argument—is in error. Maritain
No definitive critical study of Maritain has been written. Joseph
reconceives the five Thomistic proofs by appropriating ideas
W. Evans’s Jacques Maritain: The Man and His Achievement
from modern physics and the philosophy of science. Howev-
(New York, 1963) includes a variety of essays on aspects of
Maritain’s work. Julie Kernan’s Our Friend, Jacques Mari-
er, the philosophical critics of natural theology remain largely
tain: A Personal Memoir (Garden City, N. Y., 1975) is a rath-
unconvinced.
er full biographical account. The definitive bibliography of
Among modern religious philosophers, Maritain stands
works by and about Maritain up to 1961 is Donald Gal-
preeminent in his reflections on aesthetics, for example, in
lagher and Idella Gallagher’s The Achievement of Jacques and
works such as Art and Scholasticism (1920; Eng. ed., 1962)
Raïssa Maritain: A Bibliography, 1906–1961 (New York,
1962).
and Creative Intuition in Art and Poetry (1953). Maritain’s
discussion of poetic intuition and knowledge and of the rela-
JAMES C. LIVINGSTON (1987)
tionship between art and morality are profound and have in-
fluenced numerous writers and critics.
In Scholasticism and Politics (1940), True Humanism
MARK OF EPHESUS (1392–1444), a leader of the
(1936; Eng. ed., 1938), and Man and the State (1951), Mari-
Greek Orthodox resistance against the unionist movement
tain argues eloquently for the dignity of the person, for
with the Western church. A native of Constantinople, Mark
human rights and liberty, and for what is essentially an
studied under prominent teachers and then opened a private
American model of church-state relations. Maritain’s writ-
higher school. He was elected metropolitan of Ephesus 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
5714
MARK THE EVANGELIST
participated in the Council of Ferrara-Florence as a represen-
MARK THE EVANGELIST, traditionally the au-
tative of the patriarchate of Antioch at the expressed wish of
thor of the second canonical gospel, who wrote in Rome dur-
the emperor John VIII Palaeologus. However, he became the
ing the emperor Nero’s persecution of Christians (early to
strongest adversary of union with the Roman church. Mark
mid–60s). Mark was not one of the twelve disciples of Jesus.
abstained from the sessions of the council and was the only
Whether the evangelist is mentioned in the New Testament
Eastern bishop to refuse to sign the decisions of the council
depends on the accuracy of the commonly accepted identifi-
in 1439. When Pope Eugenius IV—for whom unanimity
cation of him with the John Mark of Jerusalem mentioned
and the support of Mark were determinant factors for
in Acts and Paul’s letters.
union—learned of his refusal, he said, “Therefore, we have
accomplished nothing.”
John Mark first appears in Acts 12:12: Peter is said to
go “to the house of Mary, the mother of John, whose other
After his return to Constantinople, Mark was offered
name was Mark.” (John would have been Mark’s Semitic,
the patriarchal see by the emperor and bishops in the hope
Jewish name; Marcus is a common Latin, Roman name.) He
that his zeal against union would decrease under the burden
is referred to in a similar way again in Acts 12:25 and 15:37,
of the great responsibilities of office. Mark refused the offer.
but in 15:39 he is called simply Mark. Elsewhere he is called
Attempting to go to Mount Athos, probably with the aim
only Mark (Col. 4:10, 2 Tm. 4:11, Phlm. 24, 1 Pt. 5:13). In
of mobilizing the monks against union, he was seized on the
Colossians, we read that Mark was the cousin of Barnabas,
island of Lemnos by the imperial police and was not allowed
with whom he continued missionary labors after the break
to leave the island for two years. After his liberation, he di-
with Paul (Acts 15:38–39). Significantly, he is there grouped
rected the struggle in Constantinople. Shortly before his
with the Jewish members of Paul’s company (Col. 4:11),
death he persuaded Gennadios Scholarios, the future patri-
which fits the identification with John Mark. Since 2 Timo-
arch of Constantinople, to succeed him in his function as
thy was almost certainly not written by Paul and the Pauline
head of the antiunionists.
authorship of Colossians is questionable, Philemon 24 is the
Mark’s theology is basically hesychastic with occasional
only unimpeachable Pauline reference to Mark as one of
use of Aristotelian categories to support his arguments. His
Paul’s fellow workers. Yet all these references are significant
work Syllogistic Chapters on the Divine Essence and Energy re-
because they show the traditional association of Mark with
veals his spiritual and intellectual origins. His polemics
Paul. The same is true for 1 Peter 5:13, which suggests
against the Roman church are included in various writings,
Mark’s association also with Peter in Rome (i. e., “Babylon”).
of which the most important is Syllogistic Chapters against the
The earliest statements about Mark the evangelist by
Latins. By an encyclical letter, To Christians All Over the
Christian writers, beginning with those of Bishop Papias of
Earth, he directed the attention of Orthodox believers to the
Hierapolis in the first half of the second century, do not
danger from those who were wavering and finding them-
identify him explicitly with John Mark, but almost unani-
selves in agreement with both Easterners and Westerners; he
mously associate him with Peter as Peter’s interpreter (cf. Eu-
called these people “Greco-Latins.”
sebius’s Church History 3.39.15). Frequently it is said that
Mark believed that differences with the Westerners over
Mark and Peter worked together in Rome, and this, of
such matters as the procession of the Holy Spirit, purgatory,
course, accords with ancient church tradition about Peter’s
and the use of unleavened bread for the Eucharist were dog-
final place of abode, as well as with 1 Peter 5:13. A somewhat
matic differences; therefore, he considered the Latins here-
later tradition recounts that Mark was the first to preach and
tics. A summary of his position may be found in his state-
to found churches in Egypt (Church History 2.16.1), and that
ment regarding a patriarch who favored union: “The further
he became the first bishop of Alexandria. A recently discov-
I stay from this man and others like him the nearer I come
ered letter of Clement of Alexandria, which, if genuine, dates
to God and to the faithful and holy fathers.”
from the end of the second century, relates how Mark came
to Alexandria with the early canonical gospel and there aug-
BIBLIOGRAPHY
mented it for the sake of a special spiritual elite.
A lengthy sketch of Mark’s person and work may be found in
That the Gospel of Mark is actually the work of someone
Louis Petit’s article “Marc Eugénicos,” in Dictionnaire de
of that name is probable; that he was associated with Peter
théologie catholique, vol. 9 (Paris, 1927), and a shorter sketch
in Hans Georg Beck’s Kirche und theologische Literatur im by-
in Rome is possible, although that association would not en-
zantinischen Reich (Munich, 1959), pp. 755–758. The most
tirely explain the character and content of the gospel; that
complete study is Katerina Mamoni’s Marcos Eugenicos (Ath-
he was actually John Mark cannot be said with certainty, nor
ens, 1954). Mark’s ecclesiastical policy from the Roman
can it be denied categorically. If Mark the evangelist was
Catholic point of view is treated by Joseph Gill in Personali-
John Mark of Jerusalem it is at least striking that in his gospel
ties of the Council of Florence (Oxford, 1964). Constantine N.
Jesus’ ministry is centered in Galilee (in contrast to the Gos-
Tsirpanlis provides the Greek Orthodox point of view in
pel of John, which centers the ministry in Jerusalem) and that
Mark Eugenicus and the Council of Florence: A Historical Re-
the disciples are encouraged to look to Galilee for the fulfill-
evaluation of His Personality (New York, 1979).
ment of their hopes and plans whether by their own mission
PANAGIOTIS C. CHRISTOU (1987)
or by Jesus’ return (Mk. 14:28, 16:7). Moreover, the gospel
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MAR PA
5715
seems to assume a gentile-Christian rather than a Jewish-
The responsibility for a potential revival rested on the
Christian readership (cf. Mk. 7:3–4).
shoulders of Tibetan aspirants willing to make the difficult
Legend has it that Mark was martyred in Alexandria
journey to the firya lands, acquaint themselves with the spo-
during Nero’s reign and that his remains eventually were
ken and written idiom of the country, study at the great mo-
moved to Venice. The evangelist’s symbol, the lion, became
nastic universities, or train under individual masters in India
the emblem of that city, in which the cathedral is named for
and Nepal. Among these, Mar pa Chos kyi blo gros
Mark. The symbolism, as old as the second century, is proba-
(“Dharma Intellect” from the Mar clan) stands out as the lo
bly drawn from Revelation 4:7 and ultimately from Ezekiel
tsa¯ ba (yogin-translator) par excellence. One of the earliest
1:10. Mark’s feast is celebrated on April 25.
Golden Garland redactions (by the thirteenth-century Rgyal
thang pa Bde chen rdo rje [Dechen Dorje from Gyalthang])
that relates Mar pa’s life in the context of a Bka brgyud lin-
BIBLIOGRAPHY
Aside from the New Testament the most important primary
eage history introduces the subject by way of his previous
source is Eusebius’s Church History, which brings together
birth as an Indian brahman, thus accounting for his future
earlier testimony of Christian writers on the origin and au-
relative ease in picking up Sanskrit and the Indian ver-
thorship of the Gospels. The most convenient edition is the
naculars.
two-volume “Loeb Classical Library” text and translation of
Kirsopp Lake, J. E. L. Oulton, and Hugh J. Lawlor (Cam-
Mar pa Lo tsa¯ ba was born in Lho brag (Lhotrak,
bridge, Mass., 1926).
“Southcliff”), the youngest of four siblings. An older sister,
a Rdzogs chen (Dzogchen, “Great Perfection”) practitioner,
Vincent Taylor’s The Gospel According to St. Mark (London,
achieved the rainbow body. An older brother is explicitly
1952), pp. 1–8, cites fully and discusses the patristic evidence
on Mark, taking the position that the evangelist was, in fact,
mentioned as “being remarkable for his patience,” the very
John Mark. Werner G. Kümmel’s Introduction to the New
trait that the young Mar pa entirely lacked, for he is de-
Testament, rev. ed. (Nashville, 1975), pp. 95–98, states a
scribed as a wild youth who quarreled with everyone. His rel-
more skeptical critical consensus. Old and new evidence of
atives were more than willing to sponsor his removal to a
Mark’s relation to Alexandria is given and discussed in Mor-
monastery in distant Mu gu lung (Mugu Valley), headed by
ton Smith’s Clement of Alexandria and a Secret Gospel of Mark
the long-term India resident ’Brog mi Lo tsa¯ba (Drokmi
(Cambridge, Mass., 1973), pp. 19–44, 446. Yet the certainty
Lotsa¯wa, c. 992/3–1043/1072). But when the latter exacted
of this consensus is at least questioned by Raymond E.
fees far beyond Mar pa’s means for every meditational in-
Brown, Introduction to the New Testament (New York,
struction imparted, young Mar pa decided to travel to the
1997), pp. 158–161, and by Joel Marcus, Mark 1–8 (New
south.
York, 2000), pp. 17–24. On the identity of Mark, and tradi-
tion about him, see C. Clifton Black, Mark: Images of an Ap-
Further funding by his relatives was meager compared
ostolic Interpreter (Columbia, S. C., 1994).
to that of (the future) Gnyos Lo tsa¯ ba (Nyö Lotsa¯wa) from
D. MOODY SMITH (1987 AND 2005)
Kha rag, whom Mar pa encountered en route, and who trav-
eled in grand style, with a large entourage. Mar pa became
his servant, setting up camp, cooking meals, fetching water,
MAROON RELIGIONS S
sweeping, and so forth. In the Nepal Valley they came across
EE AFRO-
SURINAMESE RELIGIONS; CARIBBEAN RELIGIONS,
a huge religious gathering, presided over by two of the disci-
ARTICLE ON AFRO-CARIBBEAN RELIGIONS
ples of Na¯ropa (1016–1100), the Newar “Bald Head” (Bal
po Spyi ther pa) and Guru Pentapa (probably Paindapa, “the
alms gatherer”), and attended largely by the local “twice-
born” (brahmans). The former granted Mar pa the Hevajra
MAR PA (Marpa, 1002/1012–1097) is acknowledged as
initiation; under Pentapa he continued his Sanskrit studies.
the “forefather” who introduced the Lineage of the Oral Pre-
Most important of all, they dispatched a messenger to India
cepts (Bka’ brgyud), later one of the four major schools of
with an introduction letter to Maha¯ shr¯ı Na¯ropa.
the Buddha’s doctrine (the Kagyü), in Tibet. After the col-
lapse of the Tibetan empire with the death of King Glang
At the monastic university of Na¯landa¯, Gnyos tried to
dar ma (Langdarma, r. 836–841), who had done away with
dissuade Mar pa from studying under Na¯ropa, since the lat-
the centers of monastic learning in the Land of Snows, the
ter had switched from being a respected Doorkeeper Scholar
Buddhist tradition soon degenerated, creating a situation
to a possessionless Kusulu jungle-dweller. Mar pa remained
akin to one documented in a remote Himalayan valley in the
adamant, and in the course of three journeys to India stud-
early twenty-first century (Sihle, 2001). Some ritual tech-
ied, under Na¯ropa and a number of other masters, all the
niques were preserved, but uninterrupted master–disciple
main cycles of the Tantras, especially of the Mother and Fa-
transmission of the initiations and meditational instructions
ther class in Highest Yoga. The range of his learning became
gave way to a legitimacy based solely on clan descendance
extremely wide. No wonder, then, that even during his life-
and mere ownership of the books. Especially lacking was a
time, Mar pa was regarded as a living buddha, and he is de-
cohesive overview of Buddhist learning, and the ability there-
picted as such on the well-preserved fresco portrait at the
in to distinguish the essence.
Nine-Storied Prince’s Castle built by Mi la ras pa (Milarepa,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5716
MARRANOS
1028/40-1111/23) in Lho brag, wherein Mar pa is shown
transmission) is so far unavailable in English translation, ex-
seated on a Buddha’s lion throne and attended by standing
cept for the root verses of the Tilopa chapter, which can be
bodhisattvas in old Indian attire.
found in Fabrizio Torricelli’s “A Thirteenth Century Tibet-
an Hymn to the Siddha Tilopa,” The Tibet Journal 23, no.
Back in the Lho brag area, he established his own teach-
3 (1998): 18–24. The only complete translation of a Mar pa
ing center at Gro bo lung (Trowo Valley). There he became
biography is Chögyam Trungpa and the Na¯landa¯ Transla-
responsible for the transmission of: (1) the six yogas of
tion Committee, The Life of Marpa the Translator, Seeing Ac-
Na¯ropa, directly obtained from that master, and (2) the
complishes All, by Gtsang smyon Heruka (Boston and Lon-
“great sealing gesture” or maha¯mudra¯, specifically taught to
don, 1982; reprints, 1986 and 1995). A superb introduction
him by Maitripa Maha¯siddha (c. 1007–1085). Elements
to Mar pa’s maha¯mudra¯ heritage is Lama Sherap Dorje,
thereof eventually spread to the other main schools. The cy-
trans., Maha¯mudra¯ Teachings of the Supreme Siddhas: The
cles centered on the Mother Tantras gained major ascendan-
Eighth Situ-pa Tenpa’i Nyinchay on the Third Gyalwa Karma-
cy in the Bka’ brgyud line.
pa Rangjung Dorje’s “Aspiration Prayer of Maha¯mudra¯ of De-
finitive Meaning” (Ithaca, N.Y., 1995). Its adaptation in the
In one long episode (missing from Gtsang smyon
Dge lugs (Geluk) system is flawlessly presented in Alexander
Heruka’s [Tsang Nyön Heruka, “the mad saint from
Berzin, trans., The Gelug/Kagyü Tradition of Mahamudra:
Tsang”] fifteenth-century biography of Mar pa) Rgyal thang
H.H. the Dalai Lama’s Commentary to the First Panchen
pa insists on the emanational (nirma¯n:aka¯ya) nature of Mar
Lama, Lobsang Chökyi Gyaltsen’s “A Root Text for the Precious
pa, his wife Bdag med ma (Dagmema), and their seven sons,
Gelug/Kagyü Tradition of Mahamudra” (Ithaca, N.Y., 1997).
all of them bodhisattvas. As proof he points out that the sons
Although not intended as such, Nicholas Sihle’s unpublished
Ph.D. dissertation, “Les tantristes tibétains (ngakpa): Reli-
all died in ascending order, from the youngest up to Dar ma
gieux dans le monde, religieux du rituel terrible: Étude de
sdo sde Dar ma mdo sde (Tarma Dode), who dissolved into
Ch’ongkor, communauté villageoise de tantristes du Bara-
Bdag med ma who dissolved into Mar pa, whose conscious-
gaon (nord du Népal),” Université de Paris (2001), probably
ness dissolved into a rainbow. He likens this to the dissolving
presents the most authentic image of the state of much post-
of the man:d:ala deities at the end of the Hevajra meditation
Glang dar ma Buddhism in Tibet. Hubert Decleer’s prelimi-
scenario. (This is counter to Gtsang smyon Heruka’s narra-
nary study, “The Melodious Drumsound All-Pervading, Sacred
tive of Dar ma mdo sde’s transmigration into the body of
Biography of Rwa Lotsa¯wa, about early Lotsa¯wa rnam thar
a brahman boy in India, and his own rebirth as Ti phu pa.)
and chos ’byung,” Proceedings of the International Association
In a view entirely in tune with the more important role ac-
for Tibetan Studies, Narita, 1989 (1992): 13–28, offers a few
corded to Bdag med ma by Rgyal thang pa, upon Mar pa’s
introductory remarks about the historical problems involved.
return to Gro bo lung, Lord Na¯ro appeared to him in a
HUBERT DECLEER (2005)
dream and delivered a verse injunction to take Bdag med ma
as his wife. This markedly differs from the somewhat misogy-
nous tone of Gtsang smyon Heruka’s redaction, which con-
MARRANOS, a term of opprobrium designating Jews
tains several snide remarks aimed at her (e.g., “A woman
(and, occasionally, Muslims) converted to Christianity (and
leading a meeting [is like] a goat leading the way, [like] a
their descendants), was used in the Iberian world in late me-
prairie dog serving as a sentry,” 1986, p. 166).
dieval and early modern times. The Castilian word marrano
The translation of Gtsang smyon Heruka’s Life of
(deriving from an Arabic word for “prohibited,” or “illicit”)
Marpa has each chapter prefixed by a calligraphed nges don
means “swine,” or “pork” and either expressed the same ab-
(definitive meaning), which applies to the instructions em-
horrence toward converts as the converts had previously felt
bedded in the spiritual songs. Much historical research is re-
toward the ritually unclean animal or insinuated suspicions
flected in the notes, although Gtsang smyon Heruka’s own
regarding the converts’ continued loyalties to Judaism. Usage
intention was, rather, the creation of a flawless, near-filmic
of the term appears to have been limited to common par-
scenario, similar to a jewel box in which to enshrine the songs
lance and satirical literature. In modern times, Jewish histori-
of instruction—the ones translated and commented upon in
ans revived the term to underscore the uniqueness of the
a masterly fashion in Trungpa Rinpoche’s introduction.
“Marrano” phenomenon in Iberian and Jewish history.
Studied in conjunction with a step-by-step maha¯mudra¯ in-
More commonly, and more neutrally, the converts and
struction like Si tu Pa chen:’s spirited commentary to the root
their descendants are designated conversos (converts), cris-
verses by the third Karma pa, the uniqueness of Mar pa Lo
tianos nuevos (Span.), crista˜os novos (Port.), or “New Chris-
tsa¯ ba’s heritage retains a sense of timeless wonder.
tians.” Referring specifically to conversos suspected or found
SEE ALSO Buddhism, article on Buddhism in Tibet; Bud-
guilty of practicing or adhering to some form of Judaism, In-
dhism, Schools of, article on Tibetan and Mongolian Bud-
quisitorial documents employ the term judaizante, meaning
dhism; Maha¯siddhas; Mi la ras pa; Na¯ ro pa.
“judaizer” (or, in modern variations, the terms secret or
crypto-Jew). In premodern and modern Hebrew sources, the
BIBLIOGRAPHY
conversos are designated as anusim (forced [converts]). To
Rgyal thang pa Bde chen rdo rje’s thirteenth-century Dkar brgyud
avoid the confusions of earlier historiography, present histo-
gser ’phreng (Golden garland of the white [cotton robes]
rians use converso and New Christian synonymously to refer
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARRANOS
5717
strictly to the social group of converts and descendants, and
converso minority of approximately 2–3 percent of the total
reserve judaizer and Marrano as synonyms for those conversos
Spanish population. An estimated 150,000 Jews fled—
whose retention of some form of Judaism may be demon-
between 80,000 and 120,000 to neighboring Portugal,
strated or suspected.
where they raised the Jewish population to about 10 percent
of the total population, and the rest to North Africa, Italy,
THE “CONVERSO PROBLEM.” The large and problematical
and the Ottoman Empire. During 1496 and 1497, Manuel
converso population and the concomitant Marrano phenom-
I, king of Portugal (1495–1521), forcibly converted the vast
enon were the outcome of unprecedented, large-scale conver-
majority of Portuguese Jews, including the new arrivals from
sions of Spanish and Portuguese Jews between 1391 and
Spain, in a move meant to both rid his kingdom of the Jews,
1497. In 1391 and 1392, social resentment of prospering
in compliance with a condition set forth by the Catholic king
urban Jewish minorities and religious militancy nurtured by
whose daughter he was to marry, and retain their services,
a pugnacious Spanish tradition of spiritual warfare provoked
which were deemed important for the country’s (and its col-
a nationwide chain of pogroms, in the course of which large
onies’) economic development.
numbers of Jews fell victim to forced, legally irreversible bap-
tism. The unrelenting persistence of anti-Jewish pressures re-
In Portugal, too, the “unsatisfactory” (i.e., forced) con-
sulted, in subsequent decades, in a second wave of more or
versions, as well as the social and economic advances of the
less voluntary conversions, creating an initial population of
conversos, created a proportionally more substantial “converso
tens of thousands of conversos of questionable religious
problem,” notwithstanding royal promises not to investigate
sincerity.
the conversos’ religious life made in the expectation of their
eventual total assimilation. Despite vigorous New Christian
Envy of the conversos’ social and economic gains, made
efforts to stave off its institution, a Portuguese Inquisition
possible by their liberation from anti-Jewish restrictions, and
on the Spanish model was established in 1536. And, in ensu-
lingering suspicions of their secret and private loyalty to Ju-
ing years, Portuguese institutions adopted “purity of blood”
daism, rekindled popular anger and violence against them
statutes to turn the tide of upwardly mobile New Christians
(which also might have developed into antiroyalist senti-
tainted by suspicions of judaizing (willfully retaining Jewish
ment) and gave birth to a social and religious “converso prob-
loyalties and practices) that were seemingly confirmed by In-
lem” that was politically threatening in that it potentially
quisitorial proceedings. As the Spanish and Portuguese colo-
harbored antiroyalist sentiment. In 1478 a Castilian Inquisi-
nies attracted larger populations, Inquisitorial tribunals were
tion, whose appointments were controlled by the crown, was
established in Goa (1560), Lima (1570), Mexico (1571), and
established to deal with the problem’s religious dimension;
in Cartagena, Colombia (1610). Only Brazil was treated dif-
that is, to prosecute and punish insincere judaizing individu-
ferently and remained under the jurisdiction of the Lisbon
als and thus protect the purity of Catholic orthodoxy and,
tribunal, which sent periodic “visitors” (that is, small and oc-
at the same time, lay to rest the popular suspicions and the
casional commissions of inquiry) to the colony.
indiscriminate, anti-converso scapegoating that were viewed
as a political danger. Addressing the social dimension, “puri-
HISTORICAL SOURCES. The records of the Inquisition, pre-
ty of blood” (Span., limpieza de sangre; Port., limpeza de
served in great abundance, are our primary and often exclu-
sangue) statutes—the earliest was adopted (but nullified) in
sive source of information about the extent and nature of the
1449 in Toledo—sought, whenever the circumstances
Marrano phenomenon—that is, the secret and heretical (by
proved opportune, to exclude the New Christians as a group
definition of the church) retention of Jewish doctrines, rites,
from upper-echelon ecclesiastical, civil, and military posi-
and customs by groups and individuals within the larger con-
tions by virtue of their Jewish or Muslim descent. The stat-
verso populations. The reliability of these documents is the
utes became a more widely adopted mode of anti-converso so-
subject of continual debate. Some historians deny them all
cial discrimination after 1555–1556, when, in the midst of
validity because they originated from an entirely self-
a vociferous debate, the archbishop of Toledo, Juan Martínez
contained and secret organization whose stated aims of reli-
Silíceo (1486–1557), obtained papal and royal ratification
gious orthodoxy they dismiss. Most historians accept them
of a limpieza statute excluding New Christians from posi-
as a faithful record of the Inquisitorial proceedings: some
tions in the cathedral chapter of Toledo.
without further questioning, others with more or less serious
reservations about Inquisitorial (as opposed to accusatorial)
The remaining Jews of Spain, meanwhile, were impli-
procedure. For the Inquisition operated without external
cated in fostering the persistence of Jewish loyalties among
checks and balances and, as accuser, judge, and jury, con-
the conversos and in subverting the new state-church-city alli-
trolled every aspect of the trial, in complete secrecy. Its deci-
ance. They were expelled by the Catholic rulers, Isabella of
sions to prosecute (whom and when), imprison (and for how
Castile (r. 1474–1504) and Ferdinand of Aragon (r. 1479–
long), torture (and how often), and sentence (and how harsh-
1516), from Andalusia, the scene of the first Inquisitorial dis-
ly) were, wittingly or unwittingly, exposed to—and generally
coveries of widespread judaizing, in 1483 and from the rest
unprotected from—internal infusions of malice, prejudice,
of Castile and Aragon in 1492. Seeking to avoid exile, many
bias, error, or misunderstanding. Only a complete statistical
Spanish Jews hastily converted or returned converted after
and comparative profile of all the Inquisition’s tribunals, as
a temporary exile and joined the ranks of a not insignificant
is now being assembled, might reveal where and when any
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5718
MARRANOS
such infusion must be suspected and taken into consider-
stew prepared before the onset of the Sabbath)—and the kin-
ation. Inquisitorial procedure may also have influenced the
dling of lights are mentioned in connection with the Marra-
accusations, testimonies, and confessions of witnesses and
no observance of the Sabbath. On the Sabbath itself, Marra-
defendants. Inasmuch as witnesses as well as defendants com-
nos abstained from work as often as the opportunity
municated with the inquisitors, they often had to bridge a
presented itself and whenever the spirit moved them, that is
social and cultural gap and speak in a voice not quite their
to say, with a definite measure of irregularity. Some Marra-
own—and they might, therefore, have intentionally or unin-
nos contented themselves with an abstention from work “in
tentionally misconstrued the realities under discussion. Only
intention” only.
a complete reexamination of accusation, testimony, and con-
fession might reveal the manner in which “translation” and
Fasting occupied a particularly prominent place in Mar-
misconstruction may have affected the reliability of any given
rano religious life. Not only was it easy to conceal, it also mir-
Inquisitorial record.
rored and opposed, to some extent, Christian practice. Yom
Kippur (Day of Atonement) and the Fast of Esther were the
THE NATURE OF THE MARRANO PHENOMENON. Inquisito-
holiest days of the Marrano calendar. As the Marranos had
rial documents (such as manuals, edicts of faith, testimonies,
lost count of the Jewish lunar calendar, the dates of these
and confessions) and statistics about the numbers of judaiz-
fasts were computed on the basis of a mixed lunar-solar cal-
ers are helpful in charting the extent of the phenomenon, but
endar: Yom Kippur was observed on the tenth day after the
do not afford a rounded picture of its nature. The Inquisi-
New Moon in September (or, sometimes, on the tenth of
tion’s definition of heresy, moreover, inspired a preoccupa-
September) and the Fast of Esther on the full moon of Febru-
tion with the external manifestations but rarely with the spir-
ary. On Yom Kippur, Marranos customarily extended mutu-
itual content of judaizing and thus deprives us of a significant
al forgiveness to each other, but only rarely does one encoun-
dimension of the phenomenon. Within these limitations, lit-
ter a Marrano who went barefoot on that day, as did Jews.
tle more than a catalogue of judaizing practices—
Either on the eve of Yom Kippur or on that of the Sabbath,
constituting a maximum of observance rarely, if ever, at-
Marrano fathers often blessed their children, even when the
tained by any individual Marrano—can be offered. The fol-
children had as yet no knowledge of the Jewish origin of this
lowing summary focuses on the “full-fledged” Marranism of
custom. The Fast of Esther, on the eve of Purim, has minor
the later sixteenth and seventeenth centuries. When Jews
importance in traditional Judaism. As Purim itself fell into
were still present and memories yet alive, the earliest transi-
oblivion, Marranos retained and expanded the fast, especially
tional generations of Marranos no doubt practiced a wider
in Portugal, undoubtedly because of the similarity between
range of observances and traditions.
their situation and that of Queen Esther, who had also been
LOYALTY TO JUDAISM. Echoing Inquisitorial parlance, the
forced to hide her ancestral religion in order to survive in an
Marranos defined themselves as those who believed salvation
alien environment.
could be achieved only through the Law of Moses (by which
On the Sabbath and Yom Kippur and other festive or
they meant Judaism). This thoroughly un-Jewish formula
special occasions, Marranos recited—rather than chanted, as
clearly reveals the two elements in Marrano religion: a rejec-
in traditional fashion—Jewish prayers. As the original He-
tion of salvation through Jesus and a loyalty to the Law of
brew prayers were lost and memory of their content dimmed,
Moses. As either one constituted in itself sufficient proof of
Marranos resorted to readings of the Psalms of David and
heresy, the Inquisition never queried deeper to establish
vernacular creations of their own to replace the Qiddush,
which of the two elements weighed heavier.
grace after meals, and other prayers. These vernacular
The Marranos’ loyalty to Judaism, encumbered by the
prayers—some transcribed verbatim in the Inquisitorial doc-
need for secrecy, expressed itself in an ever more restricted
uments—stress the unity, omnipotence, and mercy of Ad-
variety of Jewish observances and traditions, a restriction that
onai (“my Lord,” one of the few Hebrew words to survive
was due to the loss of knowledge about Jewish law and, espe-
among the Marranos), the God of the heavens, creator and
cially, Jewish doctrines, and the virtual absence of sources of
ruler of the universe, in conscious opposition to Christian
Jewish education. Fairly rapid to disappear were circumci-
trinitarianism. Several prayers beseech God to deliver the
sion, ritual slaughtering, the covering of the head during
Marranos from their tribulations. A great many of these lo-
prayer, the use of phylacteries, and such festivals as RoDsh ha-
cally or familially transmitted prayers were still current
Shanah, ShavuEot, and H:anukkah. Passover and Sukkot sur-
among the Marranos of twentieth-century Portugal.
vived here and there but were celebrated in attenuated forms.
Among the domestic traditions recorded, some may be
The Sabbath, fasts, prayers, and certain domestic tradi-
termed culinary or dietary, while others are associated with
tions formed the main staples of Marrano Judaism. These
rites of passage. Whereas ritual slaughtering other than that
observances and customs not only lend themselves well to
of an occasional fowl fell into desuetude, the kosher prepara-
concealment but have also been central to the home-based
tion of meat—the draining of blood, the removal of nerves,
daily rhythm of traditional Judaism. The cleaning of the
and the salting of meat—did not. This is, perhaps, the reason
house, the changing of linen and clothes, the taking of baths,
that Marranos, not having a chance to prepare meat proper-
the preparation of food—including the so-called adafina (a
ly, preferred meals of fish and vegetables when breaking 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
MARRANOS
5719
fast. As much as possible and as desired, again irregularly,
On the basis of our meager sources, however, it is difficult
Marranos avoided eating meats and seafoods traditionally de-
to gauge whether they responded so eagerly as Marranos who
clared nonkosher—pork, rabbit, octopus, and eel, in particu-
rejected Jesus and retained Jewish messianic hopes, as New
lar. And when baking bread, some Marrano women had a
Christians prompted by a radical desire to alter the contem-
habit of throwing three small balls of dough into the fire, in
porary situation of Inquisitorial repression and socioreligious
imitation of a h:alla¯h-baking custom. In rites-of-passage tra-
discrimination, or whether they were swept up by a general
ditions, there was a great deal of local variety. Jewish names
enthusiasm that also drew Old Christians (cristianos viejos,
were generally lost, except in a few particularly “noble” Jew-
or crista˜os velhos) into these movements.
ish families that retained a memory of their ancestral family
T
name. Otherwise, Marranos adopted Christian first names
HE TRANSMISSION OF MARRANISM. Originally, the trans-
mission of Marranism was confined to the converso popula-
and surnames. In many places, a festive ceremony called
tion. After the first generation, as more and more New Chris-
Hadas (“fate”?) took place on the eighth night after a child’s
tians intermarried with Old Christians, their “partially” New
birth. The origin and the meaning of this custom are uncer-
Christian descendants often proved as susceptible to judaiz-
tain. Death and burial rites associated with traditional Juda-
ing as did the “pure” New Christians. For reasons that smack
ism were quite common. The washing and dressing in
of racialist prejudice, the Portuguese Inquisition made a
shrouds of the corpse and the meals taken during the period
point of carefully noting the exact degree of converso-
of mourning, as well as sundry superstitious acts, are men-
parentage of its suspects. Only rarely does one encounter a
tioned with relative frequency.
“pure” Old Christian among the Inquisition’s judaizer
REJECTION OF CHRISTIANITY. The Marranos’ rejection of
victims.
Christianity consisted not only of a denial of salvation
through the law of Jesus, of their opposition to the Trinity,
Most commonly, Marranism was transmitted through
and of their appropriation of the Paternoster for Marrano
the family. In Inquisitorial documents, parents, grandpar-
purposes. In early years, it sometimes included a ceremony
ents, and close relatives figure most prominently as the teach-
intended to undo baptism. Later, Marranos more commonly
ers of the Marrano heresy. In fact, the Inquisition generally
were lax in their attendance at the Mass—which, however,
dismissed as incomplete any confessions that failed to reveal
was also not infrequently neglected by Christians. Some
this familial link. Neither in “pure” nor in “partial” New
Marranos used to recite a deprecatory formula denying the
Christian families was judaizing always continual: sometimes
efficacy of the sacraments or the veneration of images before
the Marrano tradition skipped a generation and was revived
entering a church. Others remained silent or mumbled
only among the grandchildren. Within the family, women
through Christological parts of the liturgy or bent rather
played an important role in fostering the continuity of Mar-
than kneeled at the requisite times. Evidence of Marranos’
rano traditions. Less exposed to the assimilatory pressures of
spewing out the Host after Communion is sparse, and accu-
public life than men were, wives, mothers, grandmothers,
sations of Marranos’ desecrating the Host may reflect the
and aunts perpetuated the essentially domestic rites and cus-
preconception of malevolent witnesses more than actual
toms of Marranism. They thus maintained a Marrano home
practice.
within which the male members of the family, exposed to
public denigration and suspicion of conversos, found solace,
MESSIANIC INCLINATIONS. One final aspect of Marrano reli-
approval, and peace of mind. During certain periods and in
gion remains largely in the dark: messianism. Many Marrano
certain locales, there were more women accused by the prose-
prayers reflect a commitment to traditional Jewish messia-
cution than men; in addition, the wording of the accusations
nism, but the degree to which this commitment explains
frequently differed, as the women were assumed to have
New Christian participation in specific, often Christian mes-
taken a more active role than the men in judaizing. In the
sianic movements remains a matter for speculation. In the
Marrano communities of twentieth-century Portugal, spiri-
early years following the expulsion of the Jews, several reports
tual leadership rested, more often than not, on the shoulders
from various parts of Spain speak of visionary experiences by
of highly venerated older women. In general, children were
conversos with more or less explicitly messianic overtones, es-
not informed of the judaizing meaning of family ceremonies
pecially around 1500 when three prophetic figures (includ-
until they were between the ages of ten and fifteen, to protect
ing a charismatic twelve-year-old named Inés of Herrera)
the family against slips of the juvenile tongue or inopportune
gained a large following almost overnight. Later, the Jewish
revelations before ever-vigilant Inquisitorial authorities.
adventurer David Reubeni’s visit to Portugal and reception
by the king from 1525 to 1527 stirred converso emotions,
Another channel of transmission ran through profes-
perhaps so deeply as to have provoked messianic expecta-
sional associations. In the earliest days, some Marranos re-
tions. And toward the end of the sixteenth century, messianic
fused to do business with other Marranos until the latter had
beliefs surrounding the deceased King Sebastian of Portugal,
sworn a Jewish oath. Later, such formal arrangements disap-
who had fallen in battle in 1578, again attracted converso at-
peared, yet informally shared and avowed Marranism ap-
tention and may even have been inspired by conversos. The
pears to have infused subsequent commercial associations
participation of Spanish and Portuguese conversos in mes-
with highly prized trust and stability. In turn, and up to a
sianically inclined popular movements appears undisputed.
point, this trust, based on a common loyalty and kept secret,
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5720
MARRANOS
contributed significantly to the socially created momentum
nonetheless remained in Spain, and their descendants be-
of Marranism. Universities, too, with their colleges and stu-
came the final object of anti-judaizing activity in Spanish In-
dent organizations, their relatively large concentrations of
quisitorial history, from as early as 1630 and up until be-
New Christians, and their pervasive preoccupation with pu-
tween 1720 and 1731. Ultimately, the Portuguese Marrano
rity of blood, proved important centers of judaizing. Espe-
phenomenon survived Inquisitorial repression, and distinct
cially in medicine, a profession traditionally associated with
vestiges of judaizing were discovered in Beira Alta and Trás-
Jews and generally mistrusted by the religious establishment,
os-Montes provinces in the twentieth century and have per-
Marranos reinforced each other’s ancestral loyalties and,
sisted until today.
where opportune, drew into their orbit wavering conversos,
who felt the attraction of New Christian solidarity or were
Some evidence suggests that women were as numerous
reacting against Old Christian antagonism.
as men among the judaizer victims of the Inquisitions. Dur-
ing certain periods, such as the first century of the Portu-
The religious education of the Marranos was extremely
guese Inquisition, women may even have outnumbered men.
limited. For the most part, judaizers had to rely on family
Two groups stand out as constant and ubiquitous targets of
traditions of Jewish practices and prayers. Those who wished
Inquisitorial vigilance: professionals (especially physicians)
to deepen their intellectual understanding of Judaism culled
and merchants of various ilk and size. Almost as numerous
information from the Vulgate translation of the Hebrew
are the artisans and public servants, but their incidence var-
Bible—including the Apocrypha and Pseudepigrapha, which
ied more, presumably in accordance with local conditions.
are not part of the rabbinic canon—and the abundant ver-
An occasional cleric is encountered, more apparently before
nacular literature on biblical themes. Marranos also turned
the widespread introduction of limpieza statutes. In the earli-
anti-Jewish texts to their advantage, for polemic literature
est days of the Spanish Inquisition, the Jeronymite order,
and Inquisitorial edicts of faith never tired of denouncing in-
among others, was discovered to harbor a relatively large
numerable Jewish practices and ideas, and thus publicized
number of judaizers who had found in the monastery the
forbidden traditions. Genuinely Jewish literature was occa-
perfect shelter for their secret activities.
sionally smuggled in from the vernacular Spanish and Portu-
A number of historical circumstances may account for
guese presses established by former conversos in Italy and
the greater persistence and larger extension of the Marrano
Holland.
phenomenon in Portugal than in Spain. The coexistence of
THE INQUISITION. In Spain the initial Inquisitorial hunt for
conversos and Jews in Spain from 1391 until 1492 forged a
judaizers was begun by district, in stages between 1480 and
clear and permanent distinction between sincere and judaiz-
1495, depending on the tribunal. Its duration varied widely
ing conversos and undermined converso solidarity. In Portu-
from jurisdiction to jurisdiction: until about 1510 in most
gal, where the entire Jewish community was converted at
of Old Castile, into the 1520s in Valencia, and into the
once, ancestral loyalties remained latent, and so acted as a
1590s in Cuenca. In most of Spain, judging from Inquisito-
catalyst of group solidarity. Conversion there was even
rial documentation, judaizing would appear to have been
harder for the Spanish exiles, who by their act of emigration
eradicated within one or two generations after the expulsion
had already expressed a strong attachment to Judaism. The
and the final wave of conversion, except where it appeared
forty years that elapsed between the conversion and the insti-
sporadically in isolated regions and in Majorca, where there
tution of the Portuguese Inquisition, moreover, gave judaiz-
were dramatic proceedings against several hundred “Xuetas”
ers an opportunity to adjust themselves to the exigencies of
(probably, “little Jews”) from 1675 to 1691. In Portugal,
secrecy. Finally, as former Spanish exiles, the vast majority
prosecution of judaizers started in 1536 and lasted without
of Portuguese New Christians (only a very small minority of
major interruptions until the 1760s—that is, across almost
whom were the descendants of the 20,000 native Portuguese
ten generations.
Jews) constituted a distinct ethnic group whose primordial
ties reinforced ancestral religious commitments.
The activity of the Portuguese Inquisition is particularly
uneven when viewed over time. Dramatic increases in In-
Some of the geographic, chronological, and professional
quisitorial vigilance occurred between the years 1618 and
variations in Inquisitorial repression are undoubtedly a re-
1640, between 1660 and 1674, and during the 1720s and
flection of differences in the persistence and preponderance
1730s. During the same period, Portuguese judaizers also
of judaizers. The 1618 Oporto arrests (and others of the
made their appearance outside of Portugal. Under the union
same sort), the periodic increases in Portuguese Inquisitorial
of the Spanish and Portuguese crowns (1580–1640), large
vigilance, and the anti-Portuguese campaign of the Spanish
numbers of Portuguese New Christians sought economic op-
and American Inquisitions smack of arbitrariness and extra-
portunities or respite from the Portuguese Inquisition, or
religious inspiration. In these instances, victimization oc-
both, in Spain and its American colonies. The Portuguese re-
curred in an atmosphere of commercial rivalry, xenophobia,
bellion of 1640 rendered these somewhat suspect and in-
political discontent, or economic decline. It is difficult, how-
creasingly more prosperous immigrants political enemies and
ever, to pinpoint exactly how political or economic tension
provoked retaliation in Spain and its territories in America
engendered a widening or deepening of Inquisitorial repres-
that lasted into the 1660s. Some Portuguese New Christians
sion. Historians who accept the reality of the Marrano phe-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARRANOS
5721
nomenon and the reliability of Inquisitorial recording seek—
tlement of many Marranos in Jewish communities in more
but have not yet found, by reason of the sheer magnitude of
tolerant parts of Europe and America confirms, according to
such a project—reverberations of extrareligious consider-
these historians, their unwavering loyalty to Judaism.
ations in the trial records themselves: in increases in sponta-
neous accusations and extorted denunciations, in a greater
Most historians today probably reject both interpreta-
readiness (on flimsier evidence) to prosecute, or in a slacken-
tions. No matter what motivation one imputes to the inquis-
ing of procedural rigor.
itors, the once secret and immensely detailed archives of the
Inquisition are there now for everyone to see, examine, and
The Marrano phenomenon also extended beyond the
compare, and the stories they tell are clearly beyond the pow-
Iberian world. Most New Christians who emigrated to non-
ers of even the most devious imagination. On the other
Iberian Europe or to America returned to Judaism; some im-
hand, a simple loyalty to Judaism is inadequate to account
mediately, others after several generations, depending on the
for the regional and chronological differences in the manifes-
climate of toleration in the land of settlement. These ex-
tations of Marranism, to explain why some and not other
conversos founded Jewish communities during the sixteenth
Jewish traditions were retained, or to justify the protracted
century in North Africa, Italy, Ottoman Greece and Turkey,
and voluntary lingering of most Marranos in Portugal,
and, during the seventeenth century, in southwestern
Spain, and the colonies.
France, Amsterdam, Hamburg, London, the Caribbean, and
North America. The reasons behind their emigration are the
Historians now generally acknowledge the variety of
subject of an interminable scholarly debate. Some conversos
converso religious commitments spanning a spectrum from
migrated in search of economic opportunities, others to re-
the sincere Christian via the indifferent or wavering converso
embrace their ancestral Judaism. Most, however, appear to
to the sincere judaizer. They accept that the social experi-
have fled the threat or experience of Inquisitorial persecu-
ences of the New Christians, such as “purity of blood” dis-
tion. At first, immediately following the institution of the
crimination and pressures to assimilate, influenced the con-
Portuguese Inquisition, this threat gave rise to a general fear,
versos’ religious commitment so that every New Christian
prompting many conversos, including those not directly
was a potential Marrano who by any one of a number of so-
threatened, to flee the country. Later, the Inquisitorial threat
cial accidents or personal idiosyncrasies could become an ac-
became particularized and was feared primarily by families
tive judaizer. For them, Marranism was “a potential Judaism,
that had relatives or close associates who had been incarcerat-
which entry into a Jewish community transformed most
ed and might be forced, by Inquisitorial pressure or torture,
often into a real Judaism” (Révah, 1959–1960, p. 55).
to denounce their judaizing associates.
Another avenue of approach recognizes Marranism as
INTERPRETATIONS OF THE MARRANO PHENOMENON. Theo-
a popular tradition—that is, as the continuation of a popular
ries about the Marranos are almost as numerous as the schol-
Jewish tradition that, even when Judaism was a licit religion
ars who have studied the subject. Difficulty arises from the
in Spain and Portugal, had always differed from the Judaism
nearly total lack of sources in the Marrano voice and the
of the rabbinically educated elite. The domestic centrality of
need, therefore, to rely almost entirely on the documentation
popular religion lodges it primordially in a network of famil-
of the Inquisition, a not disinterested adversary, for informa-
ial and ethnic ties at the same time that its private nature ren-
tion. Some have seen the Inquisition as an instrument of the
ders it less susceptible to public dynamics. The fortunes of
seignorial class designed to combat, through incarceration
popular religion and of Marranism, therefore, fluctuate with
and expropriation, the economic, social, and political ad-
the individual’s relation to their family, extended group of
vances of a rising and largely converso middle class. Others
families, or ethnic community. This relation, in turn, is
have viewed the Inquisitorial persecution of the conversos as
shaped by the family or ethnic community’s place in society
a continuation of the age-old anti-Jewish struggle of the
at large. Under the conditions of social discrimination pre-
church inspired by ecclesiastical paranoia. Both views consid-
vailing in Portugal and Spain, the New Christian family or
ered the reality of Marranism an Inquisitorial myth and dis-
ethnic community experienced differing and intermittent
missed Inquisitorial documentation as a malicious or mis-
forms of social rejection. At this point, Marranism became
guided fabrication. The conversos, they opined, had
the focus of a counterculture, a rejection of the religious prin-
completely assimilated into Christian society, give or take an
ciples under which the New Christians were refused their
occasional atavistic Jewish custom.
equal place as Christians in Iberian society. The variety of
converso commitments to Marranism, therefore, spans a spec-
At the other extreme, some historians have been con-
trum from a more or less witting retention of popular Jewish
vinced that many conversos consciously attempted to remain
traditions to a more or less willful embrace of New Christian
Jews to the degree that their enforced clandestinity permit-
counterculture.
ted. The Inquisitorial efforts to stamp out all remaining
traces of Judaism were therefore a response to a reality that
AFTERMATH AND IMPACT. The impact of the converso prob-
an intolerant church defined as heretical, and Inquisitorial
lem and the Marrano phenomenon on Iberian and Jewish
documentation reveals more or less substantial snippets of a
history cannot be denied, however difficult it may be to
vibrant and tenacious crypto-Judaism. The subsequent reset-
gauge its profundity precisely. Scholarly estimations, there-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5722
MARRANOS
fore, vary widely, but the following observations have found
Scholars have also pointed to an unmistakable note of
a certain general acceptance.
disillusionment with revealed and institutional religion
among another group of ex-Marranos. They argue—
Originally founded to inquire into the religious ortho-
differing in the weight they give this argument—that some
doxy of the conversos, the Spanish and Portuguese Inquisi-
Marranos carried their forceful rejection of Christianity over
tions usurped the supervision of many other religious affairs,
into a critique of parts or all of the Jewish tradition. Having
set the strictest limits on religious dissension and innovation,
lost faith in both the Christian and the Jewish traditions,
and, in the end, encouraged Iberian Catholicism’s drift to-
these ex-Marranos joined the growing European community
ward conformism and ritualism. On the other side, the con-
of skeptics; thus, each in a personal way projected a distinctly
versos’ forced induction into Christianity, their rejection by
modern alternative to traditional revealed religion. Uriel da
Iberian society, and their involuntary marginality could not
Costa (1585–1640) embraced Epicureanism; Barukh Spino-
but have complicated New Christian attitudes toward Chris-
za pursued and reworked Cartesian philosophy to the point
tianity in particular and toward religion in general. Some
of amor Dei (sive Naturae) intellectualis (an intellectual love
conversos vented their misgivings at contemporary Iberian
of God [or Nature]); and Isaac La Peyrère, according to one
Catholicism or sought satisfaction in more profound reli-
theory, envisioned a meta-Judeo-Christian messianism in-
gious experiences than were available through the official
spired by the manner in which the Marranos had combined
church. New Christians were particularly numerous among
and transcended both the Jewish and the Christian
the anticlerical, antiritualistic Erasmian humanists and pi-
traditions.
etists (e.g., Luis de León, 1527–1591, a poet and writer),
some of whom (e.g., the Sevillian cleric Constantino Ponce
Finally, ex-Marrano Jews played a leading role in the
de la Fuente) were confusedly accused of Lutheranism.
most important new Jewish movement of the seventeenth
Other New Christians were attracted to the urbane, reform-
century, that of the pseudomessiah Shabbetai Tsevi. They
ist, heterodox mysticism of the alumbrados, who claimed di-
were among the first and most ardent followers as soon as
rect, unmediated divine illumination (e.g., the brothers
news of Shabbetai’s messianic mission reached the European
Ortiz), or to the enlightened and militant spirituality of the
Jewish communities, and some (e.g., Abraham Cardoso) be-
Jesuits (e.g., Laínez and Polanco, generals of the Jesuit order;
came prominent advocates of the heretical Shabbatean
possibly Juan de Mariana, a historian; and Baltasar Gracián
movement, which retained faith in Shabbetai’s messiahship
y Morales, a writer). A few exceptional individuals (e.g., the
even after his apostasy. In the early days of the movement,
cleric and reformer John of Ávila, Teresa of Ávila, and, possi-
ex-Marranos saw in Shabbetai Tsevi a confirmation of the
bly, the priest Miguel de Molinos) formulated their personal,
Jewish messianic expectations many of them, as Marranos,
mystical “innovations” in such orthodox terms that they
had nurtured for several generations in the face of insistent
passed even the rigorous examinations of the Inquisition.
Christian denunciations. Shabbetai’s claims that he had
Other New Christians evaded the complication and retreated
apostatized for a messianic purpose reminded a few ex-
into religious indifference or a more or less radical rejection
Marranos of their former double life, and their acceptance
of any and all religions, with or without a public facade of
of these claims helped put their guilt-laden memories in a
piety and devotion. All in all, the criticism and spiritual
new and positive light. Distinct echoes of the Marrano expe-
quest, as well as the contrasting indifference of many sincere-
rience, therefore, resound in the two most novel Jewish
ly Christian converses, left an indelible mark on the Christian-
movements of the seventeenth century: skepticism and mys-
ity of sixteenth-century Spain and Portugal.
tical messianism.
N
Various significant religious developments in seven-
ON-IBERIAN PARALLELS TO MARRANISM. Jewish loyalties
among converted Jews survived elsewhere and at other times
teenth-century Jewish history, too, have been explained as re-
in Jewish history. A certain degree of Marranism attended
verberations of the Marrano phenomenon. Not surprisingly,
every instance of a forced conversion of Jews. In most cases,
among several first-generation Marrano refugees who recon-
the forcibly converted Jews either fled and returned to Juda-
verted to Judaism, one encounters an apologetic need to de-
ism, were eventually assimilated completely into the native
fend Jews and Judaism, as well as a polemic urge to counter
population, or were permitted by a subsequent decree to re-
the claims of Christianity, that is more common and more
turn to Judaism. In a few cases, however, the forcibly con-
strong than that found among traditional Jews. Several of the
verted Jews remained a group apart. Thus, in Italy in the
apologetic works (e.g., those by Menasseh ben Israel, Isaac
early 1290s, the Jews of Apulia were forcibly converted.
Cardoso, and Isaac Orobio de Castro) were published in the
Throughout the fourteenth and much of the fifteenth centu-
vernacular, became classics, and have influenced modern
ries, sources continue to speak of the neofiti (neophytes) or
perceptions of Jews and Judaism. For reasons of law and self-
mercanti (merchants), the descendants of these converted
censorship, the polemic treatises (e.g., by Eliau Montalto,
Jews, as a group that had not completely abandoned its an-
Saul Levi Morteira, Orobio de Castro, and Abraham Gomes
cestral Jewish practices.
Silveyra) circulated in manuscript, in Spanish and Portu-
guese, among Jews only and have been brought to public at-
The other documented cases of Marranism occurred in
tention only recently.
Persia, whose conversos are referred to as Jedidim. In the 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
MARRANOS
5723
dle of the seventeenth century, first the Jews of Isfahan and
on Jewish-Christian Polemics; Rites of Passage, article on
later those of the rest of Persia were forcibly converted. The
Jewish Rites; Shabbetai Tsevi; Spinoza, Barukh.
converts and their descendants were known as Jadid al-Islam
(New Muslim). In 1839 the Jews of Mashhad were forcibly
BIBLIOGRAPHY
converted and also called Jadid al-Islam. In both cases the
Jedidim successfully resisted pressures to intermarry with the
General Studies
rest of the Muslim population. The ultimate fate of the earli-
The first book-length study of the Marranos was Cecil Roth’s A
History of the Marranos (Philadelphia, 1932), which is now
er Jedidim is not known. The Mashhad Jedidim, however,
outdated and not always reliable. Roth summarized the then
maintained themselves as a community through endogamy,
limited state of knowledge almost entirely on the basis of far
religious leadership, and communal observances and instruc-
from satisfactory secondary literature. Shorter, updated, bet-
tion. Some settled elsewhere either as Jedidim or as Jews (as
ter informed, and fully annotated is Israel S. Révah’s “Les
in Jerusalem in the 1890s) and so gave rise to an economical-
Marranos,” Revue des études juives 108 (1959–1960): 2–77.
ly important Jadid diaspora; others remained in Persia, where
A compilation of Marrano customs appears in David M.
they still formed a distinct Judeo-Muslim group as late as the
Gitlitz’s Secrecy and Deceit: The Religion of the Crypto-Jews
1940s.
(Philadelphia, 1996). A comparative history of the conversos
appears in Renée Levine Melammed’s A Question of Identity:
In sum, Marrano-like survivals of Jewish loyalties
Iberian Conversos in Historical Perspective (New York, 2004).
among converted Jews appeared where the converted Jews
chose to stay in their native land, where the religious and so-
Marranism in Spain and Portugal
cial intolerance that had given rise to the forced conversion
For Spain we possess two substantial overviews: Julio Caro Baro-
persisted unabatedly for many subsequent generations, and
ja’s Los Judíos en la España moderna y contemporánea, 3 vols.
(Madrid, 1962), an uneven, but, when used with discrimina-
where the Jewish, neophyte, or Jadid community constituted
tion, extremely informative history by a well-known anthro-
a more or less distinct and cohesive socioeconomic group.
pologist; and Antonio Domínguez Ortiz’s Los Judeoconversos
The extent to which variations in the intensity of Jewish
en España y América (Madrid, 1971), a sober and judicious
commitments prior to conversion played a role in emergent
account by one of Spain’s most eminent historians. The early
Marranism cannot be precisely assessed.
history of the Marranos of Ciudad Real is covered on the
MARRANOS IN THE WESTERN HEMISPHERE. In the sixteenth
basis of all available Inquisitorial documentation in Haim
century, Spanish conversos began to arrive in the Western
Beinart’s Conversos on Trial (Jerusalem, 1981); a more ex-
Hemisphere along with the conquistadors. Some were seek-
haustive and surefooted treatment, especially of the Jewish
element in Marranism, than the previous overviews. On the
ing economic opportunities, and all were relieved to be far
basis of contemporary Hebrew sources, Benzion Ne-
from the Spanish Inquisition’s reach. Among them were ju-
tanyahu’s The Marranos of Spain from the Late Fourteenth to
daizers, many of whom were tried by the Inquisitions estab-
the Early Sixteenth Century (New York, 1966) argues against
lished in Mexico and Peru during the sixteenth and seven-
the theory of a persistent and vibrant judaizing among the
teenth centuries. Some moved north to territories that would
forced converts. The unique role of women is analyzed in
later become part of the United States, while others remained
Renée Levine Melammed’s Heretics or Daughters of Israel:
in Mexico, Brazil, Peru, and elsewhere.
The Crypto-Jewish Women of Castile (New York, 1999).
Many of these crypto-Jews passed on traditions to their
For Portugal, the classic account of Joa˜o Lúcio d’Azevedo, História
children, but as time passed, this transmission became more
dos crista˜os novos portugueses (Lisbon, 1921), focuses more on
and more problematic. The majority experienced life as
the political history of the New Christian problem than on
Catholics (some as Protestants), yet some retained a sense of
the evolution of the Marrano phenomenon. Although pri-
marily a history of the fierce political struggle surrounding
identity as Jews or continued hidden religious observances,
the establishment of the Portuguese Inquisition, Alexandre
such as candle lighting or baking special types of bread. Near
Herculano’s History of the Origin and Establishment of the In-
the end of the twentieth century (in 1990, to be precise), a
quisition in Portugal, translated by John C. Branner (Stan-
great deal of media attention began to be paid to those who
ford, Calif., 1926), contains much invaluable information on
are or claim to be their descendants. There is considerable
the early-sixteenth-century history of the Portuguese Marra-
controversy about the nature of their identity, their genuine-
nos. António José Saraiva’s Inquisiça˜o e crista˜os-novos (Opor-
ness, and their motives, and about how to receive them.
to, Portugal, 1969) interprets the Inquisition’s prosecution
Quite a few crypto-Judaic societies have been established, es-
of the Portuguese New Christians in terms of a class struggle.
pecially in the Southwest United States (New Mexico, Texas,
The best study of the Marranos in the Spanish and Portu-
Arizona, and Colorado) while in Latin America many indi-
guese colonies is Anita Novinsky’s Crista˜os novos na Bahia
viduals have sought out rabbis or chosen to convert; some
(Sa˜o Paulo, 1972), which stresses the anti-Catholic, defen-
sive nature of the Marrano phenomenon.
have even gone to Israel to study, convert, and live as Jews.
Marranos in a Non-Iberian Context
SEE ALSO Domestic Observances, article on Jewish Prac-
Surveying the Marranos in a non-Iberian context, Brian Pullan’s
tices; Heresy, article on Christian Concepts; Inquisition,
The Jews of Europe and the Inquisition of Venice, 1550–1670
The, article on The Inquisition in the Old World; Judaism;
(Oxford, 1983) offers a new and promising perspective on
Messianism, article on Jewish Messianism; Polemics, article
Marranism 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
5724
MARRIAGE
Biographic Sources
American cultures. In these societies the celebration of a
Marranism has been studied successfully in a number of excellent
Christian marriage was urged on the native Indians by the
biographies. Yosef Hayim Yerushalmi’s From Spanish Court
Spanish conquerors as the only means to attain heaven at
to Italian Ghetto: Isaac Cardoso; A Study in Seventeenth-
death. Marriage here takes place on two levels. It is not sim-
Century Marranism and Jewish Apologetics (New York, 1971)
ply the relationship between two individuals and their fami-
delivers far more than the title indicates and probes deeply
lies, but it is also a bond between the souls of the bride and
into the intellectual world of a Marrano who returned to Ju-
daism. In Hebrew, Yosef Kaplan’s From Christianity to Juda-
groom.
ism: The Life and Work of Isaac Orobio de Castro (Jerusalem,
Among the Hopi Indians of the American Southwest,
1982) meticulously reconstructs the life of another ex-
a woman initiates a marriage and brings a husband to her fa-
Marrano. Martin A. Cohen’s The Martyr: The Story of a Se-
ther’s house. The marriage is necessary for the girl’s life after
cret Jew and the Mexican Inquisition in the Sixteenth Century
(Philadelphia, 1973) beautifully tells the story of the famous
death. The wedding clothes that are provided by her hus-
adventurer, Luis Carvajal the Younger.
band’s male relatives will become her shroud upon her death
and will transport her spirit into the afterworld. And so,
Works of Related Interest
without entering into marriage, one cannot truly die.
Edward Glaser’s “Invitation to Intolerance: A Study of the Portu-
guese Sermons Preached at Autos-da-fé,” Hebrew Union Col-
PURPOSE OF MARRIAGE. The purpose of marriage and the
lege Annual 27 (1956): 327–385, offers keen insights into the
beliefs that surround this institution must be viewed differ-
anti-converso mentality of the inquisitors. Albert A. Sicroff’s
ently for every culture. Marriage in industrialized societies is
Les controverses des statuts de “pureté de sang” en Espagne du
very different from that in societies where kinship relations
quinzième au dix-septième siècle (Paris, 1960) gives a detailed
and the alliances created through those relations will be the
outline of the intellectual debate surrounding the “purity of
most important part of an individual’s life. Here, the mar-
blood” statutes.
riage arrangements may not take individual choice into ac-
DANIEL M. SWETSCHINSKI (1987)
count. There are three major categories of belief about the
RENÉE LEVINE MELAMMED (2005)
purposes of marriage: Marriage may be viewed as existing
primarily for the continuation of the family and society
through procreation; it may be considered most importantly
MARRIAGE.
as an alliance, that is, the means to bring about the integra-
Every culture of the world recognizes some
tion of society by setting up kinship ties and kinship termi-
form of the institution of marriage. In most cultures and reli-
nology; and finally, the union of bride and groom may be
gions neither man nor woman is considered complete, after
perceived as a complex system of exchanges between groups
reaching maturity, without a spouse. Many religions consid-
and/or individuals. These categories will be validated
er marriage as a sacred act that originates from a god or as
through the religious beliefs of the society.
the union of souls or spirits with the sacred realm.
Jewish beliefs trace the origin of marriage to Adam and
Continuation of society. The institution of marriage
Eve and view their union as a part of the fabric of creation.
perpetuates society by socially recognizing the union of man
The nuptial blessings emphasize marriage in the scheme of
and woman and incorporating their offspring into the fabric
creation and speak of the state of marriage as paradise re-
of social life. There are variants of marriage forms that exist
gained. As a blessing from God, Jewish marriage should not
in many cultures to allow for the continuation of the family
only perpetuate humankind but should also enhance and
and of society in the event that one of the marriage partners
complete the partners’ personal growth.
dies. The two best known forms are the levirate and the soro-
rate. In the levirate, when the husband of a marriage dies,
Christian marriage is also identified with the sacred
an approved male relative of his may live with the widow and
union of Adam and Eve and is regarded as a vocation. The
the children. This replacement husband will conceive more
ceremony joins the bride and groom into one spirit in union
children for the deceased as if he were the deceased. In the
with Christ and God. In Christianity, marriage is also a met-
sororate, the place of a deceased wife is taken by her sister.
aphor for the marriage of the church to Christ. In this sense
the bride and groom become the “bride” of Christ and are
The Nuer and Zulu societies of Africa practice another
heirs together of the grace of life through the spirit of Christ.
variant of the more traditional marriage in order that the
family of the deceased may continue. There are two types of
For the Hindu, marriage is also a sacred institution
this “ghost marriage.” If a man is engaged and dies before
whereby man and woman become one in spirit. Hindu mar-
the marriage, his fiancée should marry one of his kinsmen
riage is also a social duty, and in the Vedic period it was a
and conceive children for the dead man, in much the same
moral and religious obligation as well. Marriage and the sir-
way as in the levirate. A man may also “waken” a dead rela-
ing of male children was the only possible way in which a
tive who was never married by marrying a wife to his name
man could repay his debt to his ancestors.
and conceiving children for him. Also among these two
Marriage among the Zinacantecos, a Maya Indian
groups, women may “become” men to carry on the male line.
group in central Mexico, is a mixture of native Indian reli-
A rich, important woman, or the eldest daughter in a family
gion and sixteenth-century Catholicism, as it is in most Latin
with no sons, can marry another woman and become the fa-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARRIAGE
5725
ther of her wife’s children who are conceived by some male
loss of a daughter, the groom will serve his in-laws for an
relative of the female husband. The importance of all these
agreed-upon time. In the Hebrew scriptures, for example,
forms of marriage is that they allow for the perpetuation of
this type of service is described in Genesis 29, which tells of
the family line, and indirectly the entire society, through the
Jacob’s serving his father-in-law for seven years for each of
existing structure of social relations.
his wives, Leah and Rachel.
While these forms of marriage perpetuate society
Dowry is not the opposite of bride-price; rather, it is an
through those who have died, many societies ensure their
endowment of property upon the bride from her own family
continuation into the future by marrying off those individu-
and is generally viewed as her share of the family inheritance.
als not yet born. Among the Tiwi of Australia, a young girl
In some instances, however, dowry may closely resemble the
is contracted for her future marriage before her birth, at her
practice of paying bride-price, as in marriages between castes
mother’s wedding ceremony. When the girl enters puberty
in India and Sri Lanka. Most Hindu marriages are tradition-
her wedding ceremony is held. This ceremony is attended by
ally made between members of the same caste, and no dowry
the girl, her father, and her husband, as well as her future
will be given. However, when a girl marries into a higher
sons-in-law. For in the same way that she has been married
caste she will be accompanied by a substantial dowry in sym-
since her mother’s wedding, here at her wedding she also
bolic payment for her movement to a higher status. This
marries her daughters to their future husbands.
practice is known as hypergamy.
Alliance. The importance placed upon marriage in
Exchange relationships at marriage may be expressed
many societies is in its role in integrating society. Marriage
primarily through the flow of gifts between families, and fre-
is the starting point for the kinship ties that run across and
quently these expenses will be about equal on both sides. The
between different and independent kinship or descent
power of the gift is not only in the object as gift but in the
groups. A marriage will be used to create an alliance between
relationships that lie behind the gifts. It is the exchange itself
two lines of descent with very little focus upon the relation-
that is essential to the completion and success of the mar-
ship between the bride and groom. In many cases these will
riage. This exchange of gifts is often an important part of the
be arranged marriages, often making use of go-betweens to
religious ceremony of marriage.
reach an agreement between the two families. Love is not a
F
requirement here, but the affection that exists after many
ORMS OF MARRIAGE. There are two basic forms of mar-
riage: monogamy, the union of one man with one woman,
years of successful marriage is a product of the marriage.
and polygamy, the union of a man or a woman with multiple
Among Georgian Jews, when dowry is unavailable, a love
marriage partners. Polygamy can also be divided into two
marriage may be effected by elopement, the legitimacy of
types: polyandry, in which a woman has more than one hus-
which is later recognized if the match appears to be suc-
band, and, conversely, polygyny, in which a man has more
cessful.
than one wife. Polygyny is the most common form of multi-
System of exchange. In the final category of marriage
ple marriage, and the plurality of wives is mainly the privilege
beliefs, marriage represents the gift or exchange of women
of older men and their wealth. Polygyny augments the power
between two descent groups. The position of giving or re-
of a man by increasing his alliances and following. But it may
ceiving wives sets up a constantly changing mechanism by
cause conflict among co-wives, as among the Ndembu of
which status is expressed and validated between the two kin-
Zambia. Conflict between wives is very common in Islamic
ship groups. The ideal exchange is for both descent groups
lands. The Tiv of Nigeria manage the problem differently:
to exchange sisters, thereby maintaining the status of each
the first wife becomes the “husband” of the “little wives,” and
group as equal. Marrying a woman in compensation for the
grows very attached to them.
death of a man is also an exchange recognized as equivalent
The classic case of polyandry is in Tibet, where a group
in many cultures for the settlement of quarrels.
of brothers may jointly marry a wife. The wedding takes
When women are not exchanged equally, then the bal-
place when the eldest brother has reached the appropriate
ance between the two groups remains unequal and must be
age, and on formal occasions it is he who will perform the
achieved through other means. This balancing may take the
role of father, although all brothers are viewed as the father
form of payments made on behalf of the husband to the man
to the children of the marriage. One effect of polyandry is
or the family who has given up the wife. These payments are
to keep down the population, an important goal where arable
viewed as equivalent to the reproductive powers of the
land is a scarce resource. There is, however, an alternative to
woman who is being given to another group as well as a re-
polyandrous marriage open to younger brothers: they may
turn on the labor and usefulness the bride’s family will lose
become monks and commit themselves to a life of celibacy.
upon her marriage. These payments are known as “bride-
Such a “marriage” to religion or to God is an avenue available
price” or “bride-wealth.”
to both sexes in most societies.
Postmarital residence or marriage service may be used
Societies regulate not only how many spouses one can
in a similar way as bride-price or may even be combined with
have but from what general categories these individuals
bride-wealth payments. To repay the bride’s family for the
should be selected. Exogamy, marriage outside a defined kin-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5726
MARRIAGE
ship group, is primarily concerned with incest prohibitions.
within religious rites. The Buddhist monks are fed a special
Brother-sister and parent-child unions are forbidden in near-
meal in the bride’s home the morning before the wedding.
ly every culture; cousin marriage is forbidden in the third de-
This feast acquires merit for the couple to be married and
gree of the collateral line among Roman Catholics, while it
for the parents of the bride. A religious ceremony is held the
is recommended among many peoples of Africa. Endogamy
evening after the wedding at the village shrine and offerings
is marriage within a defined group as required by custom or
are made by the bride, her mother, and the mother of the
law. This group may be defined by culturally recognized kin-
groom to the guardian spirits of the village and to the spirits
ship ties or by a religious tradition. Pious Roman Catholics
of the ancestors. During the secular wedding ceremony the
and Jews obey the rule of endogamy and take a spouse from
couple are instructed to worship their parents and the Bud-
within their own religion. Good Hindus will keep marriage
dha. Their hands are held together and immersed in a bowl
within their own caste, except when practicing hypergamy.
of water so that “their union should be as indivisible as
MARRIAGE AS A RITE OF PASSAGE. A rite of passage is a vehi-
water.”
cle for moving an individual or a group of individuals from
Christian marriage may be regarded as a sacrament, one
one way of being to another through a series of culturally rec-
of the outward signs of inward grace, and may include the
ognized stages. A marriage ceremony moves the bride and
Eucharist within the ceremony, the sacred sharing of the
groom from being unmarried to being husband and wife.
mystical body of Christ that unites all participants with God.
Just as the definition of what marriage is will vary cross-
In most Christian churches this is an optional rite, but a wed-
culturally, so will the manner in which the union of marriage
ding will usually be followed by a sharing of food and drink
is created and recognized. The rite of passage may extend
with guests. This part of the ceremony is not sacred. One can
over a long period of time and include great finery and com-
also be a Christian and include few if any religious elements
plex symbolism, or there may be no traditional ceremony at
in the marriage ceremony—which may be performed entire-
all, simply an action conducted in public view.
ly within the secular domain by various officers of law. Or
MARRIAGE RITUAL. The ceremonials of marriage may be en-
a couple may become married simply by living together for
tirely of a religious nature, include both religious and secular
a set period of years, thus forming a marriage in “common
elements, or be entirely within the secular and legal realm.
law.” These options to the traditional marriage ceremony are
Two elements are used to mark a marriage, whether there is
available in other religions as well.
a ceremony or not: the sharing of food between the bride and
The necessity for consummation to occur in order for
groom (or some passage of food or other substance between
a marriage to be legally binding is not universal but is cultur-
them) and the necessity of a public statement or the require-
ally and religiously specific. Although the Virgin Mary bore
ment of witnesses to the marriage event, which may even in-
Christ without intercourse with her husband, any Christian
clude proof of virginity and consummation, as among Arabs.
marriage can be annulled or canceled if the couple do not
Among the Mundurucú of South America, a marriage
consummate the marriage. In Hinduism, however, the most
is marked only when the man brings the day’s kill to his bride
important rite for validation of a marriage is the ceremony
instead of to one of his close female relatives. The Ndembu
called Saptapadi, the “taking of seven steps” by the couple
of Africa, like the Tiwi of Australia, combine the puberty
before the sacred nuptial fire. Legally the marriage is com-
rites for a young girl with her marriage ceremony. Here the
plete with the seventh step, for according to the Hindu Mar-
emphasis is upon fertility. The rites take place where the
riage Act of 1955 consummation is not necessary to make
groom has planted his arrow by the “milk tree,” a tree that
marriage complete and binding.
represents the matrilineage. Among Trobriand Islanders, a
The marriage ceremony of Java is a syncretism of Hin-
man and a woman may have been sleeping together for a
duism, Islam, and folk religion from the villages. The eve-
long while, but their marriage is not acknowledged until they
ning before the ceremony, a feast called the Slametan is held.
eat yams together in public. The Burmese wedding ceremo-
Then the bride must sit by herself for five hours until mid-
ny does not create marriage but is, rather, the public state-
night. At midnight an angel enters her and will remain in
ment that a couple intend to live together as husband and
her until five days after the wedding. The actual wedding be-
wife. The symbol of marriage here is the sharing of food from
gins the next day when the groom makes a trip to the office
the same bowl by the bride and groom after the ceremony.
of the government religious official to register and legalize
the marriage. For Javanese Muslims, this is the important
The Jewish marriage ceremony must have witnesses for
part of the marriage ceremony, for it is here that the marriage
the signing of the marriage contract and for the symbolic
is made official in the eyes of God and the government.
consummation, the yih:ud, or time of privacy. It is during this
However, according to the folk religion the couple is not
time of privacy that the couple break their fast and eat to-
married until they exchange their kembang majang
gether for the first time. When they emerge from their seclu-
(“blossoming flowers”), which stand for their virginity. And
sion, they are husband and wife and will then share a meal
then they must eat from one another’s dish but they must
with their guests.
not finish their food. Consummation of the marriage is be-
The wedding ceremony in Burma is not attended by
lieved to have occurred when this food begins to smell in five
Buddhist monks. This ceremony is a secular affair contained
days, or when the angel has left the bride.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARS
5727
CREATION MYTHS AND THE INSTITUTION OF MARRIAGE.
moral organization of the culture of Java. The mixture of
Many origin myths that explain the creation of the world and
Catholic and Maya Indian beliefs is explored in Evon Z.
of humankind also explain marriage. In Samoa the marriage
Vogt’s Zinacantan: A Maya Community in the Highlands of
of the creator god Tangaloa with a woman he has created be-
Chiapas (Cambridge, Mass., 1969). An extensive study of the
gins the world and, through their union, all of mankind. The
Tzotzil-speaking Indians of Guatemala, it includes a full ac-
count of their religious beliefs and marriage practices, espe-
Makasar of Indonesia believe that the son of the sky deity
cially the relationships created between families and compa-
was sent to earth on a rainbow to prepare the world for hu-
dres, or ritual godparents. For an excellent view of marriage
mans. This god married six female deities and their offspring
as a life process, begun before the birth of the bride and oc-
became the peoples of the world. The union of the Japanese
curring in gradual stages as she matures, see Jane C. Goo-
gods Izanagi and Izanami consolidates and fertilizes the mov-
dale’s Tiwi Wives: A Study of the Women of Melville Island,
ing earth. Through their union, they produced the islands
North Australia (Seattle, 1971).
of Japan. The marriage of Osiris, one of the greatest of an-
cient Egyptian deities, with his sister Isis accounts for the
EDITH TURNER (1987)
PAMELA R. FRESE (1987)
continuation of the pharaohs and their practice of marrying
their sisters. And, for Jews, Christians, and Muslims alike,
the marriage of Adam and Eve, two beings created by God,
generates all of humankind.
MARS. The Latin name Mars, found throughout Italy,
lacks any Indo-European etymology. It appears in both a
SEE ALSO Hieros Gamos; Mystical Union; Rites of Passage;
simple form and in doubled form. The Latin Mars coexists
Sacrament, article on Christian Sacraments.
with an ancient form, Mavors (kept in use by poets), as well
as a contracted form, Maurs (see Corpus inscriptiorum Lati-
BIBLIOGRAPHY
narum, Berlin, 1863, vol. 1, no. 49). As for the doubled
One of the first scholars to concern himself with marriage prac-
tices was Lewis Henry Morgan in Ancient Society (New York,
form, Marmar, it very likely stems from *Mar-mart-s; it is
1877). Following this evolutionary approach, Edward A.
found in the Carmen Arvale along with Marmor, which
Westermarck compiled his classic The History of Human
seems an odd form. Mamers, which the ancients identified
Marriage (1891), 3 vols., 5th ed. (1921; reprint, New York,
as an Oscan term (Paulus-Festus, ed. Lindsay, 1913, p. 150
1971). This three-volume set treats everything believed to be
L.), derived from *Mamars by apophony of the second
related to marriage in that time, including marriage rites,
vowel. A god Maris is known among the Etruscan gods, but
customs, and kinship organizations. One of the classic
the identification with Mars is doubtful, since Laran is the
studies of the constitution of social groups and their unity
Etruscan god of war. The Umbrian ritual of the seven Igu-
was written by W. Robertson Smith following the precedents
vine Tables (from ancient Iguvium, modern Gubbio) attests
set by Morgan and Westermarck. Smith’s Kinship and Mar-
to the worship of Mars in that region: Table VIb1 mentions
riage in Early Arabia, edited by Stanley A. Cook (1903;
the sacrifice of three oxen to Mars Grabovius. With Jupiter
Oosterhuit, 1966), goes beyond these first works and is par-
ticularly concerned with the laws of marriage and how this
and Vofionus, Mars receives the epithet “Grabovius” (the
institution functioned within the tribal organization in Ara-
link with Latin Gradivus, epithet of Mars, is uncertain) and
bia at the time of Muhammad. The theories of primitive pro-
is the second god of the so-called “Grabovian trinity.” Mars
miscuity and group marriage as the earliest forms of marriage
is the god to whom is dedicated the ver sacrum, an Italic ritu-
in human history that are put forth by all of these books have
al, originally Sabin (Strabo 5.4.12), in which the god is of-
never been substantiated, but these works provide valuable
fered all that is born and produced during the spring. This
insights into human society.
evidence indicates that the Mamertini (whose name is linked
For a contemporary view of love and marriage in the Jewish reli-
with Mamars), when a plague spread in the Samnium, en-
gion and its place in society, see Maurice Lamm’s The Jewish
tered Bruttium in 288 BCE and then settled in Messana (Fes-
Way in Love and Marriage (San Francisco, 1980). This book
tus, p. 150 L). Such a ritual attests to the Italic dimension
also includes a thorough description of a contemporary Jew-
of Mars. The dative Mamartei, read in an inscription at Sa-
ish wedding ceremony. The best review of marriage and kin-
tricum dating from the sixth century BCE, implies the exis-
ship beliefs for cultures of Africa is African Systems of Kinship
tence of a nominative, *Mamars. The Lapis Satricanus, found
and Marriage, edited by A. R. Radcliffe-Brown and Daryll
in the foundation of a temple of Mater Matuta, mentions,
Forde (Oxford, 1962). This book considers marriage in rela-
tion to other aspects of culture including economic, political,
in an archaic genitive form, the name of Valerius Publicola
and religious beliefs. Melford E. Spiro’s Kinship and Mar-
(consul in Rome at the beginning of the Republic), and a
riage in Burma: A Cultural and Psychodynamic Analysis
dedication or offering by his sodales to Mars (popliosio valesio-
(Berkeley, 1977) is an excellent presentation of kinship be-
sio suodales mamartei).
liefs in Burma and includes a full account of Burmese Bud-
dhist views on marriage. Clifford Geertz’s seminal work The
Mars is the Roman god of power, particularly of war.
Religion of Java (Glencoe, Ill., 1960) describes the syncretism
He held the second position in the archaic triad of Jupiter,
of Hindu, Islamic, and folk beliefs that comprise Javanese re-
Mars, and Quirinus, which, according to Georges Dumézil,
ligion. This book focuses on the five major occupations of
pre-existed the Capitoline triad. He received the second
the population and their religious beliefs that shape the
share of the spolia opima in the threefold distribution 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
5728
MARS
highest military spoils established by the law of Numa (Fes-
Conference held in Oslo in 1955 Herbert Jenkins Rose in-
tus, p. 204 L.). He had not only a particular priest, the fla-
sisted that the Equus October was sacrified ob frugum euen-
men Martialis, but also a specific kind of offering: the suove-
tum (for the gathering of crops, but Georges Dumézil dem-
taurilia, a set of three victims (boar, ram, and bull) sacrificed
onstrated that with this ritual the Romans intended to thank
as part of the Capitoline triad, a purification ritual called the
the god of war for preserving the harvest from enemies and
lustratio populi celebrated by the Roman censors at the clos-
allowing them to gather in their crops. If the lance of Mars
ing of the lustrum in the Campus Martius.The old brother-
is important in the ritual (Arnobius, adv. nationes 6.11, said
hood of the Salii, created by Numa (Livy, 1.20. 4), was spe-
that according to Varro the ancient Romans had pro Marte
cially concerned with the war rituals and the god of war. The
hastam) and can give a good omen with its vibrations, we
Salii, divided into two twelve-member groups called the Salii
cannot come to the conclusion that the Romans first wor-
Palatini and the Salii Collini, were under the protection of
shiped the hasta and only later conceived a god with the
Jupiter, Mars, and Quirinus (Servius, Ad Aeneidem 8.663).
human features of a warrior.
It is probable that the opening service for the military season
The name of the god does not appear in the fragments
in spring was handled by the Salii Palatini, with Mars as their
of the Carmina Saliorum, but Gellius (13. 23. 2) mentions
patron, and the closing service by the Salii Collini, with
it in an old prayer associated with Nerio and the Moles, two
Quirinus as their patron.
aspects of his power. In the Carmen Arvale, the Arval broth-
Two sets of feasts, in March and October, correspond
ers prayed to “fierce Mars” (fere Mars) to protect Roman ter-
to the opening and closing of the military season. The first,
ritory by “leaping to the border” (limen sali). Likewise, Cato
in the spring, began on March 1, when the Salii Palatini went
the Elder’s peasant, celebrating a private sacrifice of a pig, a
out of their Curia on the Palatine and the Salii Collini left
sheep, and a bull, called suovetaurile for a lustratio agri, in-
the Sacrarium on the Quirinal to reach the Regia and offer
voked Mars “to halt, rebuff, and cast away visible and invisi-
a sacrifice to Mars. This cycle comprised the following feasts:
ble maladies” (De agricultura 141).
the horse races on March 14 for the Equirria on the Field
The god’s most ancient place of worship was situated
of Mars; on the same day, an old man would be expelled
on the Field of Mars at the ara Martis, the altar near which
from the city in the Mamuralia, a reenactment of the legend
D. Junius Brutus Callaicus erected a temple in 138 BCE. The
of Mamurius Veturius (Mamurius Veturius, whose name re-
most important sanctuary, outside the Porta Collina, near
called the god, was the smith who fabricated the shields, an-
the Via Appia, had been dedicated on June 1, 338 BCE, and
cilia, of the Salii. One of the shields was said to have dropped
was the starting point for the annual cavalry parade (Diony-
from the sky—see Ovid, Fasti 3.369 ff.); a sacrifice called
sius of Halicarnassus, 6.13.4).
Agonium Martiale was celebrated on March 17; the lustra-
At the beginning of the Second Punic War, in 217 BCE,
tion of arms took place at the Quinquatrus on March 19 and
Mars was associated in a lectisternium with Venus, after the
that of battle trumpets at the Tubilustrium on March 23. Be-
pattern of Ares and Aphrodite, in order to exalt the connec-
fore beginning operations, a Roman general entered the Sa-
tion between Romulus, son of Mars, and Venus, ancestor of
crarium Martis in the Regia and exclaimed, “Mars uigila!”
the Aeneades. Later, Augustus created the cult of Mars the
(“Mars, wake up!”) If the lances of the god vibrated, it was
avenger (Mars Ultor)—avenger of the Roman disaster suf-
a good omen and the war could begin.
fered by M. Licinius Crassus at Carrhae in 53 BCE, and also
avenger of the assassination of Julius Caesar (the victory at
The second cycle, in autumn, included the rite of purifi-
Philippi in 42
cation at the Tigillum Sororium on October 1 (purification
BCE). In 20 BCE, a round temple was erected
upon the Capitoline in honor of Mars Ultor and, in 2
rites in memory of Horatius, who killed the Curatii and his
BCE,
the great temple, situated in its own forum, was built (Dio
own sister); the sacrifice of a war horse during the rites of the
Cassius, 54.8.3 and 60.5.3). Thus Mars enjoyed new
Equus October (October Horse), on October 15; and the
prestige.
lustration of arms, Armilustrium, on October 19. In spring,
as in autumn, the priestly brotherhood of the Salii danced
SEE ALSO Flamen; Lustratio; Roman Religion, article on
at the feasts (a dance called tripudium) while brandishing
The Early Period.
lances and shields. In ordinary times these arms were kept
in the sacrarium of Mars within the Regia.
BIBLIOGRAPHY
Dumézil, Georges. Archaic Roman Religion. 2 vols. Translated by
The god’s military character was well established, but
Philip Krapp. Chicago, 1970. Discusses the theory of the
scholars of the predeistic shool, such as Herbert Jenkins Rose
agrarian Mars.
or Gustav Hermansen, who thought that Roman religion
Dumézil, Georges. Fêtes romaines d’été et d’automne. Paris, 1975.
was based on numen (something like the Melanesian mana)
Pages 139–156 and 177–219 treat the Equus October.
and not on anthropomorphism, developed the theory of an
Hermansen, Gustav. Studien über den italischen und den rö-
agrarian Mars. This opinion seems to be based on a confu-
mischen Mars. Copenhagen, 1940. Supports the theory of the
sion between the god’s intrinsic nature and the range of ap-
agrarian Mars.
plications for his intervention. His power could be employed
Heurgon, Jacques. Trois études sur le “ver sacrum.” Brussels, 1957.
not only in warfare but also in agriculture. At an Eitrem
See pages 20–35.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARSILIUS OF PADUA
5729
Poultney, James Wilson. The Bronze Tables of Iguvium. Baltimore,
stead, the way was opened for a purely secular society under
1959.
the control of a popularly elected government. Hence, it is
Ramat, Anna Giscalone. “Studi intorno ai nomi del dio Marte.”
understandable that Marsilius has been hailed as a prophet
Archivio glottologico italiano 47 (1962): 112–142.
of the modern world. His treatise exerted a marked influence
Rose, Herbert Jenkins. Ancient Roman Religion. London, 1948.
on the conciliar movement and during the period of the Ref-
Rose, Herbert Jenkins. “Some Problems of Classical Religion.”
ormation.
The Eitrem lectures delivered at the University of Oslo,
Equally as important as these revolutionary conclusions
March 1955. Oslo, 1958, pp. 1–17.
are the three premises from which Marsilius derived them.
Schilling, Robert. La religion romaine de Vénus. 2nd ed. Paris,
These premises are found in his general theory of the state.
1982. Pages 107 and following treat the association between
Mars and Venus in the lectisternium of 217
The first is the Aristotelian teleological view of the state as
BCE.
subserving the good life. The various parts of the state, in-
Scholz, U. W. Studien zum altitalischen und altrömischen Marskult
und Marsmythos. Heidelberg, 1970.
cluding government, are defined by the contribution they
make to the rational “fulfillment” of man’s natural desire for
Stibbe, C. M., et al. Lapis Satricanus: Archaeological, Epigraphical,
the highest ends of a “sufficient life,” which include the com-
Linguistic, and Historical Aspects of the New Inscription from
Satricum. The Hague, 1980.
mon benefit and justice.
Versnel, H. S. “Die neue Inschrift von Satricum in historischer
The second theme, in contrast, is a negative and mini-
Sicht.” Gymnasium 89 no. 3 (1982): 193–235.
mal utilitarianism. It emphasizes the inevitability of conflicts
Versnel, H. S. “Transition and Reversal in Myth and Ritual” and
among persons and the consequent need for the formal in-
“Apollo and Mars One Hundred Years after Roscher.” In In-
strumentalities of coercive law and government in order to
consistencies in Greek and Roman Religion. Leiden and New
regulate these conflicts and avert the destruction of human
York, 1990–1993.
society. In developing this theme, Marsilius presents a posi-
Wagenvoort, Henobrik. Roman Dynamism. Oxford, 1947.
tivistic concept of law, which stands in contrast to his nonpo-
Wissowa, Georg. Religion und Kultus der Römer. 2d ed. Munich,
sitivistic conception of justice (a distinction often overlooked
1912. See pages 141 and following.
in discussions of his ideas). Marsilius, unlike most medieval
ROBERT SCHILLING (1987)
political philosophers, holds that justice is not a necessary
CHARLES GUITTARD (2005)
condition of law. What is necessary is that the legal rules have
Translated from French by Paul C. Duggan
coercive force. These rules and the government that enforces
them must be unitary in the sense that, if a society is to sur-
vive, it cannot have two or more rival coercive bodies of law
MARSILIUS OF PADUA (c. 1275–1342), originally
and government.
Marsilio dei Mainardini; Italian political theorist. Marsilius
The third theme of Marsilius’s political theory is that
probably studied medicine at the University of Padua. In
the people are the only legitimate source of all political au-
1313 he was rector of the University of Paris, where he met
thority. It is the people, the whole body of citizens or its
such leading Averroists as Peter of Abano and John of
“weightier part,” who must make the laws either by them-
Jandun. He is famous chiefly for his antipapalist treatise De-
selves or through elected representatives, and it is also the
fensor pacis (Defender of Peace; 1324), a landmark in the his-
people who must elect, “correct,” and, if necessary, depose
tory of political philosophy. When his authorship of this
the government.
work became known in 1326, he was forced to flee to the
court of Louis of Bavaria in Nuremberg; Pope John XXII
Although all three themes of Marsilius’s general political
thereupon branded him a heretic. Marsilius subsequently as-
theory were found in earlier medieval political philosophers,
sisted Louis in various imperial ventures in Italy.
no other philosopher had given the second and third themes
The primary purpose of the Defensor pacis was to refute
as central a position as did Marsilius. The full consequence
the papalist claims to “plenitude of power” as advanced by
of these emphases emerges in the applications he makes of
Pope Innocent IV, Egidius of Rome, and others in the thir-
his general political theory to the problems of ecclesiastical
teenth and fourteenth centuries. The papal position had held
politics.
that secular rulers must be subject to the papacy even in
In keeping with his first theme, Marsilius views the
“temporal” affairs, so that they must be established, judged,
Christian priesthood as one of the parts of the state dedicated
and, if necessary, deposed by the pope. Marsilius, in contrast,
to achieving the “sufficient life” for all believers. Unlike the
undertook to demonstrate that the papacy and the priest-
other parts of the state, however, the priesthood subserves the
hood in general must be subject not only in temporal but
“sufficient life” to be attained primarily “in the future world”
even in “spiritual” affairs to the whole people, with the pow-
rather than the present one. Marsilius manifests skepticism
ers of the priesthood reduced to the administration of the
about the rational demonstrability of such a future life; nev-
sacraments and the teaching of divine law.
ertheless, he officially accepts the Christian doctrine that the
Marsilius’s doctrine overthrew the attempt to base
future life is superior to the present life. He also holds, how-
human society on religious values under priestly control; in-
ever, that secular and religious values are in basic opposition.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5730
MARTIAL ARTS: AN OVERVIEW
Here he seems to be applying in the realm of the practical
Padoue (Paris, 1970). Two volumes of essays from the Con-
the Averroist doctrine of the contrariety of reason and faith
vegno Internazionale su Marsilio da Padova, held at the Uni-
in theoretical philosophy.
versity of Padua in 1980, are in the historical journal Me-
dioevo: Rivista di storia della filosofia medievale 5–6 (1979–
At this point, however, Marsilius’s second and third
1980).
themes have their effect. Since the essence of political author-
ity is the coerciveness required for the minimal end of pre-
ALAN GEWIRTH (1987)
serving society, it follows that the higher end subserved by
the priesthood does not entitle it to superior political author-
ity. The question of the order of political superiority and in-
MARTIAL ARTS
feriority is thus separated from the question of the order of
This entry consists of the following articles:
moral and religious values. According to Marsilius’s second
AN OVERVIEW
theme, the secular government, as bearer of coercive authori-
CHINESE MARTIAL ARTS
ty, must be politically superior to the priesthood. If the
priests refuse to obey the government and its laws, then they
MARTIAL ARTS: AN OVERVIEW
must be compelled to do so, because such disobedience
The role of the warrior has been a position of importance to
threatens that unity of coercive authority without which so-
many cultures historically, with the efficacy of combat strate-
ciety cannot survive.
gies and warrior skills often determining the course of history
In addition to this political argument against diverse
and the continued existence of groups of people. In the cul-
centers of coercive power in any society, Marsilius also stress-
tures of South Asia, Southeast Asia, and the Far East, reli-
es, from within the religious tradition itself, that religious be-
gious beliefs and teachings often interpenetrated the martial
lief, in order to be meritorious, must be purely voluntary.
traditions. Just as the physical forms of these arts have varied
Hence, in order to fulfill its mission, divine law and the
from one country to the next, so too have their religious and
priesthood that teaches and administers it cannot be coercive
meditative components. For some martial traditions, these
in this world.
spiritual elements constitute the highest levels of practice.
This article will introduce the varied religious and meditative
Marsilius’s third theme, republicanism, also plays an
dimensions of martial traditions as found in India, China,
important role in the political subordination of the priest-
Japan, and Indonesia—an orientation often overlooked by
hood and papacy. The only rules and persons entitled to the
practitioners of such disciplines, who prefer to concentrate
status of being coercive laws and government officials are
upon the physical dimensions of practice. Regrettably, most
those ultimately chosen by the people; hence, there can be
of what is known about many martial arts is limited to infor-
no crediting the claims of divine law and the priesthood to
mation transmitted by oral tradition. Hence, even theories
a separate derivation of coercive political authority from
about the origins of the martial arts remain speculative and
God. Because the whole people is superior in virtue to any
nebulous. However, most historians agree that some of the
of its parts and because freedom requires popular consent or
earliest traceable roots lead either to India or China.
election, the priesthood itself must be elected by the people
of each community rather than being appointed by an oligar-
INDIA. The origins of the martial traditions of India are diffi-
chically chosen pope. Also, the pope himself must be elected
cult to trace and verify, but vestiges of fighting techniques
by the whole of Christendom. Similarly, the whole people
used in ancient India do remain. Early references to combat-
must elect general councils to provide authoritative interpre-
ive situations can be found in such classic epics as the R:gveda,
tations of the meaning of divine law. In these ways Marsili-
the Ra¯ma¯yan:a, and the Maha¯bha¯rata. Contemporary writ-
us’s general political theory leads to a republican structure
ings generally emphasize wrestling forms (kus:t:hi, varja-mus:t:i,
for the church as opposed to its traditional monarchical
binot:, masti) and weaponry (e.g., ba¯n:a, phar¯ı-gatka¯, la¯t:h¯ı,
structure.
pat:a¯, cilampam). Wrestling flourished in India before the be-
ginnings of the Aryan invasions (c. 1500 BCE).
BIBLIOGRAPHY
Aside from wrestling and weaponry, there exists surpris-
There are two critical editions of Defensor pacis, one edited by C.
ingly little information concerning any organized martial dis-
W. Previté-Orton (Cambridge, 1928), the other edited by
ciplines. Some systems are mentioned sporadically in the lit-
Richard Scholz in Fontes juris Germanici antiqui of the
erature, including at:itat:a, cilampam, kuttu varicai (Tamil),
Monumenta Germaniae Historica (Hanover, 1932). I have
and mukkebazi, though no reference to religious practices is
translated it in volume 2 of my Marsilius of Padua, the De-
to be found. However, recent Western investigations of the
fender of Peace (New York, 1956). This translation has been
Indian martial system known as kal:arippayattu have begun
reprinted in several later editions.
¯¯
to uncover the association between religious and physical as-
For studies of Marsilius’s doctrines, see my Marsilius of Padua and
pects of practice in Indian culture today.
Medieval Political Philosophy (1951; reprint, New York,
1979); Georges de Lagarde’s La naissance de l’esprit laïque au
Kal:arippayattu (kal:ari, “fencing school”; payattu, “fenc-
¯¯
¯¯
déclin du moyen age, vol. 3, Le defensor pacis (Louvain, 1970);
ing exercise”; kal:arippayattu, “place where martial exercises
and Jeannine Quillet’s La philosophie politique de Marsile de
¯¯
are taught”) is a system of martial training found in Kerala
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARTIAL ARTS: AN OVERVIEW
5731
which, in its present form, dates back to at least the twelfth
in Ka¯ñc¯ıpuram, a province south of Madras. Upon the death
century CE. It was developed primarily to prepare Kerala’s
of his master Prajña¯tara, he reportedly left India for China,
martial caste (Nairs) for combat, although higher-caste Yatra
in part due to the decline of Buddhism in those areas outside
brahmans, lower-caste Tiyyas, and many Muslims and Chris-
of India proper. After visiting with the emperor at Nanking,
tians were also proficient in the form. This system rests upon
Bodhidharma proceeded north to the Shao-lin Temple in
preliminary physical culture training (physical exercise and
Henan province. In his teaching there he reportedly became
body massage) that is later followed by practice in unarmed
disturbed by the inability of monks to stay awake during
combat as well as a variety of weapons.
meditation. To eliminate this tendency as well as to improve
their health, Bodhidharma allegedly introduced a system-
In kal:arippayattu, in-depth knowledge of the marma—
¯¯
atized set of exercises to strengthen the body and mind—
vulnerable points of the human body—is required in order
exercises that purportedly marked the beginning of the shao-
to know where to attack one’s opponent, how to protect
lin style of temple boxing. These exercise forms were trans-
one’s own body, and how to treat injuries to these vital spots
mitted orally and transcribed by later monks in the Yijin jing
during training or battle. Further, the use of breathing exer-
and Xishui jing.
cises, repetition of mantras, visual concentration, and perfor-
mance of special rituals (paying respects to deities and teach-
In addition to his contributions in the area of physical
ers) all aid in achieving proper mind-body coordination and
training, Bodhidharma was also said to have been centrally
may lead to the development of power (´sakti). The lower ab-
involved in transmitting the Lan˙ka¯vata¯ra Su¯tra to his disciple
dominal region referred to as the nabhi or nabhi mu¯la(m),
Huike, insisting that it represented the key to buddhahood.
as well as the three lower cakras of kun:d:alin¯ıyoga, may also
The teaching of the Lan˙ka¯vata¯ra Su¯tra focuses upon enlight-
be stressed in kal:arippayattu. The nahbi mu¯la(m) corre-
enment, with specific reference to such doctrines as “mind-
¯¯
sponds to the second yogic cakra, sva¯dhis:t:ha¯na, and is recog-
only” (vijña¯ptima¯tra) and “all-conserving consciousness”
nized as the source of pra¯n:a-va¯yu (“energy”).
(a¯laya-vijña¯na). It essentially records the Buddha’s own inner
experience (pratya¯tmagata) concerning the religious teach-
Attempting to articulate the spiritual dimensions of an
ings of Maha¯ya¯na Buddhism. A central theme of the
Indian martial system is difficult in a culture that possesses
Lan˙ka¯vata¯ra Su¯tra is the importance of transmission of doc-
such an indigenous spiritual tradition as yoga. It is evident
trine from mind to mind without reliance upon written
that some of the techniques and practices employed in
texts. In keeping with the Chan tradition, it appeals directly
kal:arippayattu overlap with yoga. However, within most
¯¯
to the enlightened mind as its source of authority, rather
schools, the process of spiritual emancipation (moks:a) is over-
than depending upon words to convey its message.
tly reserved for the discipline of yoga. These kal:arippayattu
¯¯
masters familiar with yoga acknowledge that both disciplines
Many of these teachings were later incorporated into
develop the ability to focus at will on one point (i.e., the abil-
Chinese philosophy, interspersed with the already prevailing
ity to “concentrate”) but beyond this similarity the practices
Daoist precepts of the dao, yin-yang, and the principle of du-
diverge, with yoga continuing as a self-conscious path of
alism and change, the importance given to deep breathing
meditation. Among the S:u¯f¯ı kal:arippayattu practitioners of
(lianqi) and its relationship to the goal of longevity or im-
¯¯
the Cannanore area of northern Kerala, however, great em-
mortality, and the doctrines of “nonaction” (wuwei) and
phasis is placed upon spiritual training and development.
“natural spontaneity” (ziran). The interpretation of Bud-
Advanced training in meditation involves progressing
dhist and Daoist precepts transformed martial and nonmar-
through a series of rituals known as dhikrs (Arab., lit., “re-
tial teachings into a new form, the early search for dao being
membrance, recollection” of God), which are performed si-
later replaced by the goal of qianxing (“illumination”), be-
lently or aloud. Such practices can lead to experiences of ec-
cause of the Chan Buddhist influences noted above.
stasy, realization of the internal white light, and union with
Contemporary Chinese martial arts are said to be de-
God. As the connection between Indian martial traditions
rived from the original shaolin techniques introduced by
and religious practices is evident historically, it is safe to as-
Bodhidharma. These forms of gongfu are generally divided
sume that additional investigations will provide more infor-
into two groups—“internal” (neijia zhuanfa), or “soft” (rou),
mation on the practices and aims associated with the overlap
and “external” (waijia zhuanfa), or “hard” (gang). In addition
of these martial traditions with meditative techniques and
to stressing the importance of the Daoist and Buddhist
philosophies.
philosophical-experiential principles described above, the
CHINA. Though lacking in strong documentation, historical
“internal” system also concentrates on the will (yi), vital ener-
reviews generally credit Bodhidharma (c. 448–527 CE) with
gy (qi), and internal strength. Further, Daoist deep breathing
playing a central role in the development of a systematized
techniques of qigong are practiced to cultivate qi in the dan-
martial discipline in China. Bodhidharma is an obscure fig-
tian (“cinnabar fields”), where it is collected and stored.
ure. However, he is generally acknowledged to be the first
Styles falling within the “internal” category include taiji,
patriarch of the Chan (Jpn., Zen) school in China. Although
bagua, and xingyi, while shaolin boxing is classified as “exter-
no Indian records of his life are known to exist, Chinese
nal.” Principles of Daoist philosophy and cosmogony are re-
sources indicate that he was trained in Buddhist meditation
flected in the three primary internal styles. Ironically, while
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5732
MARTIAL ARTS: AN OVERVIEW
the internal styles clearly draw upon the principles of Daoist
systems, such as jikishinryu, also appeared. The classical budo¯
and Chan teachings in the employment of specific self-
forms continued to evolve until the latter part of the nine-
defense techniques, strategies, and forms, few of the internal
teenth century when, with the rise of ultranationalism
schools today emphasize the transformative religious goals
among the Japanese people, both the aims of classical budo¯
stressed by the classical meditative systems and by some of
and classical bujutsu disciplines were redirected to support
the earlier practitioners of these martial disciplines.
this effort.
JAPAN. From roughly the eighth century to the end of the
Modern bujutsu and modern budo¯ are generally viewed
sixteenth century CE, Japan was beset by numerous domestic
as beginning in 1868, after the overthrow of the Tokugawa
wars. This sociopolitical climate provided the classical pro-
government. However, there are significant differences be-
fessional warriors (bushi) with not only a prominent role in
tween these modern martial traditions and their classical
molding the natural character of Japan, but also an opportu-
counterparts. Collectively speaking, the modern disciplines
nity to further develop and refine the combative techniques
are generally characterized as methods of self-defense or as
of the bujutsu (martial arts). During these centuries martial
tactics for sparring or grappling with an opponent. Modern
traditions (ryu¯) were founded with the specific purpose of
bujutsu consists of hand-to-hand combat systems that are
formalizing and perpetuating practical combat systems. It
used as methods of self-defense and spiritual training. Mod-
was during the Kamakura period (1185–1333 CE) that Zen
ern budo¯ consists of various systems of physical exercise or
Buddhism was introduced to Japan from China, largely
sport seen as methods of self-defense or as spiritual training
through the work of the Japanese Buddhist priests Eisai
aimed at bringing man into harmony with a peace-seeking
(1141–1215) and Do¯gen (1200–1253), who had studied
international society. Examples of modern budo¯ include
Chan in China. Through the efforts of their followers Tokiy-
modern kendo¯, modern ju¯do¯, karatedo¯, aikido¯, (nippon)
ori (1227–1263) and Tokimune (1251–1284), Chan, as
sho¯rinji kenpo¯, and kyu¯do¯.
Zen, was introduced into Japanese life, having a distinct im-
In many cases, a comparison of the modern budo¯ to
pact upon the life of the samurai. The successful cooperation
their classical counterparts (which are still practiced today in
of the martial and spiritual disciplines led to the creation of
Japan) reveals major differences in purpose. While the pro-
Bushido¯, the warrior code, which idealized such virtues as
claimed concern for discipline, morals, and the importance
loyalty and courage and espoused the goal of achieving that
of “spirit” carries over from the classical traditions, the con-
state of mind in which the warrior’s thoughts would tran-
cept of do¯ is largely distorted in the modern disciplines.
scend life and death (seishi o cho¯etsu).
Modern exponents have been accused of reinterpreting the
In 1603, the Tokugawa military government (bakufu)
do¯ to fit their own subjective interpretation of their personal
was founded by Tokugawa Ieyasu, an event that marked the
role and needs in the world, rather than focusing upon classi-
end of war as a pervasive aspect of the Japanese culture and
cal martial-meditative goals. However, to dismiss all of the
the beginning of the Edo period (1603–1867 CE). In this era
modern budo¯ systems as poor imitations of once-thriving,
of peace, maintained by strict tyrannical rules, governmental
authentic spiritual disciplines may be premature. For exam-
influences stressed the redirection of the people’s attention
ple, select schools of modern kendo¯ and kyu¯do¯ do stress goals
to the ideals of the past. This marked a notable shift in social
associated with the classical (budo¯) disciplines. It may be that
awareness for bushi and commoner alike, leading to the de-
the individual practitioners within a particular discipline re-
velopment of the classical budo¯ forms. Influenced by the
main the best measure of the degree to which the classical
Confucian interpretation of the Dao, the Japanese culture
budo¯ aims are stressed, realized, and exemplified.
took the principle of dao—do¯ in Japanese—and modified it
INDONESIA. Throughout its history, Indonesia has been sub-
in such a way as to be compatible with Japanese feudal soci-
ject to the cultural and combative influences of other coun-
ety and applicable to man in his social relationships. The
tries, including India, China, and Indochina. Furthermore,
shift from bujutsu (bu, “military [martial] affairs”; jutsu,
Java, its cultural and political core, has always been a center
“art”) to budo¯ (do¯, “way”) signified a change in emphasis
of magical and mystical beliefs and practices, which have be-
from combat training to cultivation of man’s awareness of
come even more widespread since independence from the
his spiritual nature. The primary goal of classical budo¯ was
Dutch in 1949. With ongoing migrations of peoples of the
enlightenment as outlined in Zen teachings—a shift again
many Indonesian islands and the combative and mystical ele-
from simply external perfection of (martial) techniques to
ments continuing to evolve over time, highly sophisticated
self-mastery via “spiritual forging” (seishin tanren). The dis-
martial arts have developed, which are currently referred to
tinction between bujutsu (“martial arts”) and budo¯ (“martial
as pukulan.
ways”) still holds true today.
While several major combative forms are presently
The formation of specific budo¯ systems began during
found in Indonesia, the martial art known as pencak-silat is
the early seventeenth century. Kenjutsu (“sword art”) was
the dominant self-defense discipline and the one with the
transformed into kendo (“sword way”); and the essence of
strongest spiritual roots. It reportedly first developed on the
iaido (“sword drawing technique”) as a spiritual discipline
Riouw archipelago in the eleventh century CE. By the 1300s
appeared at this time in contrast to iaijutsu. Weaponless budo¯
it had become a highly sophisticated technical art that 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
MARTIAL ARTS: CHINESE MARTIAL ARTS
5733
open solely to members of nobility and the ruling classes. In-
the spiritual dimensions of practice are often overlooked, al-
dian, Chinese, Arabic and, later, Japanese influences perme-
though increased interest in the concept of the “spiritual war-
ated in varying degrees a number of the styles. These devel-
rior” has begun to appear. Inclusion of this important com-
opments as well as travel between the different islands further
ponent will serve to broaden our understanding of the
modified its combative form (which was no longer limited
interrelationship between the physical and spiritual sides of
exclusively to select social classes) leading to rapid diversifica-
human existence.
tion. There are now hundreds of different styles.
SEE ALSO Attention; Bodhidharma; Bushido¯; Spiritual Dis-
Though varying definitions exist, pencak usually con-
cipline; War and Warriors.
notes skillful body movements in variation, while silat refers
to the fighting application of pencak. Pencak-silat is known
BIBLIOGRAPHY
to have been influenced by Hindu religious elements and to
A scholarly overview of Asian martial systems can be found in
have evolved further through contact with a rich Islamic spir-
Donn F. Draeger and Robert W. Smith’s Comprehensive
Asian Fighting Arts (New York, 1980), originally published
itual tradition. The emphasis placed on the spiritual aspects
as Asian Fighting Arts (Tokyo and Palo Alto, Calif., 1969);
of the art will vary from one style to another, but most sys-
discussions of religious dimensions are limited, as are refer-
tems start with physical training aimed at learning and apply-
ences supporting textual material. A less critical discussion of
ing various techniques for avoiding physical harm at the
Indian martial arts is in the Encyclopedia of Indian Physical
hands of an assailant. Upon successful acquisition of these
Culture, edited by Dattatraya C. Mujumdar (Baroda, India,
motor skills, the practitioner may develop his inner power,
1950). Excellent discussions of kal:arippayattu appear in
which can be expressed in varying forms. For example, the
¯¯
Phillip B. Zarrilli’s When the Body Becomes All Eyes (Delhi
practitioner of the Joduk style of Bali is able to engage in
and New York, 1998). Perhaps the best historical review of
mystic, trancelike states—an ability that distinguishes the in-
the Chinese martial arts can be found in A Source Book in the
dividual as a guru (“teacher”). Further internal development
Chinese Martial Arts, 2 vols., edited by James I. Wong
in the various styles of pencak-silat leads to the title of maha
(Stockton, Calif., 1978). Donn F. Draeger’s three volumes
on the martial arts and martial ways of Japan—Classical Bu-
guru (“master teacher”) while those who have attained the
jutsu (New York, 1973), Classical Budo (New York, 1973),
summit of technique are given the title of pendekar
and Modern Bujutsu and Budo (New York, 1974)—are
(“fighter”; also connotes “spiritualist” and leader or champi-
among the best writings on the topic. For the Indonesian
on who has obtained an understanding of true—inner—
martial arts, Draeger’s Weapons and Fighting Arts of the Indo-
knowledge).
nesian Archipelago (Rutland, Vt., 1972) remains the defini-
tive source. Finally, an in-depth discussion of the religious
The final stage of training in pencak-silat is referred to
dimensions of martial traditions appears in my forthcoming
as kebatinan. Importance is placed on inner emotional expe-
Meditative-Religious Traditions of Fighting Arts and Martial
rience and personal revelation as derived from the practice
Ways.
of the mystical discipline, although the practices and meth-
New Sources
ods employed as one advances on the mystical path vary no-
Grave, J. Initiation Rituelle et Arts Martiaux: Trois écoles de
ticeably from one sect to another. The path of kebatinan
Kanuragan Javanais. Paris, 2001.
stresses intuitive feeling (rasa) and surrender (sujud); man
Green, T. A. Martial Arts of the World: An Encyclopedia. Santa
rids himself of impulses and bodily desires by emptying him-
Barbara, Calif., 2001.
self so as to be filled with the divine presence of God—the
Jones, D. E. Combat, Ritual, and Performance: Anthropology of the
revelation of the divine residing within the heart (batin). The
Martial Arts. Westport, Conn., 2002.
path of kebatinan is no easy understanding. Overcoming
McCarthy, P., et al. Ancient Okinawan Martial Arts: koryu
one’s attachment to the outward aspects of existence (lahir)
uchinadi. Boston, 1999.
may involve ascetic practices (tapa): fasting, prayer, medita-
McFarlane, Stewart. “Mushin, Morals, and Martial Arts—a Dis-
tion (particularly visual concentrative techniques), sexual ab-
cussion of Keenan’s Yogacara Critique.” Japanese Journal of
stinence, remaining awake throughout the night, or retreat-
Religious Studies 17 (1990): 397–420.
ing to the mountains and into caves. It should be pointed
McFarlane, Stewart. “Fighting Bodhisattvas and Inner Warriors:
out, however, as noted earlier with other martial systems,
Buddhism and the Martial Traditions of China and Japan.”
that the degree to which the mystical practices are pursued
Buddhist Forum (1994): 185–210.
and realized will vary from one practitioner to another. For
Mol, S. Classical Weaponry of Japan: Special Weapons and Tactics
example, some pendekar avoid all involvement with mysti-
of the Martial Arts. New York, 2003.
cism and kebatinan, while others practice also the noncorpo-
MICHAEL MALISZEWSKI (1987)
real, mystical aspects of their discipline.
Revised Bibliography
CONCLUSIONS. While the spiritual dimensions of several
martial systems of India, China, Japan, and Indonesia have
been briefly outlined, the meditative-religious dimensions of
MARTIAL ARTS: CHINESE MARTIAL ARTS
martial arts and martial traditions of other countries still
The Chinese term wushu (martial arts) is usually applied to
need to be critically and comprehensively assessed. Today,
fighting techniques practiced by individuals in a nonmilitary
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5734
MARTIAL ARTS: CHINESE MARTIAL ARTS
setting, as distinct from the training methods (bingfa) of sol-
to imitate, including, for example, the monkey, swallow,
diers in a regular army. Individual techniques within the
bear, tiger, deer, dragon, and toad. Another similarity be-
martial arts tradition are usually called in Chinese quan or,
tween daoyin gymnastics and the later martial arts is the em-
less commonly, zhang. There are dozens of quan styles; some
phasis on breathing techniques and the internal circulation
of the most famous are Shaolin Quan (Shaolin Hand-
of vital energy, qi. Thus, in both systems external limb move-
Combat), Taiji Quan (Great-Ultimate Hand-Combat),
ment is joined by internal meditative practice.
Xingyi Quan (Form-and-Intention Hand-Combat), and
Bagua Zhang (Eight-Trigrams Hand-Combat).
Ancient Chinese literature highlights the therapeutic ef-
ficacy of daoyin gymnastics, classifying it as a branch of the
The terms quan (literally, “fist”) and zhang (literally,
medical science of “nourishing life” (yangsheng). Archaeolo-
“palm”) evince the significance of unarmed hand-combat in
gy has shed light on this medical significance: In 1973 an an-
the Chinese martial arts. Even though each and every quan
notated illustration of daoyin exercises was unearthed in
system has developed its own techniques of armed combat
Hunan, and in 1983 a daoyin manual was discovered in
(usually with swords, spears, and staffs, but sometimes with
Hubei. Dating from the second century BCE, both the illus-
such quintessential weaponry as metal-tipped fans), the
tration (known as Daoyin tu) and manual (titled Yinshu) as-
foundation of all is empty-handed combat. Another charac-
sign specific daoyin exercises for the treatment of specific ill-
teristic of the Chinese martial arts is the stringing together
nesses. Four centuries later, the famous physician Hua Tuo
of fixed positions into determined practice sequences, which
(d. 208) created “Five Animals Exercises,” which were each
define a given quan style. The invention of new body or
intended for the cure of a particular disease.
weapon postures, or the combination of existing ones into
new sequences, amounts to the creation of a new style, or
The medical significance of daoyin gymnastics was
substyle, of fighting.
joined by religious import. In the course of the first centuries
CE, daoyin exercises were incorporated into the emerging
The Chinese martial arts, of course, are first and fore-
Daoist religion. Gymnastics was integrated with dietary, al-
most effective fighting techniques. However, their appeal to
chemical, and meditative techniques in search of the Daoist
people of diverse interests, ages, and social backgrounds indi-
goal of immortality. Thus, daoyin gymnastics share with the
cates that they have other dimensions as well. Young and old
martial arts not only certain principles of practice, but also
alike attest that the martial arts contribute to physical health
medical and religious goals. The major difference concerns
and mental well-being. Whereas for some they are a competi-
the latter’s expressed martial purpose. Unlike the martial arts,
tive sport (some quan styles are included in international
ancient gymnastics was not combat related. The available
competitions such as the Asian Games), others consider
sources do not assign daoyin any military significance.
them a performing art. (In traditional China, martial artists
often made a living by giving public performances on holi-
As distinct from daoyin gymnastics, there also existed in
days and at temple fairs, and some of their outstanding de-
ancient China a system of empty-handed combat called shou-
scendants—Bruce Lee [Li Xiaolong, 1940–1973] and Li
bo, which some scholars regard as the predecessor of quan-
Lianjie [Jet Li, b. 1963] for example—have made careers in
style fighting. Even though the available sources on shoubo
the movies.) Finally, the martial arts are embedded in a rich
are limited, Ma Mingda claims to perceive in it the four prin-
matrix of Chinese religious and philosophical ideas. It is this
ciples of kick (ti), grasp, (na), throw (die), and hit (da), which
unique combination of military, therapeutic, athletic, theat-
characterize the later period martial arts.
rical, and religious goals that is one of the martial arts’ most
striking features.
The emergence of quan systems. Even though daoyin
gymnastics, and possibly shoubo combat, contributed to the
HISTORY. The history of the Chinese martial arts became the
evolution of martial arts, the emergence of distinctive quan
subject of critical inquiry during China’s Republican period
styles occurred much later. The earliest evidence of individu-
(1911–1948). Its pioneering scholars were Tang Hao (1897–
al unarmed techniques characterized by quintessential se-
1959) and Xu Zhen (1898–1967), who were followed, be-
quences of positions dates from the Ming period (1368–
ginning in the 1970s, by such scholars as Lin Boyuan, Mat-
1644). Sixteenth-century military experts such as Qi Jiguang
suda Ryu¯chi, Ma Mingda, Cheng Dali, and Douglas Wile.
(1528–1588), Zheng Ruoceng (fl. 1505–1580), Tang Shun-
Despite their outstanding achievements, however, the histo-
zhi (1507–1560), and He Liangchen (fl. 1565) allude to over
ry of Chinese martial arts is not yet fully charted. The follow-
ten quan styles, including, for example, Wenjia Quan (Wen-
ing brief outline is therefore tentative only.
Family Hand-Combat), Song Taizu Chang Quan (Emperor
Ancient foundations. Contemporary Chinese martial
Song Taizu’s Long Hand-Combat), Hou Quan (Monkey
arts share at least some similarities with ancient Chinese
Hand-Combat), E Quan (Decoy Hand-Combat), and
gymnastics. An elaborate gymnastics system called daoyin
Tongzi Bai Guanyin Shen Quan (Acolyte Worships Guany-
(literally, “guiding and pulling”) is described in texts and
in Miraculous Hand-Combat). The Ming period also wit-
paintings from the first centuries BCE. Individual daoyin exer-
nessed the publication of the earliest extant manual of quan
cises were often named—like training sequences in the mod-
fighting: Qi Jiguang’s Quan jing jieyao (Essentials of the clas-
ern martial arts—after specific animals that they purported
sic of hand-combat, c. 1562), in which the famous 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
MARTIAL ARTS: CHINESE MARTIAL ARTS
5735
selected what he considered to be the best positions of earlier
created fears lest China’s cultural identity be lost as well. As
styles.
in the case of other national movements, it was argued that
the recreation of a Chinese political body necessitated a reju-
Ming-period quan techniques served as the foundation
venation of its citizens’ physical bodies. Being native, the
for the Qing-period (1644–1911) evolution of fighting styles
martial arts were deemed appropriate for the task. Now re-
with which we are familiar today: Taiji Quan, Xingyi Quan
named “national arts” (guoshu), fighting techniques such as
(originally called Liuhe Quan), Bagua Zhang, and Shaolin
Taiji Quan spread from isolated agricultural areas into
Quan all date from the Qing. The origins of at least some
China’s biggest cities.
of these styles can be traced back to the dynasty’s early days.
Taiji Quan and Xingyi Quan, for example, are usually as-
By the second half of the twentieth century, the Chinese
cribed to the seventeenth-century martial artists Chen
martial arts had been internationalized. Chinese masters who
Wangting (from Henan) and Ji Jike (from Shanxi) respec-
traveled abroad and foreign students who studied in Taiwan,
tively. As for the Shaolin Monastery’s Buddhist monks, they
Hong Kong, and mainland China brought the martial arts
too turned their attention to quan techniques in the course
to millions of Western practitioners. Native lineages of Taiji
of the Ming-Qing transition. Shaolin clerics had been prac-
Quan, Shaolin Quan, and other fighting styles emerged in
ticing fighting ever since the Tang period (618–907), when
numerous countries, where local martial arts manuals and
they lent military support to Emperor Li Shimin (600–649).
magazines are published in a variety of languages.
However, all through the Ming period their quintessential
RELIGION. Arguably, the religious significance of the martial
weapon was the staff (gun). Only in the course of the seven-
arts has been an important factor in their popularity outside
teenth century did unarmed quan fighting eclipse staff train-
their homeland. Chinese quan styles combine the goal of
ing in the monastery’s regimen.
physical strength with the search of spiritual perfection. This
Daoyin vocabulary already figured in some Ming-period
synthesis is apparent not only in martial arts manuals, but
martial arts; however, only in the course of the Qing period
also in the tradition’s artistic representations. Martial arts
was the ancient gymnastics tradition fully integrated into un-
novels such as Jin Yong’s (Louis Cha) Tianlong babu (Ex-
armed fighting, creating a synthesis of martial, therapeutic,
traordinary beings, date) and award-winning movies such as
and religious goals. Most Qing-period quan styles combine
Ang Lee’s Crouching Tiger, Hidden Dragon (Wohu canglong,
external limb movement with internal meditative practice.
2000) present the perfect warrior as spiritually enlightened.
Qi circulation techniques figure prominently in Qing-period
His or her religious attainments are articulated—in novels,
martial arts manuals, such as Taiji quan jing (Taiji classic;
films, and martial arts manuals alike—by a rich language that
c. nineteenth century) and the writings of Chang Naizhou
draws on diverse textual traditions. Even though they are
(fl. eighteenth century). A similar emphasis upon “internal
often combined, it is possible to discern at least three reli-
strength” and spiritual perfection is also apparent in the Yijin
gious vocabularies within the martial tradition: Daoism,
jing (Sinews-transformation classic), which is significant as
Chinese cosmology, and Buddhism.
the earliest source of the legend of Bodhidharma (fl. 500 CE).
Daoism. Ancient daoyin gymnastics evolved partially in
Even though it was authored in the seventeenth century, the
the context of Daoist religious practice. By the time this calis-
manual presents itself as if it had been compiled a millenni-
thenics tradition was incorporated into the late Ming and
um earlier by the Indian saint (in his native Sanskrit). Thus,
Qing martial arts, it was imbued with a rich Daoist vocabu-
the Yijin jing initiated the widespread legend according to
lary, which depicted the religious goal of immortality, as well
which Bodhidharma invented the Shaolin martial arts.
as the various means—dietary, medical, alchemical, and
The integration of martial arts and daoyin gymnastics
meditative—of attaining it. For example, in some Daoist vi-
occurred, at least in part, in the context of armed sectarian
sualization practices the adept concocts in his brain, which
activities. Leaders of popular messianic uprising, such as
serves as a crucible, an elixir. By drinking it, the practitioner
Wang Lun (fl. 1770s) taught their disciples quan and qi cir-
creates an imperishable internal body, which, shedding the
culation alike. Often they began their careers as itinerant
external one, emerges to immortality. This mystical language
martial artists, making a living by public demonstrations of
is reflected in Qing-period martial arts manuals, as in the fol-
martial skills, as well as by healing. The intimate connection
lowing passage by Chang Naizhou:
between martial arts, religion, and rebellion is apparent in
Training the body unifies our external form; training
shared nomenclature. Fighting techniques and sectarian
the qi solidifies our internal aspect. When we are as
groups sometimes shared the same titles: Eight Trigrams
strong and firm as iron, we naturally develop an inde-
(Bagua), for example, was the name of a group that revolted
structible golden elixir body. In this way, we transcend
in 1813.
the common, enter sagehood, and attain the highest
During the late Qing and Republican periods the mar-
level. If it is said that an enemy does not fear us, this
is of little significance. (Wile, 1996)
tial arts were incorporated into the rhetoric of national reju-
venation. The disintegration of the Qing regime and the in-
Chinese cosmology. The unity of microcosm and mac-
cursion of Western (and Japanese) colonial powers
rocosm, which characterizes much of traditional Chinese
threatened the existence of a Chinese political entity, and
philosophy, implies that the martial artist can reenact 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
5736
MARTINEAU, JAMES
processes within his or her body, thereby attaining unity with
It remains to be examined, however, when Chan vocab-
the universe’s underlying principles, or, as the Western
ulary was first integrated into Chinese fighting styles such as
scholar would term them, the divine.
Shaolin Quan. Preliminary investigations suggest that it is
lacking from Shaolin-related literature all through the six-
The Chinese worldview does not recognize an external
teenth century. But we know that Japanese Chan masters
creator god. Instead the world is usually regarded as having
such as Takuan So¯ho¯ (1573–1645) associated the martial
evolved through a process of differentiation from a primordi-
arts with Buddhist self-cultivation. It is possible, therefore,
al unity called taiji (“great ultimate”). In this process of evo-
that Chan rhetoric was introduced to the Chinese martial
lution several stages, or forces, are discernible, including yin
arts through Japanese influence. The notion that Chan could
and yang, the five elements (wuxing: water, fire, wood, metal,
contribute to martial courage, for example, has been shown
and earth), and the eight trigrams (bagua), which form the
by Tang Hao to have been borrowed from Nitobe Inazo¯’s
core of the ancient Yi jing (Classic of changes). In such fight-
Bushidô: The Soul of Japan (1899) into the Shaolin quanshu
ing styles as Taiji Quan and Bagua Zhang—which are con-
mijue (Shaolin hand-combat method secret formulas), first
sciously named after the cosmology—the practitioner reen-
published in 1911.
acts the process of universal differentiation. The practice
sequence opens in the quiescence of the primordial taiji, and
SEE ALSO Bodhidharma; Buddhism, overview article; Chan;
proceeds through the interplay of yin and yang, the five ele-
Daoism, overview article; Taiji; Yinyang Wuxing.
ments, and the eight trigrams to a profusion, which equals
B
the myriad phenomena. The training sequence does not end
IBLIOGRAPHY
Cheng Dali. Zhongguo wushu: Lishi yu wenhua. Chengdu, People’s
however in this state of multiplicity. Rather, the practitioner
Republic of China, 1995.
goes back in time to the origins of the universe, receding
Despeux, Catherine. “Gymnastics: The Ancient Tradition.” In
from the myriad things to the eight trigrams and five ele-
Taoist Meditation and Longevity Techniques, edited by Livia
ments, contracting further to the two cosmic principles yin
Kohn, pp. 225–261. Ann Arbor, Mich., 1989.
and yang, and culminating in the tranquility of taiji. Thus,
Lin Boyuan. Zhongguo tiyu shi, vol. 1: Shangce, gudai. Beijing,
the martial artist achieves, in his or her body, a mystical expe-
1987.
rience of unity with the undifferentiated whole that preceded
Ma Mingda. Shuo jian cong gao. Lanzhou, People’s Republic of
cosmic fragmentation.
China, 2000. An excellent collection of articles on various as-
pects of the Chinese martial arts by a leading expert.
Buddhism. As early as the Tang period, Chinese Bud-
Matsuda Ryu¯chi. Zusetsu Chugoku bujutsu shi. Translated into
dhist martial practice was related to Buddhist martial my-
Chinese as Zhongguo wushu shilue. Taipei, Taiwan, 1986. An
thology. Despite the religion’s prohibition of violence, it fea-
excellent general history of the Chinese martial arts.
tured a significant number of military gods, who could be
Shahar, Meir. “Ming-Period Evidence of Shaolin Martial Prac-
relied upon as an excuse for warfare. Thus, Shaolin’s tutelary
tice.” Harvard Journal of Asiatic Studies 61, no. 2 (2001):
deity was the fearsome Vajrapa¯n:i (Chin., Jingangshen), also
359–413.
known as Na¯ra¯yan:a (Chin., Naluoyanshen), who was be-
Tang Hao. Shaolin quanshu mijue kaozheng. Shanghai, 1941.
lieved to bestow physical strength on fighting monks. As in-
Tang Hao. Shaolin Wudang kao (1930). Reprint, Hong Kong,
dicated by his name, Vajrapa¯n:i’s original weapon was the
1968.
mythic vajra (literally, “diamond”). However, in the course
Wile, Douglas. Lost T’ai-chi Classics from the Late Ch’ing Dynasty.
of the Ming period, when they developed techniques of staff
Albany, N.Y., 1996.
fighting, Shaolin monks altered Vajrapa¯n:i’s image, arming
Wile, Douglas. T’ai Chi’s Ancestors: The Making of an Internal
him with a staff. The relation between martial deities and
Martial Art. New York, 1999.
martial monks was thus reciprocal: Fighting gods such as
Xu Zhen (Zhedong). Guoji lunlue (1929). Reprint in series no. 1,
Vajrapa¯n:i sanctioned monastic violence, at the same time
vol. 50, Minguo congshu. Shanghai, 1989.
that fighting monks changed the deities’ weaponry to suit
Zhongguo wushu baike quanshu. Beijing, 1998. A comprehensive
their own military training.
encyclopedia that summarizes twentieth-century research on
the Chinese martial arts.
Twentieth-century martial arts manuals associate the
Shaolin fighting style not only with Buddhist mythology but
MEIR SHAHAR (2005)
also with the Buddhist search for enlightenment. Shaolin’s
abbot Yongxin (b. 1965) describes Shaolin Quan as “martial
Chan” (wuchan), arguing that it is no different from medita-
MARTINEAU, JAMES (1805–1900), English Unitar-
tion, the reading of scriptures, or any other form of self-
ian. Born in Norwich, England, and educated at Manchester
cultivation practiced in the Chan (Jap., Zen) school. Some
College, Martineau served as a minister, principally in Liver-
practitioners argue further that it is possible to perceive a
pool (1831–1857), and as a professor, and later principal, of
Chan logic within Shaolin Quan’s sequences of positions,
Manchester College (1840–1885).
which create patterns only to destroy them, thereby liberat-
An early devotee of the materialistic philosophical deter-
ing the practitioner from preconceived notions.
minism that Joseph Priestley (1733–1804) had absorbed
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARTYRDOM
5737
from David Hartley (1705–1757) and transmitted to the
From Elizabethan Puritanism to Modern Unitarianism, by C.
English Unitarians, Martineau turned away from that posi-
Gordon Bolam and others (Boston, 1968).
tion in the mid-1830s, in part under the influence of Wil-
R. K. WEBB (1987)
liam Ellery Channing (1780–1842). He gave up external
proof for intuition, metaphysics for ethics, and determinism
for conscience and free will, and gradually abandoned his
early belief in the historical validity of the scriptural miracles.
MARTYRDOM. [This entry deals with religious witness
Study in Germany in 1848–1849 reinforced the biblical
that involves loss of life. For discussion of ritual death in a cross-
skepticism that had led him to give up his belief in the evi-
cultural context, see Suicide. For death suffered because of reli-
dential value of miracles. In his struggle to break the Priest-
gious identity, see Persecution.]
leyan hold on his denomination, the passing of time and
The badge of martyrdom is awarded by the leadership
changing sensibilities gave Martineau a victory of sorts by the
of a community to men and women who offer their lives vol-
1860s, but he had made many enemies in the older school,
untarily in solidarity with their group in conflict with anoth-
and he watched younger colleagues turn away from the the-
er, ideologically contrasting, group. The martyr and his or
ism to which he remained loyal to preach antisupernatural-
her slayer are delegates, champions, or defenders of their so-
ism, humanism, and a variety of enthusiasms. In his later
cieties. A few martyrs are suicides, but most are slain by judi-
works, the impact of Darwinism and other scientific devel-
cial, military, police, religious, or other functionaries. These
opments led him to a vast expansion of the argument from
functionaries execute the martyr as a terrorist, a criminal, or
design, while the centrality he assigned to divine will bears
a heretic who threatens fundamental social values or the
some resemblance to his former determinism.
physical safety of members of the society. The societies of
the slayer and the slain struggle to control the meaning of
For most of his career, Martineau was highly controver-
the slaying: is it to be understood by the world as martyrdom
sial. A brilliant critic, he could be deliberately provocative,
or as judicial retribution?
sometimes unscrupulous, and often wounding. He was de-
nied the chair in philosophy at University College, London,
Martyrs may be “witnesses,” the literal meaning of the
after agitation by leading anticlerical intellectuals, among
Greek term, of politically disestablished groups claiming self-
them his sister Harriet Martineau (1802–1876), whose book
determination or heroes of the expansionist wars of estab-
celebrating her conversion to free thought he had gratuitous-
lished groups. Contemporary images race before our eyes—a
ly and savagely reviewed in 1851. From the 1830s on, he re-
self-immolating Buddhist monk in Vietnam, an Irish Repub-
jected the Unitarian name, seeing it as sectarian and prefer-
lican Army soldier dying of starvation in a British jail, a Japa-
ring the older Presbyterian or newer Free Christian labels,
nese kamikaze diving his bomb-plane into an American war-
but few of his co-religionists followed him in this, and his
ship. Martyrdom is an attempt to break through the
plan in 1888 for sweeping denominational reform was a fail-
ideological and social boundaries between the conflicting
ure. But his prolonged and more irenic old age brought him
groups with hierocratic, religiously based power. A minori-
almost universal admiration, and his stature in Unitarian his-
ty’s religious power invokes a higher, purifying vengeance
tory ranks with that of Priestley.
(Jacoby, 1983) upon a dominant adversary, who in turn
vengefully slays the martyr.
Martineau’s subtle, complex, and self-consciously lyrical
preaching was highly influential, as were his collections of
The confrontation may unite the martyr’s people,
hymns and liturgical services. His principal works are The
strengthening their opposition as they, under charismatic
Rationale of Religious Enquiry (1836), A Study of Spinoza
leadership, inch toward their own organizational power. The
(1882), Types of Ethical Theory (1885), A Study of Religion
exemplary act of a martyr strengthens people’s courage to
(1888), and The Seat of Authority in Religion (1890).
bear their daily tribulations and directs their anger to the
cruel, murderous adversary, the source of these tribulations.
The martyrdom may also strengthen the adversary’s will to
BIBLIOGRAPHY
repress the martyr’s society. Martyrdom politicizes the rela-
The principal collection of Martineau’s papers is in Manchester
tionship between the groups.
College, Oxford, but there are other major collections in
many places. His most important sermons, reviews, and oc-
Martyrdom seems not to have appeared until rather late
casional papers are collected in Essays, Reviews, and Addresses,
in history, perhaps the fourth century BCE. The identification
4 vols. (London, 1890–1891). The two biographies are by
of ideology as an independent cultural reality has been a pre-
students and close associates. The best is J. Estlin Carpenter’s
requisite for martyrdom. The ideologies at issue serve as sym-
James Martineau, Theologian and Teacher: A Study of His Life
bols of mobilization, principles around which the societies
and Thought (London, 1905), but James Drummond and C.
rally, reinforcing, even radicalizing, more mundane econom-
B. Upton’s The Life and Letters of James Martineau, 2 vols.
ic or political conflicts.
(London, 1902), contains much valuable material. As yet
there is no satisfactory extended study of English Unitarian-
The religions of Egypt and Mesopotamia and Greek
ism, but there is an excellent brief sketch: H. L. Short’s “Pres-
philosophy treat ideologies as distinct cultural realities al-
byterians under a New Name,” in The English Presbyterians:
ready hosting the seeds of the ideas of active good and evil
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5738
MARTYRDOM
and heroism. Zoroastrian dualism proposed an independent
While suicide, being self-inflicted, is rarely accepted as
evil force, and Judaism of the Maccabean age adapted this
martyrdom, asceticism, also self-inflicted, is a minor martyr-
view of a struggle with evil for monotheism. Hellenism
dom. The adversary of the ascetic is bodily desire. The con-
brought a personalistic element to the ideologies in the image
quest of desire is a propaedeutic for the conquest of the social
of the ascetic philosopher. Oriental Christianity synthesized
adversary.
the dualistic idea with that of the individual hero and so pre-
The martyr demonstrates the human possibility of the
viewed Islamic ideas of martyrdom, including the pledge of
act. That a person of flesh and blood succeeds in dying,
eternal life to martyrs, forgiveness of sins, exemption from
sometimes painfully, facilitates the recruitment of future
the Last Judgment, and the intercessory ability of the souls
martyrs. Such a death is also a message deterring future devi-
of martyrs.
ance. That a member of a despised minority can show such
Martyrdom imbues economic and political conflict with
commitment challenges the courage of members of the dom-
sacred meaning, subjecting it to what Max Weber called “the
inant group. The adversary may attempt to obscure the
ethic of absolute ends,” the pursuit of goals with little atten-
event. To be exemplary, martyrdom must be public and pub-
tion to the cost. In fact, action guided by an “ethic of respon-
licized. A private act, meaningful only to the martyr and the
sibility,” the value of the goal weighed against the cost of the
executioner, fails in this exemplary function. The martyr’s
means, discourages martyrdom.
group may be denied the benefits of its champion as witness.
Martyrdom is a free voluntary act. It is also an altruistic
Undoubtedly, unrecorded martyrs died in dungeons with
act. The martyr may avoid death by conceding to the adver-
their ashes cast into the sea. However, martyrologies reveal
sary, but nevertheless accepts, affirms or even seeks death. A
no martyrs who sought social concealment.
soldier, even a gladiator, strives to defeat the adversary with-
In Jewish tradition, death for qiddush ha-shem, sanctify-
out being hurt or killed. If death occurs, it is an accident of
ing of the name—or better, the reputation—of God, is in-
the situation. Only when that situation is sacralized, as in the
tended to impress the Gentiles. This norm derives from a
case of the Muslim jiha¯d, is the slain soldier a martyr.
reading of the phrase in Ezekiel, “in the sight of the nations.”
This article develops some elements of a social theory
Publicity for the Islamic shah¯ıd (“martyr”) is implicit in the
of martyrdom. The basic queries are: under what conditions
idea of the jiha¯d as a collective, rather than a personal obliga-
does a society generate martyrs; what are the types of martyrs;
tion. Ibn Rushd (Averroës) wrote in his twelfth-century work
and what special social circumstances give rise to each type?
on the jiha¯d, Bida¯yat al-mujtahid, that for shah¯ıds to cancel
H
the obligation for others, these others must know and recog-
OW MARTYRDOM FITS INTO SOCIAL LIFE. Martyrdom in-
fuses a mundane event with divine grace. The symbolism
nize the volunteer’s martyrdom. (Averroës, in Peters, 1977).
parallels that of a sacrificial animal attaining a sacred quality.
Martyrdom is political. Martyrdom is a political act af-
The animal victim disappears, either eaten by the worshipers,
fecting the allocation of power between two societies, or be-
delivering its sanctity to their fellowship, or, as a burnt offer-
tween a subgroup and the larger society. The Maccabean Re-
ing, rising as a sweet savor to the Lord. The martyr, a human
volt, which offered early and paradigmatic martyrs, was the
sacrifice, attains an indelible sanctity. The sanctity may take
action of a small community seeking a measure of local cul-
the form of a redemptory promise, softening the pain or en-
tural independence. The Christian communities of Asia
abling the martyr to persist despite pain. Early Christians im-
Minor, in the first and second centuries, offered martyrs to
prisoned and awaiting martyrdom were believed to have the
the Roman authorities in their struggle to limit the power
power to forgive sins. Those released might retain this power,
of Rome to coerce particular expressions of loyalty. Certain
perhaps becoming presbyters of the church.
religious martyrs may refuse to inflict physical violence on
The martyr dies convinced of his or her legitimate au-
an adversary, but, as a political act, martyrdom is never a pas-
thority, an authority challenging that of the executioners. A
sive submission. The nonviolent martyr strikes the enemy
religious martyr may believe himself or herself to be an incar-
psychologically.
nation of the Holy Ghost, as did Montanus (Frend, 1972);
The martyr’s cry for vengeance mobilizes action against
the Spirit of God, al-H:aqq, as did al-H:alla¯j (Massignon,
the adversary. The martyrdom of Mary Stuart followed a re-
1982); or a receiver of the Torah, as did EAqivaD ben Yosef.
ligious struggle over the crown of England. Elizabeth Tudor
The martyr, deceased, is a sacred symbol of an authority
feared a bitter religious war were Mary to come to the throne.
around which the society rallies. The authority created is
Mattingly (1959) writes of Catholic kings beyond the seas
charismatic, untethered by tradition. Such charismatic au-
more eager to avenge the Queen of Scots dead than to keep
thority discards an older order in a breakthrough to a new
her alive. Her shed blood cried out for vengeance on her ene-
social and cultural order, often conceived as a spiritual order.
mies more unmistakably than her living voice could ever
have done.
Martyrdom is exemplary. A martyr is often a model
for lesser forms of martyrdom. In Islam the idea of a martyr’s
Where hierocratic power appears, political power may
death “in the way of Alla¯h” is applied metaphorically to the
not be far behind. Sometimes one is transformed into the
giving of s:adaqah, or alms.
other. In this sense, the pope commands battalions. The Irish
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARTYRDOM
5739
Republican Army tapped the church’s hierocratic power to
Crescive, self-determining, and decaying societies all gener-
support its struggle for Irish independence from Great
ate a peculiar form of martyrdom.
Britain.
Christian communities within the Roman Empire were
Martyrdom aims to reduce political authority to ineffec-
a politically crescive minority. The martyrs of this minority
tiveness by challenging the sacred basis of the legitimacy of
suffered passively, inviting violence but inflicting only moral
the adversary’s authority. The potential martyr is a rival
or psychological pressure on the adversary. An expansive
claimant to authority and this political claim may be reli-
Islam in its early centuries exemplifies the self-determining
giously legitimated.
society. Its martyrs were active and belligerent. The post-
The political struggle may be internal: an established so-
Enlightenment Jewish community of western Europe was a
ciety and a schismatic minority may share a faith and a politi-
politically decaying society. Jews who died at the hand of
cal system. The Maccabees, Arnold of Brescia, Jan Hus, and
their adversaries were not, by and large, martyrs but mere
Savonarola, for example, accused the leaders of their estab-
victims of pogroms and, lately, of the Holocaust.
lished groups of treason. The minority attack was treated as
The attitude of the society toward worldly action is a
heretical, endangering the faith.
second influence on the type of martyrdom. Orientation to
The eleventh-century Persian-born S:u¯f¯ı EAyn al-Quda¯t
action may be primarily “otherworldly” or primarily “inner-
al-Hamadha¯n¯ı challenged Islamic authorities. The authori-
worldly,” to borrow Max Weber’s terms. These two orienta-
ties’ claim to power rested on QurDanic revelation and the
tions are related dialectically. The active political innerworld-
sunnah, the traditions deriving from it. He claimed that di-
ly understanding of life is a minor motif for crescive and
vine grace poured down on him with all manner of esoteric
decaying societies, but a major motif for a self-determining
knowledge and precious revelations, and he was thus an in-
society. Segments of the society animated by innerworldly
dependent source of law.
orientations tend not to be at peace with otherworldly seg-
ments. Heterodoxy is the case in which internal schismatics,
Jan Hus (1373–1415) was directly political. Hus chal-
themselves in a crescive stage, offer a religious otherworldly
lenged the legitimacy of the papacy, the see of Peter, by
counterpoint to the political orientation of a ruling self-
preaching that Peter is not the head of the church, that ulti-
determining society.
mate appeal must be made directly to Christ. Condemned
at the Council of Constance in 1414 and imprisoned, he
The discussion will be organized in terms of the degrees
wrote a characteristic martyr’s message to a friend in Prague:
of political independence of the societies. References to
“In prison and in chains expecting tomorrow to receive sen-
inner- or otherworldly attitudes are subsumed within the so-
tence of death, full of hope in God that I shall not swerve
cial type.
from the truth nor abjure errors imputed to me by false wit-
Martyrdom in crescive societies. A crescive society is
nesses.” He was urged to recant after being tied to the stake
one that is politically powerless but beginning to stir, perhaps
but replied, as is the custom of martyrs, “God is my witness
renascent. The resistance of Jews to Hellenization under the
that I have never taught nor preached that which false wit-
Seleucid ruler Antiochus Epiphanes in the second century
nesses have testified against me. . . . I now joyfully die.”
BCE is an early model. The elderly Eleazar, according to the
The fire was kindled and Hus repeated the Kyrie Eleison
apocryphal 2 Maccabees, is the martyr type, choosing to give
until stifled by the smoke. His ashes were scattered in the
his life rather than eat pork in an already desecrated Temple
river, a final device to control the meaning of the event, dis-
in Jerusalem. That image is reconstituted in the second-
couraging a sepulchral shrine. After his death, Hussites
century Judean rebellion against Hadrianic Rome in which
fought in Prague and established the ecclesiastical organiza-
the scholar and political leader EAqivaD ben Yosef joined with
tion of Tábor, recognizing only two sacraments, baptism and
Bar Kokhba, the leader of the revolt. Tradition has it that
communion, and rejecting most of the ceremonial of the
EAqivaD was burned, wrapped in a Torah scroll, in a Roman
Roman Catholic church.
arena.
The minority may organize as a secret society, a sect
The exemplar of Christian martyrdom is the trial and
practicing an uncommon cult. The twelfth-century Tan-
the crucifixion on Golgotha as that event is related in the
chelm in the Low Countries and Edus de l’Étoile in Brittany
Gospels. Later martyrs strive to imitate Christ. The sacrificed
both declared themselves sons of God. Their sectarian fol-
Lamb of God survives, not in this world, but in the world
lowers were repressed, and they were imprisoned and mar-
beyond. Anomalously the divinely designated executioners
tyred (Cohn, 1961). Ecstatics and ascetics, critical of the es-
were pagans. Ordinarily, only a priest could perform a valid
tablished church, gather around such claimants and
sacrifice. This point was not lost on the eleventh-century
perpetuate the movements.
Jews of Mainz, who, facing impending slaughter by Crusad-
MARTYR TYPES: POLITICAL INDEPENDENCE AND ACTION
ers, slew their children and then themselves. They sanctified
ORIENTATION. The relative political power of the conflicting
the sacrifice by their “priestly” hands, symbolically reviving
communities determines the task of martyrdom and the
the temple rite in Mainz. (Gentile slaughterers would have
characteristics of the martyrs selected to carry out that task.
polluted the offering.) The adversary is made impotent 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
5740
MARTYRDOM
delivering to him dead bodies, the ultimate in noncoopera-
Martyrdom, by placing ideology ahead of physical sur-
tion, and the spiritual strength and authority of the martyr’s
vival, affirms the priority of culture over nature and the
society is affirmed.
group’s life, law, and civilization over biological self-interest.
A crescive society that values individual life above group sur-
Martyrdom in crescive societies creates authority, esca-
vival and above its cultural survival is not ready to become
lates the struggle, unifies the minority, and legitimates the
self-determining.
new culture by demonstrating its priority over nature. Fur-
thermore, martyrs propel a politically crescive society toward
The self-determining society: heroic martyrs. The
self-determination, toward social and cultural freedom. The
self-determining society has achieved political control of its
establishment of new authority is a step in this process,
life. Examples are fourth-century Christians in Asia Minor
the martyr’s group, for instance, becoming infused with the
following the victory of Constantine, Islam of the Umayyad
Holy Spirit (Klawitzer, 1980). The death of the martyr
caliphate in eighth-century Damascus, and the Yishuv, the
makes the ideological choice a matter of life and death. This
Jewish community of Palestine during the 1920s led by the
escalates the struggle, perhaps expediting the resolution in
VaEad LeDumi, the National Council. Martyrs in such a soci-
favor of the minority. As the society moves toward increased
ety are active, aiding the society in its expansion, openly pro-
responsibility, the culture itself changes. Ironically, the values
pagandizing, sending missionaries to the unconverted, and
for which the early martyrs surrendered their lives may not
warring against adversaries. In Islam the jiha¯d is a religious
be significant to members of a succeeding and successful self-
obligation and the martyr, the shah¯ıd, one who dies in this
determining society.
sacred battle. The European Christian society that sent an
armed pilgrimage to Jerusalem under Pope Gregory VII, in
Radicalizing and escalating the conflict unifies the two
the words of Cohn (1961), raced toward a mass sacrifice, a
parties internally. The grievous injustice of the slaying of the
mass apotheosis in Jerusalem. Defending against external en-
defenseless martyr and the gruesome inhuman circumstances
emies is the major problem; the achievement of internal
under which the slaying occurs leave few individuals on the
unity is a minor social problem. Nevertheless, the self-
sidelines. Martyrdom further unifies and strengthens the
determining society suffers its internal schisms. Islamic histo-
group in its struggle. If social solidarity is a prerequisite for
rians say little about Muslim martyrs executed by Arab pa-
martyrdom, how does the precrescive, perhaps fractured,
gans, the early opposition group, beyond the early oppres-
group find its initial martyrs? Part of the answer to this ques-
sion in Yathrib. The record is clear on Islamic martyrs of
tion is that the martyrs constitute a small group within the
internecine conflict, Muslim martyrs killed by Muslims dur-
minority. Intense primary relations in this group enable it
ing the crescive and during the self-determining periods are
to stand against the powerful larger group.
remembered by their sects. The historic example is
The unity of the minority community may be thwarted
Muh:ammad’s grandson, H:usayn, the son of EAl¯ı, slain by the
by a defection of some of its members to the majority. Dur-
soldiers of Yazid, the son of the caliph MuEa¯wiyah, to prevent
ing the Christian conquest of Spain, from the thirteenth to
H:usayn’s accession to the caliphate. This martyrdom is com-
the fifteenth century, for example, a number of Muslims and
memorated yearly with flagellation, imitative suffering, in
Jews manifestly accepted Christianity, while surreptitiously
Sh¯ıE¯ı circles. The ideological conflict was between Sh¯ıE¯ı in-
continuing to practice their previous faiths. Both Muslim
sistence on blood succession from the Prophet and an elec-
and Jewish societies were decaying. The Inquisition struck
tive basis of caliphal legitimacy.
at these New Christians and, at the same time, urged the
The politically decaying society: victims and anti-
state to expel those who had remained Jews and Muslims.
martyrs. The politically decaying society is losing its ability
Some unification was achieved by the Jewish émigrés in their
to be self-determining. Roman provincial societies were de-
Diaspora.
caying as they were co-opted by a victorious Christianity.
A crystallizing around a self-assertive core of a divided
Zoroastrian society became a weak minority in Persia, with
minority is necessary before serious manifest resistance is
a diaspora in India, shortly after the Islamic conquest. The
thinkable. The tragedy of unification amidst disunity is
world’s smaller societies, such as those of the North Ameri-
dramatized in the apocalypse in the Gospel of Mark (13:9–
can Indian civilization and of the Polynesian islands, were
13), where it is written that brother shall betray brother, and
submerged by modern imperial powers.
father his child, and the children shall rise up against their
The cause and the characteristic of this decay is loss of
parents and have them put to death.
political autonomy. The society’s symbols fail to command
With martyrdom, the culture of the minority, its ideolo-
the loyalty of its members. Western European Jewish society,
gy and law, is sanctified, a covenant established, stamped
by the late eighteenth century, fits this mold. Local Jewish
with blood. It is written in Mekhilta D, a Jewish interpretative
community control, supported by charters, was weakened as
work, that every commandment that the Israelites have not
new concepts of statehood and citizenship took hold in Eu-
died for is not really established, and every commandment
rope. Christian or secular frames of reference and values
that they have died for will be established among them
began to control the interpretations of Jewish tradition itself.
(Herr, 1967).
The Jewish Haskalah, or Enlightenment, was built on 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
MARTYRDOM
5741
back of such intellectual symbols. Major civilizational contri-
Ignatius of Antioch, seeking martyrdom, pleaded with his
butions of Jews were made, not to Jewish society, as such,
co-religionists in Rome not to try to rescue him but to allow
but to the environing societies. Heine, Mahler, Freud, and
him to die. At the same time, some bishops of the church
Einstein contributed to their German and Austrian cultures.
denied their faith and fled to avoid court proceedings (Rid-
dle, 1931). Not all sectors of the minority society are equally
Martyrdom is latent in a decaying society. The adversary
productive of martyrs. The level of devotion of most mem-
claims mere victims who affirm no ideology by their deaths.
bers of the community is insufficient to sustain martyrs.
Jewish leaders tend to remember the victims of the Holo-
Zealots form cells within the wider community of devotees.
caust as martyrs for the sanctification of God’s name. Bresl-
These cells become a foundry for martyrs, supporting them
auer (1981), in a dissent, writes that they were on the whole
throughout their ordeal.
not sacred witnesses but passive victims, not proud martyrs
for a cause but political pawns.
The martyrs of politically crescive minorities, being
leaders, tend to be recruited from its nobility. By and large
Leaders of a decaying society may dismiss resistance and
these martyrs are males, not because females resist martyr-
martyrdom in favor of negotiation with the adversary. Ru-
dom, but because martyrs are drawn from the religio-
benstein (1975) charges the Hungarian Jewish community
political leadership. Female martyrs die affirming family
leaders during World War II with near complicity in their
principles. Barbara, one of a group of Catholic virgin mar-
own destruction. Though they knew about Auschwitz, one
tyrs, said to have been a follower of Origen in the third cen-
meeting with Eichmann convinced them that they had noth-
tury, was immured in a tower, and ultimately beheaded by
ing to fear if they cooperated with the Schutzstaffel (SS) in
her father when he learned of her conversion to Christianity.
enforced ghettoization, confiscation of real and personal
Cecilia reportedly died as a martyr during the reign of Mar-
property, and deportation for “labor service” in Poland.
cus Aurelius, along with her husband and friends whom she
Jewish resistance, independent and in cooperation with
had converted.
local partisans, produced genuine martyrs but was rarely sup-
What are the psychological characteristics, the motives
ported by the officials of the Judenrat, the Jewish councils
of those who seek suffering and are willing to die? Although
of the ghetto. The Warsaw ghetto uprising, authorized by
some writers tend to cite self-enhancing motives, such as a
ghetto leaders, was a final suicidal thrust, Samson at the tem-
promise of redemption, or, as in Augustine’s view, a way of
ple of Dagon. Self-immolation requires a residue of moral
avoiding a sin, one can safely say that altruism is the central
strength, a will to protect the group’s honor. Slaves may
motive. The basic commitment to moral action transcends
commit suicide, like concentration camp inmates throwing
the martyr’s immediate interest in his personal fate. Sustain-
their bodies against the electrified wire, in order to relieve
ing such commitment requires ego integrity and the ability
their suffering.
to overcome instinctive drives to escape.
The negotiating victims may become collaborators or
Doubtless, some individuals throw themselves into mar-
even converts. They may even become anti-martyrs. An anti-
tyrdom out of a mental derangement. But psychotics must
martyr may be a convert to the dominant ideology, remain-
be rare among martyrs, since they cannot usually establish
ing a leader of the minority and seeking to manage the con-
and maintain the human bonds required in martyr cells.
flict by collaborating with the dominant group. This effort
Many a stable mind, however, must become deranged during
may cost them their own lives. Anti-martyrs may strive to
the tortures that can precede execution.
suppress martyrs whom they consider wrong-headed. They
A martyr is prepared through life in a cell, that is, by
are not opportunistic turncoats, moved by personal avarice,
social support. There he or she finds succor. The act is
but quislings, deeply committed to an enemy ideology, be-
clothed ideologically and the potential martyr rehearsed. A
lieving it best for their group. If they lose, they die unrelent-
martyr’s ideology centers on the meaning of life in relation
ing. The anti-martyr may meet his death at the hands of his
to death. It does not aim simply to attenuate the pain of mar-
new associates after they lose faith in him. Some new Chris-
tyrdom through a fantasy of a future life but provides a
tians, accused by the Spanish Inquisition of reverting to Ju-
meaning for dying continuous with the meaning of the mar-
daism, went to the stake holding a cross. Leaders who sup-
tyr’s life. The martyr goes forward despite the pain.
press martyrdom out of a survivalist instinct without
accepting the adversary are not anti-martyrs in the sense used
Martyrologies, narrative or cultic, praise martyrs and ex-
here.
pose evil. They prepare martyrs by example and encourage
popular minor martyrdoms. A Christian cult of the martyr,
A martyr is delegated by the community and apotheo-
in place by the end of the second century, exhibited relics—a
sized by it. Anti-martyrs act individually or as members of
bone, a lock of hair or some drops of blood—upon the anni-
a small separatist cadre. The minority condemns them as
versary of a martyrdom (Riddle, 1931). The more contem-
traitors and their apotheosis as evil.
porary training of the kamikaze included worship at a special
HOW A GROUP PRODUCES MARTYRS. Martyr candidates
shrine for those who had died in training or in combat.
may not always be found when needed. How does a commu-
There the trainees sought spiritual “intoxication” (Warner
nity recruit and prepare individuals to sacrifice themselves?
and Warner, 1982).
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5742
MARTYRDOM
Exemplary martyrs need not be from one’s own group.
Islam, and to defend religious freedom, that is, the freedom
Invidiousness and pride can be as important as anger in
of Muslims to practice their faith in non-Muslim lands
strengthening the resolve to endure physical pain and degra-
(Shaltiut, in Peters, 1977).
dation. The early Christians, not yet distinctively non-
The Talmudic laws of martyrdom were formulated at
Jewish, identified with Maccabean martyrs. Gandhi, while
the Council of Lydda in the second century. These laws gov-
struggling against the Boers in the Transvaal, praised the stal-
erned a minority in a province of pagan Rome. By the Mid-
wart Boer women who survived an abominable incarceration
dle Ages, Jews were a minority in powerful Islamic states
by the English during the Boer War.
from Arabia to Spain and in equally powerful European
Ideology for preparing the martyr argues for the sanctity
Christian states. From time to time the pressure on the Jews
of the mission and the satanic quality of the adversary. It
to convert increased to the point where martyrdom became
evokes earlier exemplary martyrs, including some from other
an issue. Group, not simply individual, survival was also a
groups. The lifelong preparation for the confrontation is
sacred obligation. Moses Maimonides (Mosheh ben Mai-
materialized in a rehearsal for martyrdom. The rehearsal be-
mon), writing his Epistle on Apostasy in 1162–1163, warned
gins with the study of martyrologies, a vicarious experience,
that the death of the martyr condemns all of his potential
and follows with exercise of the minor martyrdoms—giving
descendants to nonbeing (Maimonides, 1979). For this and
charity, fasting, and receiving the sacraments.
other reasons, Maimonides sought to restrict the occasions
for obligatory martyrdom.
The early Christians offered organized rehearsals for the
ordeal. The Roman process, being judicial, was predictable.
The rabbis of the Talmud had restricted martyrdom to
Its stages included arrest, examination, threatening and per-
avoiding public worship of strange gods, incest or adultery,
suasion, acquittal for recantation, and, as a test of loyalty, the
and murder. Under pressure it is permissible, writes Mai-
performance by the recanter of pagan rites. Persons likely to
monides, to utter the Shaha¯dah, the Muslim declaration of
be examined were trained in prepared responses for each
the unity of God and the prophetic mission of Muh:ammad.
stage.
The coerced Jew could think whatever he wished. If a Jew
HOW SOCIETY CONTROLS ITS OWN MARTYRS. A practical
is coerced to violate publicly commands of the Torah other
danger to a politically crescive minority is that some mem-
than the three specificed above, Maimonides advises submis-
bers will initiate open political action, perhaps open rebel-
sion, a position not repeated in his Epistle to Yemen, nor in
lion, before the community is ready to support such an act
his Mishneh Torah, his major work. It is not unlike Muslim
and, therefore, to succeed. Martyrdom, a harbinger of an up-
dissimulation—acting when under pressure as if one has
rising, is also a temporary alternative to it. A community
abandoned Islam. The person is culpable, however, if the vi-
must control its martyrs as it does its military zealots.
olations are of his own free will. Maimonides recommends
migration to more friendly shores, rather than awaiting the
The community sets rules governing the occasions for
Messiah in the land of oppression.
martyrdom. Which principles are worth dying for? Who
should die? When should one not die? The loss of such con-
Rules control the candidacy for martyrdom. Candidates
trol among the Judean provincials during the latter part of
who might not stand up to the adversary, who cannot assure
the first century BCE was fatal for Jewish autonomy and near-
that their action is voluntary, are to be discouraged. The rules
ly fatal for Jewry as a whole.
given by Ibn Rushd (Averroës) for recruiting for a jiha¯d recall
the biblical rules limiting military service according to age,
The thoroughness of the Jewish defeat in the Judean re-
marital status, and attitude to danger. The shah¯ıd should not
bellion of 70 CE, which led to the destruction of the Temple,
recoil from fighting if the number of enemies is but twice
was symbolized in the redesignation of the Temple mount
the number of his own troops, an estimate based on a
as Aeolia Capitolina. The subsequent Bar Kokhba Revolt (c.
QurDanic verse (surah 8:66), but should flee before a greater
132–135) was severely suppressed. The community, not pre-
disproportion (Shaltiut, 1977).
pared for these acts of desperation, had not widely supported
Bar Kokhba. These catastrophes shifted the center of Jewish
THE SUPPRESSION OF MARTYRDOM BY THE DOMINANT
life to the Diaspora. The evidence is that the edicts of Hadri-
GROUP. A dominant group may strive to prevent martyrdom
an, such as the edict forbidding circumcision, which were
when it cannot exploit the public meaning of the event. Po-
cited as giving the Jews no choice but to rebel, actually fol-
tential martyrs may be co-opted or suppressed.
lowed the rebellion as martial law.
The adversary group may, for instance, assimilate a sym-
Control is also a matter of ruling when martyrdom is
pathetic sector of the minority. The new “converts,” given
not expected. A Muslim is forbidden to wish for death or for
positions in the dominant society, may become a showcase
an encounter with the enemy. The t:alab al-shaha¯dah, the
for attenuating minority resistance. (This approach misfires
seeking of martyrdom, even on the battlefield, is too close
when it polarizes the minority, inciting the resisters to attack
to suicide for Islamic jurists. Mahmud Shaltiut, a recent
the assimilationists, as in the case of the Maccabean assault
Shaykh al-Azhar, allows the community but three reasons for
on the Hellenizing Jews.) Since martyrdom depends on char-
declaring jiha¯d: to repel aggression, to protect the mission of
ismatic authority, any move toward rationalizing the social
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARTYRDOM
5743
order gives the minority a sense of justice and order and un-
many and in Poland, for instance, Jews resided under charter
dermines martyrdom.
from the local bishop or nobility. This guarantee of safety
was ineffective when Jews were attacked by soldiers and
Repressive measures may parallel co-optive measures in
mobs during the Crusades and in the early Polish pogroms.
a kind of carrot-and-stick process. The martyr-producing
The lynching of blacks in the post–Civil War American
cells may be attacked, for instance, by an infiltrating agent
South has the same character of mob action, sometimes dis-
provocateur. Resistance cells may be made illegal and their
approved of, sometimes condoned by the authorities.
members executed as part of a “witchhunt.” Government-
sponsored terror against the primary community may de-
A society may deprive martyrs of an exemplary function
prive the resisting cells of support.
by declaring them criminals. Justice is done by removing
them from the society. By the second century the Romans
Other ways of raising the penalty for martyrdom in-
had developed a literature justifying the suppression of the
clude inflicting more painful deaths or executing more mar-
Christians and defining their martyrdom as insane. The
tyrs, thus overtaxing the minority’s supply of martyrs. Such
works of Marcus Cornelius Fronto and Lucian, for instance,
increased viciousness may be an act of desperation. Its very
attacked Christians as public enemies, atheists, a fanatical
horror may further radicalize the minority in its thrust
species enamored of death, who ran to the cruelest tortures
against the dominant society.
as to a feast. To discredit the ideology, these works ridiculed
Persecutions involve centrally sponsored repressions of
Christians who claimed that Jesus was born of a virgin into
the minority, not unique or local actions against potential
a poor family in a small town in Judaea, when, in reality, his
martyrs. Christian tradition speaks of ten persecutions, in-
mother had been cast off by her husband for committing
cluding those under the emperors Decius, Valerian, and Dio-
adultery with a soldier named Panthera.
cletian. Under Valerian, for instance, an edict was issued in
The meaning of the event is controlled in subsequent
257 CE compelling acts of submission in conformity with the
time by myths about the meanings of the event. The martyr
Roman religion. Christians refusing them were condemned
views the battle as a prelude to the subjugation of his execu-
to the mines, beaten with whips and rods, branded on their
tioner and then as taking vengeance on the executioner and
foreheads, and shaven on one side so that if they escaped they
his society. The dominant society, seeing the event as pun-
could be recognized as runaway slaves or criminals. This ex-
ishment or vengeance, hopes that it will have no sequel, that
treme persecution occurred but two generations before Con-
the cycle is complete, the criminal punished, justice
stantine’s victory.
achieved.
If martyrs must be taken, the impact of the martyrdom
Destruction of records is aimed to control later histori-
on the adversary’s society may be limited by isolating the kill-
cal reconstruction. Allard (1971) reports that during the Di-
ing from view. Assigning the killing to specialists is one way
ocletian persecutions (285–323 CE), churches were burned
to accomplish this. As there is preparation of martyrs, so
along with their manuscripts, which included passions of the
there is preparation of their specialized slayers. The SS in
ancient martyrs. Books were burned at public book burn-
Nazi Germany conceived of itself as a sacred order, an elite
ings. The persecutors, having failed to stop the apostasies, at-
trusted to guard the messianic Führer. The concentration
tempted to abolish their memories.
camps were a training ground toughening them for the task.
Prisoners were thought of as belonging to inferior races,
Perhaps the greatest weapon of the state, particularly the
shiftless and asocial; subjected to starvation and unsanitary
modern state, is its ability to make martyrdom appear obso-
conditions, they came to resemble the walking dead. Any SS
lete and meaningless. Bureaucratizing the killing accomplish-
officer who showed compassion could be eliminated from
es this end. Rubenstein (1975) says that the Holocaust could
the group. Those who made common cause with the prison-
only have been carried out by an advanced political commu-
ers were stripped of their rank, given twenty-five lashes, and
nity with a highly trained, tightly disciplined police and civil
consigned to the company of the “subhuman” (Kogon,
service bureaucracy. The moral barrier to the riddance of a
1973).
surplus population was overcome by taking the project out
of the hands of bullies and hoodlums and delegating it to the
Precisely the opposite approach is to encourage wide
bureaucrats.
public participation in the repression of the minority com-
munity as a whole. The goal is to eliminate or demoralize
SEE ALSO Holocaust, The; Jiha¯d.
it to the extent that it cannot function as a hinterland for
martyrs. Elements putatively out of the control of the au-
B
thorities may carry out the establishment’s justice, and so
IBLIOGRAPHY
Allard, Paul. La persecution de Dioclétian et le triomphe de l’église.
mask its intent. Operating with two faces, the dominant
3d rev. ed. 2 vols. Rome, 1971.
community may pretend to provide legal and police protec-
tion, diverting the minority from a planned defense. The
Ben Sasson, H. H. “Kiddush Hashem: Historical Aspects.” In En-
same objective situation may occur, without duplicity, when
cyclopaedia Judaica. Jerusalem, 1971.
more than one authority exists in society. In medieval Ger-
Bickerman, Elias J. The God of the Maccabees. Leiden, 1979.
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5744
MARX, KARL
Breslauer, S. Daniel. “Martyrdom and Charisma: Leo Baeck and
Zerubavel, Yael. “The Last Stand: On the Transformation of
a New Jewish Theology.” Encounter 42 (Spring 1981):
Symbols in Modern Israeli Culture.” Ph.D. diss., University
133–142.
of Pennsylvania, 1980.
Cohn, Norman R. C. The Pursuit of the Millennium. 3d ed. New
New Sources
York, 1970.
Boyarin, Daniel. Dying for God: Martyrdom and the Making of
Coogan, Tim Pat. On the Blanket: The H Block Story. Dublin,
Christianity and Judaism. Stanford, Calif., 1999.
1980.
Clar, Gillian. “Bodies and Blood: Late Antique Debate on Martyr-
Frend, W. H. C. Martyrdom and Persecution in the Early Church.
dom, Virginity, and Resurrection.” In Changing Bodies,
Oxford, 1965.
Changing Meanings: Studies on the Human Body in Antiquity,
Gandhi, M. K. Satyagraha in South Africa. Translated by Yalji
edited by Dominic Montserrat, pp. 99–115. New York,
Govindji Desair. Madras, 1928.
1998.
Hazrat, Ahmad. Ahmadiyyat or the True Islam. New Delhi, 1980.
Cunningham, Lawrence. “Saints and Martyrs: Some Contempo-
rary Considerations.” Theological Studies 60 (1999):
Historical Society of Israel. Milh:emet qodesh u-mart:irologyah. Jeru-
529–537.
salem, 1967.
Jacobs, I. “Eleazar ben Yair’s Sanction for Marytrdom.” Journal
Davis, Joyce M. Martyrs: Innocence, Vengeance and Despair in the
for the Study of Judaism in the Persian, Hellenistic, and Roman
Middle East. New York, 2003.
Period 13 (December 1982): 183–186.
Fenech, Louis. “Martyrdom and the Execution of Guru Arjan in
Jacoby, Susan. Wild Justice: The Evolution of Revenge. New York,
Early Sikh Stories.” Journal of the American Orientalist Society
1983.
121 (January–March 2001): 20–32.
Klawitzer, Frederick C. “The Role of Martyrdom and Persecution
Gregory, Brad S. Salvation at Stake: Christian Martyrdom in Early
in Developing the Priestly Authority of Women in Early
Modern Europe. Cambridge, Mass., 1999.
Christianity: A Case Study of Montanism.” Church History
Leyerle, Blake. “Blood Is Seed.” Journal of Religion 81 (January
49 (September 1980): 251–261.
2001): 26–44.
Kogon, Eugen. The Theory and Practice of Hell. New York, 1973.
Salisbury, Joyce. Perpetua’s Passion: The Death and Memory of a
Lamm, Norman. “Kiddush Ha-shem and Hillul Ha-shem.” In
Young Roman Woman. New York, 1997.
Encyclopaedia Judaica. Jerusalem, 1971.
SAMUEL Z. KLAUSNER (1987)
Maimonides, Moses. Epistle to Yemen. New York, 1952.
Revised Bibliography
Maimonides, Moses. Iggeret ha-shemad. In Iggrot ha-Rambam,
pp. 13–68. Jerusalem, 1979.
Massignon, Louis. The Passion of al-Hallaj: Mystic and Martyr of
MARX, KARL (1818–1883), German social and eco-
Islam. Princeton, 1982.
nomic theorist. Marx was born in Trier on May 5, 1818.
Mattingly, Garrett. The Armada. Boston, 1959.
Both his grandfather and his uncle had been rabbis in the
Peters, Rudolph, trans. Jiha¯d in Medieval and Modern Islam. Lei-
city and so had several of his paternal grandmother’s ances-
den, 1977.
tors. His mother also descended from a long line of rabbis
Poliakov, Leon. La causalité diabolique: Essai sur l’origine des persé-
in Holland. His father, Heinrich, had in 1817 converted to
cutions. Paris, 1980.
Protestantism in order to retain his position as a lawyer at
Rahner, Karl. On the Theology of Death. New York, 1961.
the High Court of Appeals in Trier when the Rhineland, for-
Riddle, Donald W. The Martyrs: A Study in Social Control. Chica-
merly French, became, through annexation, subject to the
go, 1931.
discriminatory laws of Prussia. Marx was baptized in 1824.
Rosenberg, Bruce A. Custer and the Epic of Defeat. University
During his high school years he enjoyed the literary tutelage
Park, Pa., 1974.
of his father’s friend, Baron Ludwig von Westphalen, whose
Rubenstein, Richard L. The Cunning of History: The Holocaust and
daughter Jenny he would later marry.
the American Future. New York, 1975.
In 1835 Marx registered in the faculty of law at the Uni-
Sachedina, Abdulaziz Abdulhussein. Islamic Messianism: The Idea
versity of Bonn. A year later he transferred to the University
of Mahdi in Twelver Shi’ism. Albany, N.Y., 1981.
of Berlin, but there he soon became ill through overwork.
Szaluta, Jacques. “Apotheosis to Ignominy: The Martyrdom of
The following months of convalescence in the country com-
Marshall Petain.” Journal of Psychohistory 7 (Spring 1980):
pletely changed his intellectual outlook. At first a romantic,
415–453.
vaguely religious idealist, he now converted to Hegel’s phi-
Vööbus, Arthur. History of Asceticism in the Syrian Orient. Corpus
losophy. He joined a discussion group of “Young Hegelians,”
Scriptorum Christianorum Orientalium, vol. 189. Louvain,
consisting of instructors and advanced students in a variety
1958.
of disciplines, mostly of radical political and religious lean-
Warner, Dennis, and Peggy Warner. The Sacred Warriors: Japan’s
ings. For them Hegel’s dialectical method, separated from its
Suicide Legions. New York, 1982.
conservative content, provided a powerful weapon for the
Wensinck, A. J. “The Oriental Doctrine of the Martyrs.” In Semi-
critique of established religion and politics. The leading
etische Studien uit de Nalatenschap. Leiden, 1941.
voices in the Doktorklub, as the group was called, were those
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARX, KARL
5745
of the theologians David Friedrich Strauss and Bruno Bauer.
problem could be solved instantly if Jews would cease to
In his Life of Jesus Strauss had interpreted the gospel narra-
claim religious privileges from the state. By so doing, they
tives as mythologizing the aspirations of the early Christian
maintained the religious state and prevented their own as
community. After some initial criticism, Bauer went even
well as other people’s emancipation. Bauer held that emanci-
further: those narratives contained no truth at all, while the
pation of man required a secular state that recognizes neither
faith based on them had become the main obstacle on the
Christians nor Jews. Marx agreed that the existence of reli-
road to political and cultural progress.
gion always indicates an incomplete emancipation, but he
denied that religion is the cause of the problem or, for that
The young Marx extended these critical conclusions to
matter, that political rights are the solution. Bauer had sim-
all religion. His doctoral dissertation, On the Difference be-
ply identified religion with alienation and political equality
tween the Philosophies of Nature in Democritus and Epicurus,
with emancipation. But political emancipation is by no
which he submitted in 1841 to the Jena faculty of philoso-
means human emancipation. “To be politically emancipated
phy, was prefaced by a motto taken from Aeschylus’s Prome-
from religion is not to be finally and completely emancipated
theus: “In one word, I hate all the gods.”
from religion, because political emancipation is not the final
In 1843 Marx married Jenny von Westphalen. After his
and absolute form of human emancipation.” Even if the state
wedding and a prolonged vacation near Trier, he returned
should suppress religion, its own existence would remain a
to Bonn, where he started writing for the radical Cologne
profane expression of an alienation that in time would irre-
paper Die Rheinische Zeitung. His first contribution consisted
sistibly produce its religious form. So instead of being a rem-
of a series of critical articles on the proceedings of the Rhine-
edy for religious alienation, the secular state is the purest
land parliament dealing with freedom of the press and the
symptom of its presence. Even more than religion, the state
debates concerning the punishment of wood thefts. Other
keeps alive the inhuman conditions that separate the individ-
reports, on religious disputes, were censored and never ap-
ual from his fellow human beings and thereby prevent hu-
peared. In October 1842 Marx, having been appointed edi-
mankind from realizing its full potential. If religion means
tor-in-chief, moved to Cologne. Six months later the paper
deception, the state is more religious than the church.
folded under the pressure of Prussian censorship. In October
1843 Marx left the Rhineland for Paris, where he expected
Henceforth Marx devoted his critical efforts entirely to
to find more freedom as well as make direct contact with
the critique of the state. But under the influence of an essay
French revolutionary workers’ movements.
by Friedrich Engels on political economy, published in the
same issue of the Jahrbücher that had featured Marx’s own
During his final year in Germany Marx’s political posi-
two essays, he saw that political attitudes are rooted in eco-
tion had developed from radically democratic to communist.
nomic conditions. This “genial” insight inspired the so-
At the same time he had increasingly come under the influ-
called Economic Philosophical Manuscripts of 1844, which
ence of that other critical interpreter of Hegel’s philosophy,
would remain unpublished until 1927. Here, for the first
Ludwig Feuerbach. In The Essence of Christianity (1841)
time, Marx aims his attacks exclusively at the capitalist econ-
Feuerbach had applied Hegel’s concept of alienation to all
omy itself, a system that alienates the worker from the very
divine reality: in religion man projects his own nature into
activity through which he should achieve his humanization
a supernatural realm and thus “alienates” from himself what
as well as from the kind of social cooperation required by
rightly belongs to him. Marx instantly embraced the theory
genuine humanization.
of religion as alienation, but he found Feuerbach’s interpre-
tation of the origin of the religious attitude inadequate. Reli-
In 1845 the French government (under Prussian pres-
gion, Marx asserted, mythically justifies a fundamental social
sure) forbade Marx all political activity and threatened him
frustration. Far from constituting the essence of human
with imprisonment. Once again Marx emigrated, this time
alienation, the need for religion implies a tacit protest against
to Brussels, where he would remain until March 1848. This
the existing, dehumanizing conditions of society. In that
second stage of his mature life was to be a very productive
sense Marx called it “the opium of the people” in his essay
one, even though little of his literary activity ever reached
“Introduction to a Critique of Hegel’s Philosophy of Right”
print.
(1844), published in the Paris-based Deutsch-Franzözische
Foremost among his unpublished writings from this pe-
Jahrbücher. “The abolition of religion as the illusory happi-
riod is The German Ideology (1845–1846). In it Marx devel-
ness of men is a demand for real happiness. The call to aban-
oped the crucial concept of ideology and, with it, the basic
don their illusions about this condition is the call to abandon
principles of a powerful theory of history. Not what human
a condition which requires illusions.” Full emancipation de-
beings think or imagine, not conscious decisions or theoreti-
mands that the social structures that create the need for reli-
cal schemes, but social-economic relations are the primary
gion be changed.
determining factors of history. Ideas, shaped by language,
The secondary character of religious beliefs with respect
emerge from social-economic structures. The division be-
to social-economic conditions appears in another essay Marx
tween mental and physical labor, severing thinking from its
published in the same issue of the Jahrbücher, “On the Jewish
vital, social roots, has given birth to an independent realm
Question.” Bauer had proposed the thesis that the Jewish
of abstract speculation. In fact, the theories accepted in a par-
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
5746
MARX, KARL
ticular society express the interests and aspirations of the rul-
pelled from Prussian territory for having instigated open re-
ing class. As soon as one class acquires control over the pro-
bellion. During that same summer of 1848 Marx definitively
cess of material production, it falls heir to the “means of
settled down in London.
mental production” and begins to impose such ideas as best
Here, amidst extreme poverty, domestic tragedy (several
serve its dominion. Detached from its social-economic basis,
of his children died, possibly due to their living conditions),
theory turns into ideology. The term ideology refers to any
occasional family turmoil (his young servant bore him a
theory that ignores the social conditioning of ideas and pres-
child), and constant polemics, Marx completed the third
ents itself with a semblance of intellectual autonomy.
stage of his career. Apart from revolutionary activity (mainly
Engels later qualified Marx’s position by suggesting that
through the reorganized Communist League), he devoted
conscious processes, developed through the impact of social
himself entirely to his lifetime theoretical project: a definitive
relations, in turn influence these relations. Unfortunately,
social critique of the capitalist economy. Only two parts of
Marx’s later metaphorical reformulation of the relation (in
his voluminous theoretical writing during this period
the preface to his Critique of Political Economy) as one be-
reached completion before his death: the Contribution to the
tween base and superstructure confirmed the “derived” char-
Critique of Political Economy (1859) and the first volume of
acter of ideas rather than eliminating it. Clearly, religion con-
what by then had already become a reduced project, Capital
sidered as a “superstructure” can hardly do more than
(1867).
“reflect” its social origins.
In all his later writings Marx criticizes capitalist theories
In Brussels, Marx and Engels, who had met in Paris in
in categories often borrowed from the classical economists,
1844 and by now had become constant, though often dis-
especially Adam Smith and David Ricardo. Even his central
tant, collaborators, intensified their revolutionary activity.
concept of surplus value, the value generated by labor be-
For the newly founded Communist League they wrote their
yond the cost of wages and tools, appears in Ricardo. But the
famous Manifesto (1848), an entirely new vision of history.
perspective differs substantially. For Marx shows how capi-
Since his early Paris days, the social-economic category of
talist theory merely expresses the practice of a society at a par-
class had, for Marx, come to dominate all others. In the Man-
ticular historical stage of its development. Indeed, capitalism
ifesto’s scenario, the class of the bourgeoisie, created by the
is now approaching the point where its internal “contradic-
capitalist system, would function as the revolutionary lever
tions” (in fact, mostly social conflicts) must openly erupt and
toward the communist society of the future. An unprece-
destroy the system itself. Throughout his development Marx
dented social and cultural mover in its own development, the
never wavered in his confidence that bourgeois society would
bourgeoisie is now destined to terminate the class structure
break down in a social revolution that would result in a so-
of society itself. It does so by creating an underclass, the pro-
cialist state and, in due time, generate a stateless communist
letariat, that will increase in numbers and in misery until its
society.
members, for the sake of sheer survival, will be forced to rise
Yet during this same period Marx also produced an
throughout the entire industrialized world. “What the bour-
enormous output of noneconomic writings, most important
geoisie, therefore, produces above all else, is its own grave-
among them, two historical studies on the French revolution
diggers.”
of 1848 and the subsequent events leading to the Second
In the same year, 1848, revolutions started all over the
Empire of Napoleon III: The Class Struggles in France (1850)
European continent. But when the Belgian authorities
and The Eighteenth Brumaire of Louis Napoleon (1852). In
learned of an imminent republican putsch, they expelled
addition, he wrote hundreds of newspaper articles for the
Marx from the country for illegal political agitation. The
New York Daily Tribune and for the Neue Oder-Zeitung, his
exile barely interrupted Marx’s revolutionary activity. Re-
main source of support (beside the gifts of the ever-generous
turning to Paris on March 5 with the papers of the Commu-
Engels) during that period.
nist League, which a few days earlier had had its headquarters
From 1870 on Marx’s health steadily declined. He in-
transferred from London to Brussels, Marx was, on March
creasingly suffered from respiratory problems, which, after
10, elected as its president. In his French headquarters his
1880, forced him for prolonged periods to seek refuge from
attention remained fixed on Germany, where he still expect-
the damp, polluted London air in Margate, the Isle of Wight,
ed a “total” revolution to take place. Through his speeches
Karlsbad (where he took the baths), Nice, and even North
to the German Working Men’s Club (based in Paris) and his
Africa. Yet despite his poor health his literary activity contin-
articles in the new communist paper of Cologne, the Neue
ued unabatedly, and his travels provided him with opportu-
Rheinische Zeitung, Marx continuously bombarded the Ger-
nities for establishing new revolutionary contacts as far away
man community with his revolutionary messages.
as Algiers. Still, it became gradually obvious that he would
The June revolution in Paris confirmed at least part of
never complete his lifework, and during his final years he felt
Marx’s theories, for in it social issues clearly prevailed over
increasingly reluctant even to attempt bringing some order
political ones. Meanwhile, Marx again had moved to Co-
to his papers. Thus when he died on March 14, 1883, he left
logne to direct the Neue Reinische, which, not surprisingly,
an enormous estate of unpublished manuscripts. Out of the
was gradually censored into extinction. Its editor was ex-
more than a thousand pages of notes Marx had accumulated
E N C Y C L O P E D I A O F R E L I G I O N , S E C O N D E D I T I O N
MARX, KARL
5747
for the sequel of Capital, Engels published Capital II (1885)
McLellan, David. Karl Marx: His Life and Thought. London,
and Capital III (1894). In addition, in 1927 Karl Kautsky
1973.
published the historical notes, Theories of Surplus Value,
Rubel, Maximilien, and Margaret Manale. Marx without Myth: A
under the title Capital IV. In 1953 Marx’s earlier preparatory
Chronological Study of His Life and Work. Oxford, 1975.
notes for Capital appeared under the title Grundrisse der Kri-
New Sources
tik der politischen Ökonomie (in English, simply Grundrisse).
Hartley, George. The Abyss of Representation: Marxism and the
Postmodern Sublime. Durham, N.C., 2003.
BIBLIOGRAPHY
McLellan, David. “Then and Now: Marx and Marxism.” Political
Dupré, Louis. The Philosophical Foundations of Marxism. New
Studies, 47 (December 1999): 955–967.
York, 1966.
Negri, Antonio. Marx beyond Marx. New York, 1989.
Kolakowski, Leszek. Main Currents of Marxism: Its Rise, Growth,
Read, Jason. The Micro-politics of Capital: Marx and the Prehistory
and Dissolution, vol. 1, The Founders. Oxford, 1978.
of the Present. Albany, 2003.
Marx, Karl, and Friedrich Engels. On Religion. New York, 1964.
Wheen, Francis. Karl Marx. New York, 2000.
Marx, Karl, and Friedrich Engels. Collected Works. 50 vols. Trans-
LOUIS DUPRÉ (1987)
lated by Richard Dixon et al. New York, 1975–.
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